HomeMy WebLinkAboutOrd.4626.09-22-2014BILL NO. 14-135
ORDINANCE NO. �\Q
AN ORDINANCE AUTHORIZING THE CITY MANAGER TO
EXECUTE AN STP -URBAN PROGRAM AGREEMENT WITH
THE MISSOURI HIGHWAYS AND TRANSPORTATION
COMMISSION FOR THE INDEPENDENCE STREET AND
GORDONVILLE ROAD INTERSECTION, IN THE CITY
OF CAPE GIRARDEAU, MISSOURI
BE IT ORDAINED BY THE COUNCIL OF THE CITY OF CAPE GIRARDEAU,
MISSOURI, AS FOLLOWS:
Article 1. The City Manager is hereby authorized and
directed to execute, on behalf of the City, an STP -Urban Program
Agreement between the City of Cape Girardeau and the Missouri
Highways and Transportation Commission for the Independence
Street and Gordonville Road intersection, and the City Clerk is
hereby authorized and directed to attest to said document and to
affix the seal of the City thereto. The Agreement shall be in
substantially the form attached hereto as Exhibit A, which
document is hereby approved by the City Council, with such
changes therein as shall be approved by the officers of the City
executing the same.
Article 2. This Ordinance shall be in full force and effect
ten days after its passage and approval.
PASSED AND APPROVED THIS(:�;ay of 0�0.10UJ
2014.
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Ha ry E. Rediger, Mayor
(SEAL)
ATTEST:
Gaylel IT. Conrad, City Clerk
A;
CCO Form:
FS11
Approved:
07/96 (KMH)
Revised:
06/12 (MWH)
Modified:
CFDA Number: CFDA #20.205
CFDA Title: Highway Planning and Construction
Award'name/number: STP -1500(022)
Award Year: 2015
Federal Agency: Federal Highway Administration, Department of Transportation
MISSOURI HIGHWAYS AND TRANSPORTATION COMMISSION
STP -URBAN PROGRAM AGREEMENT
THIS STP -URBAN AGREEMENT is entered into by the Missouri Highways and
Transportation Commission (hereinafter, "Commission") and the City of Cape
Girardeau, Cape Girardeau County, Missouri (hereinafter, "City").
WITNESSETH:
WHEREAS, 23 U.S.C. §133 authorizes a Surface Transportation Program (STP)
to fund transportation related projects; and
WHEREAS, the City desires to construct certain improvements, more specifically
described below, using such STP funding; and
WHEREAS, those improvements are to be designed and constructed in
compliance with the provisions of this Agreement.
NOW, THEREFORE, in consideration of the mutual covenants, promises and
representations in this Agreement, the parties agree as follows:
(1) PURPOSE: The purpose of this Agreement is to grant the use of STP
funds to the City. The improvement contemplated by this Agreement and designated as
Project STP -1500(022) involves:
Performing a traffic study, then designing and constructing a project that
will improve traffic flow and relieve congestion during peak travel periods.
The City shall be responsible for all aspects of the construction of the improvement.
(2) LOCATION: The contemplated improvement designated as Project STP -
1500(022) by the Commission is within the city limits of Cape Girardeau, Missouri. The
general location of the improvement is shown on an attachment hereto marked "Exhibit
A" and incorporated herein by reference. More specific descriptions are as follows:
The intersection of Independence Street and Gordonville Road.
(3) REASONABLE PROGRESS POLICY: The project as described in this
agreement is subject to the reasonable progress policy set forth in the Local Public
Agency (LPA) Manual and the final deadline specified in Exhibit B attached hereto and
incorporated herein by reference. In the event, the LPA Manual and the final deadline
within Exhibit B conflict, the final deadline within Exhibit B controls. If the project is
within a Transportation Management Area that has a reasonable progress policy in
place, the project is subject to that policy. If the project is withdrawn for not meeting
reasonable progress, the City agrees to repay the Commission for any progress
payments made to the City for the project and agrees that the Commission may deduct
progress payments made to the City from future payments to the City.
(4) LIMITS. OF SYSTEM: The limits of the surface transportation system for
the City shall correspond to its geographical area as encompassed by the urban
boundaries of the City as fixed cooperatively by the parties subject to approval by the
Federal Highway Administration (FHWA).
(5) ROUTES TO BE INCLUDED: The City shall select the high traffic volume
arterial and collector routes to be included in the surface transportation system, to be
concurred with by the Commission, subject to approval by the FHWA. It is understood
by the parties that surface transportation system projects will be limited to the said
surface transportation system, but that streets and arterial routes may be added to the
surface transportation system, including transfers from other federal aid systems.
(6) INVENTORY AND INSPECTION: The City shall:
(A) Furnish annually, upon request from the Commission or FHWA,
information concerning conditions on streets included in the STP system under local
jurisdiction indicating miles of system by pavement width, surface type, number of lanes
and traffic volume category.
(B) Inspect and provide inventories of all bridges on that portion of the
federal -aid highway systems under the jurisdiction of the City in accordance with the
Federal Special Bridge Program, as set forth in 23 U.S.C. §144, and applicable
amendments or regulations promulgated thereunder.
(7) CITY TO MAINTAIN: Upon completion of construction of this
improvement, the City shall accept control and maintenance of the improved street and
shall thereafter keep, control, and maintain the same as, and for all purposes, a part of
the City street system at its own cost and expense and at no cost and expense
whatsoever to the Commission. Any traffic signals installed on highways maintained by
the Commission will be turned over to the Commission upon completion of the project
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for maintenance. All obligations of the Commission under this Agreement shall cease
upon completion of the improvement.
(8) INDEMNIFICATION:
(A) To the extent allowed or imposed by law, the City shall defend, indemnify and
hold harmless the Commission, including its members and the Missouri Department of
Transportation (MoDOT or Department) employees, from any claim or liability whether
based on a claim for damages to real or personal property or to a person for any matter
relating to or arising out of the City's wrongful or negligent performance of its obligations
under this Agreement.
(B) The City will require any contractor procured by the City to work
under this Agreement:
1. To obtain a no cost permit from the Commission's district
engineer prior to working on the Commission's right-of-way, which shall be signed by an
authorized contractor representative (a permit from the Commission's district engineer
will not be required for work outside of the Commission's right-of-way); and
2. To carry commercial general liability insurance and
commercial automobile liability insurance from a company authorized to issue insurance
in Missouri, and to name the Commission, and MoDOT and its employees, as additional
named insureds in amounts sufficient to cover the sovereign immunity limits for Missouri
public entities as calculated by the Missouri Department of Insurance, Financial
Institutions and Professional Registration, and published annually in the Missouri
Register pursuant to Section 537.610, RSMo. The City shall cause insurer to increase
the insurance amounts in accordance with those published annually in the Missouri
Register pursuant to Section 537.610, RSMo.
(C) In no event shall the language of this Agreement constitute or be
construed as a waiver or limitation for either party's rights or defenses with regard to
each party's applicable sovereign, governmental, or official immunities and protections
as provided by federal and state constitution or law.
(9) CONSTRUCTION SPECIFICATIONS: Parties agree that all construction
under the STP for the City will be constructed in accordance with current MoDOT
design criteria/specifications for urban construction unless separate standards for the
surface transportation system have been established by the City and the Commission
subject to the approval of the FHWA.
(10) FEDERAL -AID PROVISIONS: Because responsibility for the performance
of all functions or work contemplated as part of this project is assumed by the City, and
the City may elect to construct part of the improvement contemplated by this Agreement
with its own forces, a copy of Section 11 and Section III, as contained in the United
States Department of Transportation Form Federal Highway Administration (FHWA)
1273 "Required Contract Provisions, Federal -Aid. Construction Contracts," is attached
and made a part of this Agreement as Exhibit C. Wherever the term "the contractor" or
words of similar import appear in these sections, the term "the City"is to be substituted.
The City agrees to abide by and carry out the condition and obligations of "the
contractor" as stated in Section II, Equal Opportunity, and Section 111, Nonsegregated
Facilities, as set out in Form FHWA 1273.
(11) ACQUISITION OF RIGHT OF WAY: With respect to the
acquisition of right of way necessary for the completion of the project, City shall acquire
any additional necessary right of way required for the project and in doing so agrees
that it will comply with all applicable federal laws, rules and regulations, including 42
U.S.C. 4601-4655, the Uniform Relocation Assistance and Real Property Acquisition
Act, as amended and any regulations promulgated in connection with the Act.
(12) REIMBURSEMENT: The cost of the contemplated improvements will be
borne by the United States Government and by the City as follows:
(A) Any federal funds for project activities shall only be
available for reimbursement of eligible costs which have been incurred by City. Any
costs incurred by City prior to authorization from FHWA and notification to proceed from
the Commission are not reimbursable costs. The federal share for this project will be
80% percent not to exceed $280,000. The calculated federal share for seeking federal
reimbursement of participating costs for the herein improvements will be determined by
dividing the total federal funds applied, to the project by the total participating costs.
Any costs for the herein improvements which exceed any federal reimbursement or are
not eligible for federal reimbursement shall be the sole responsibility of City. The
Commission shall not be responsible for any costs associated with the herein
improvement unless specifically identified in this Agreement or subsequent written
amendments.
(B) The total reimbursement otherwise payable to the City under this
Agreement is subject to reduction, offset, levy, judgment, collection or withholding, if
there is a reduction in the available federal funding, or to satisfy other obligations of the
City to the Commission, the State of Missouri, the United States, or another entity acting
pursuant to a lawful court order, which City obligations or liability are created by law,
judicial action, or by pledge, contract or other enforceable instrument. Any costs
incurred by the City prior to authorization from FHWA and notification to proceed from
the Commission are not reimbursable costs.
(13) PERMITS: The City shall secure any necessary approvals or permits from
the Federal Government and the State of Missouri as required to permit the construction
and maintenance of the contemplated improvements.
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(14) TRAFFIC CONTROL: The plans shall provide for handling traffic with
signs, signal and marking in accordance with the Manual of Uniform Traffic Control
Devices (MUTCD).
(15) WORK ON STATE RIGHT OF WAY: If any contemplated improvements
for Project STP -1500(022) will involve work on the state's right of way, the City will
provide reproducible final plans to the Commission relating to such work.
(16) DISADVANTAGED BUSINESS ENTERPRISES (DBEs): At time of
processing the required project agreements with the FHWA, the Commission will advise
the City of any required goals for participation by DBEs to be included in the City's
proposal for the work to be performed. The City shall submit for Commission approval a
DBE goal or plan. The City shall comply with the plan or goal that is approved by the
Commission and all requirements of 49 C.F.R. Part 26, as amended.
(17) NOTICE TO BIDDERS: The City shall notify the prospective bidders that
disadvantaged business enterprises shall be afforded full and affirmative opportunity to
submit bids in response to the invitation and will not be discriminated against on
grounds of race, color, sex, or national origin in consideration for an award.
(18) PROGRESS PAYMENTS: The City may request progress
payments be made for the herein improvements as work progresses but not more than
once every two weeks. Progress payments must be submitted monthly for amounts
equal to or greater than $10,000.00. The City shall repay any progress payments which
involve ineligible costs.
(19) OUTDOOR ADVERTISING: The City further agrees that the right of way
provided for any STP improvement will be held and maintained inviolate for public
highway or street purposes, and will enact and enforce any ordinances or regulations
necessary to prohibit the presence of billboards or other advertising signs or devices
and the vending or sale of merchandise on such right of way, and will remove or cause
to be removed from such right of way any sign, private installation of any nature, or any
privately owned object or thing which may interfere with the free flow of traffic or impair
the full use and safety of the highway or street.
(20) FINAL AUDIT: The Commission will perform a final audit of project costs.
The United States Government shall reimburse the City, through the Commission, any
monies due. The City shall refund any overpayments as determined by the final audit.
(21) OMB AUDIT: If the City expend(s) five hundred thousand dollars
($500,000) or more in a year in federal financial assistance it is required to have an
independent annual audit conducted in accordance with OMB Circular A-133. A copy of
the audit report shall be submitted to MoDOT within the earlier of thirty (30) days after
receipt of the auditor's report(s), or nine (9) months after the end of the audit period.
Subject to the requirements of OMB Circular A-133, if the City expend(s) less than five
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hundred thousand dollars ($500,000) a year, the City may be exempt from auditing
requirements for that year but records must be available for review or audit by
applicable state and federal authorities.
,(22) FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT
OF 2006: The City shall comply with all reporting requirements of the Federal Funding
Accountability and Transparency Act (FFATA) of 2006, as amended. This Agreement is
subject to the award terms within 2 C.F.R. Part 170.
(23) VENUE: It is agreed by the parties that any action at law, suit in equity, or
otherjudicial proceeding to enforce or construe this Agreement, or regarding its alleged
breach, shall be instituted only in the Circuit Court of Cole County, Missouri.
(24) LAW OF MISSOURI TO GOVERN: This Agreement shall be construed
according to the laws of the State of Missouri. The City shall comply with all local, state
and federal laws and regulations relating to the performance of this Agreement.
(25) AMENDMENTS: Any change in this Agreement, whether by modification
or supplementation, must be accomplished by a formal contract amendment signed and
approved by the duly authorized representatives of the City and the Commission.
(26) COMMISSION REPRESENTATIVE: The Commission's SE District
Engineer is designated as the Commission's representative for the purpose of
administering the provisions of this Agreement. The Commission's representative may
designate by written notice other persons having the authority to act on behalf of the
Commission in furtherance of the performance of this Agreement.
(27) NOTICES: Any notice or other communication required or permitted to be
given hereunder shall be in writing and shall be deemed given three (3) days after
delivery by United States mail, regular mail postage prepaid, or upon receipt by
personal or facsimile delivery, addressed as follows:
(A) To the City:
The Honorable Harry Rediger, Mayor
401 Independence Street
Cape Girardeau, MO 63701
Facsimile No.: 573-339-6302
(B) To the Commission:
SE District Engineer, Mark Shelton
2675 North Main Street
P.O. Box 160
Sikeston, MO 63801
Facsimile No.: 573-472-5341
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or to such other place as the parties may designate in accordance with this Agreement.
To be valid, facsimile delivery shall be followed by delivery of the original document, or
a clear and legible copy thereof, within three (3) business days of the date of facsimile
transmission of that document.
(28) NONDISCRIMINATION ASSURANCE: With regard to work under this
Agreement, the City agrees as follows:
(A) Civil Rights Statutes: The City shall comply with all state and
federal statutes relating to nondiscrimination, including but not limited to Title VI and
Title VII of the Civil Rights Act of 1964, as amended (42 U.S.C. §2000d and §2000e, et
seq.), as well as any applicable titles of the "Americans with Disabilities Act" (42 U.S.C.
§12101, et seq.). In addition, if the City is providing services or operating programs on
behalf of the Department or the Commission, it shall comply with all applicable
provisions of Title II of the "Americans with Disabilities Act".
(B) Administrative Rules: The City shall comply with
the administrative rules of the United States Department of Transportation relative to
nondiscrimination in federally -assisted programs of the United States Department of
Transportation (49 C.F.R. Part 21) which are herein incorporated by reference and
made part of this Agreement.
(C) Nondiscrimination: The City shall not discriminate on grounds of
the race, color, religion, creed, sex, disability, national origin, age or ancestry of any
individual in the selection and retention of subcontractors, including procurement of
materials and leases of equipment. The City shall not participate either directly or
indirectly in the discrimination prohibited by 49 C.F.R. §21.5, including employment
practices.
(D) Solicitations for Subcontracts, Including Procurements of Material
and Equipment: These assurances concerning nondiscrimination also apply to
subcontractors and suppliers of the City. These apply to all solicitations either by
competitive bidding or negotiation made by the City for work to be performed under a
subcontract including procurement of materials or equipment. Each potential
subcontractor or supplier shall be notified by the City of the requirements of this
Agreement relative to nondiscrimination on grounds of the race, color, religion, creed,
sex, disability or national origin, age or ancestry of any individual.
(E) Information and Reports: The City shall provide all information and
reports required by this Agreement, or orders and instructions issued pursuant thereto,
and will permit access to its books, records, accounts, other sources of information, and
its facilities as may be determined by the Commission or the United States Department
of Transportation to be necessary to ascertain compliance with other contracts, orders
and instructions. Where any information required of the City is in the exclusive
possession of another who fails or refuses to furnish this information, the City shall so
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certify to the Commission or the United States Department of Transportation as
appropriate and shall set forth what efforts it has made to obtain the information.
(F) Sanctions for Noncompliance: In the event the City fails to comply
with the nondiscrimination provisions of this agreement, the Commission shall impose
such contract sanctions as it or the United States Department of Transportation may
determine to be appropriate, including but not limited to:
1. Withholding of payments under this Agreement until the City
complies; and/or .
2. Cancellation, termination or suspension of this Agreement, in
whole or in part, or both.
(G) Incorporation of Provisions: The City shall include the provisions of
paragraph (28) of this Agreement in every subcontract, including procurements of
materials and leases of equipment, unless exempted by the statutes, executive order,
administrative rules or instructions issued by the Commission or the United States
Department of Transportation. The City will take such action with respect to any
subcontractor procurement as the Commission or the United States Department of
Transportation may direct as a means of enforcing such provisions, including sanctions
for noncompliance; provided that in the event the City becomes involved or is
threatened with litigation with a subcontractor or supplier as a result of such direction,
the City may request the United States to enter into such litigation to protect the
interests of the United States.
(29) ACCESS TO RECORDS: The City and its contractors must maintain all
records relating to this Agreement, including but not limited to invoices, payrolls, etc.
These records must be available at no charge to the FHWA and the Commission and/or
their designees or representatives during the period of this Agreement and any
extension, and for a period of three (3) years after the date on which the City receives
reimbursement of their final invoice from the Commission.
[Remainder of Page Intentionally Left Blank]
IN WITNESS WHEREOF, the parties have entered into this Agreement on
the date last written below.
Executed by the City thisOikday of L ,k/m&, , 20 1q.
Executed by the Commission this I day of , 20.
MISSOURI IGHWAYS AND Cl'
T P ATION I SIGN
By
Title Assistant Chief Engineer Titl
Ordinance No: �U)C'P
Exhibit B — Project Schedule
Project Description: Intersection Improvements at Independence Street and
Gordonville Road. STP -5100(022)
Task`.. ; .
Date
Date funding is made available or allocated to recipient
8/21/2014
Solicitation for Professional Engineering Services
(advertised)
11/1/2014
Engineering Services Contract Approved
12/15/2014
Conceptual Stud if applicable)
3/15/2015
Preliminary and Right -of -Way Plans Submittal
(if Applicable)
6/15/2015
Plans, Specifications & Estimate (PS&E) Submittal
12/15/2015
Plans, Specifications & Estimate (PS&E) Approval
2/15/2016
Advertisement for Letting
3/15/2016
Bid Opening
4/15/2016
Construction Contract Award or Planning Study completed
REQUIRED
5/15/2016
'Note: the dates established in the schedule above will be used in the applicable ESC
between the sponsor agency and consultant firm.
"Schedule dates are approximate as the project schedule will be actively managed and
issues mitigated through the project delivery process. The Award Date or Planning
Study Date deliverable is not approximate and requires request to adjust.
EXHIBIT C
REQUIRED CONTRACT PROVISIONS
FEDERAL -AID CONSTRUCTION CONTRACTS
I. General
II, Nondiscrimination
III, Nonsegregated Facilities
IV. Davis -Bacon and Related Act Provisions
V. Contract Work Hours and Safety Standards Act
Provisions
VI. Subletting or Assigning the Contract
VII. Safety: Accident Prevention
VIII. False Statements Concerning Highway Projects
IX. Implementation of Clean Air Act and Federal Water
Pollution Control Act
X. Compliance with Governmentwide Suspension and
Debarment Requirements
XI. Certification Regarding Use of Contract Funds for
Lobbying
ATTACHMENTS
A. Employment and Materials Preference for Appalachian
Development Highway System or Appalachian Local Access
Road Contracts (included in Appalachian contracts only)
I. GENERAL
1. Form FHWA-1273 must be physically incorporated in each
construction contract funded under Title 23 (excluding
emergency contracts solely intended for debris removal). The
contractor (or subcontractor) must insert this form in each
subcontract and further require its inclusion in all lower tier
subcontracts (excluding purchase orders, rental agreements
and other agreements for supplies or services).
The applicable requirements of Form FHWA-1273 are
incorporated by reference for work done under any purchase
order, rental agreement or agreement for other services. The
prime contractor shall be responsible for compliance by any
subcontractor, lower -tier subcontractor or service provider.
Form FHWA-1273 must be included in all Federal -aid design -
build contracts, in all subcontracts and in lower tier
subcontracts (excluding subcontracts for design services,
purchase orders, rental agreements and other agreements for
supplies or services). The design -builder shall be responsible
for compliance by any subcontractor, lower -tier subcontractor
or service provider.
Contracting agencies may reference Form FHWA-1273 in bid
proposal or request for proposal documents, however, the
Form FHWA-1273 must be physically incorporated (not
referenced) in all contracts, subcontracts and lower -tier
subcontracts (excluding purchase orders, rental agreements
and other agreements for supplies or services related to a
construction contract).
2. Subject to the applicability criteria noted in the following
sections, these contract provisions shall apply to all work
performed on the contract by the contractors own organization
and with the assistance of workers under the contractors
FHWA-1273 .- Revised May 1, 2012
immediate superintendence and to all work performed on the
contract by piecework, station work, or by subcontract.
3. A breach of any of the stipulations contained in these
Required Contract Provisions may be sufficient grounds for
withholding of progress payments, withholding of final
payment, termination of the contract, suspension / debarment
or any other action determined to be appropriate by the
contracting agency and FHWA.
4. Selection of Labor: During the performance of this contract,
the contractor shall not use convict labor for any purpose
within the limits of a construction project on a Federal -aid
highway unless it is labor performed by convicts who are on
parole, supervised release, or probation. The term Federal -aid
highway does not include roadways functionally classified as
local roads or rural minor collectors.
It. NONDISCRIMINATION
The provisions of this section related to 23 CFR Part 230 are
applicable to all Federal -aid construction contracts and to all
related construction subcontracts of $10.000 or more. The
provisions of 23 CFR Part 230 are not applicable to material
supply, engineering, or architectural service contracts.
In addition, the contractor and all subcontractors must comply
with the following policies: Executive Order 11246, 41 CFR 60,
29 CFR 1625-1627, Title 23 USC Section 140, the
Rehabilitation Act of 1973, as amended (29 USC 794), Tide VI
of the Civil Rights Act of 1964, as amended, and related
regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR
Parts 200, 230, and 633.
The contractor and all subcontractors must comply with: the
requirements of the Equal Opportunity Clause in 41 CFR 60.
1.4(b) and, for all construction contracts exceeding $10,000,
the Standard Federal Equal Employment Opportunity
Construction Contract Specifications in 41 CFR 604.3.
Note: The U.S. Department of Labor has exclusive authority to
determine compliance with Executive Order 11246 and the
policies of the Secretary of Labor including 41 CFR 60, and 29
CFR 1625-1627. The contracting agency and the FHWA have
the authority and the responsibility to ensure compliance with
Title 23 USC Section 140, the Rehabilitation Act of 1973, as
amended (29 USC 794), and Title VI of the Civil Rights Act of
1964, as amended, and related regulations including 49 CFR
Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and 633.
The following provision is adopted from 23 CFR 230. Appendix
A. with appropriate revisions to conform to the U.S.
Department of Labor (US DOL) and FHWA requirements.
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth
under laws. executive orders, rules, regulations (28 CFR 35,
29 CFR 1630, 29 CFR 1625-1627, 41 CFR 60 and 49 CFR 27)
and orders of the Secretary of Labor as modified by the
provisions prescribed herein, and imposed pursuant to 23
U.S.C. 140 shall constitute the EEO and specific affirmative
action standards for the contractors project activities under
this contract. The provisions of the Americans with Disabilities
Aa of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR
35 and 29 CFR 1630 are incorporated by reference in this
contract. In the execution of this contract, the contractor
agrees to comply voth the following minimum specific
requirement activities of EEO:
a. The contractor will work voth the contracting agency and
the Federal Government to ensure that it has made every
good faith effort to provide equal opportunity with respect to all
of its terms and conditions of employment and in their review
of activities under the contract.
b. The contractor will accept as its operating policy the
following statement:
'It is the policy of this Company to assure that applicants
are employed. and that employees are treated during
employment, without regard to their race, religion, sex, color,
national origin, age or disability. Such action shall include:
employment, upgrading, demotion, or transfer, recruitment or
recruitment advertising; layoff or termination; rates of pay or
other fortes of compensation; and selection for training,
including apprenticeship, pre -apprenticeship, and/or on-the-
job training.'
2. EEO Officer. The contractor will designate and make
known to the contracting officers an EEO Officer who will have
the responsibility for and must be capable of effectively
administering and promoting an active EEO program and who
must be assigned adequate authority and responsibility to do
so.
3. Dissemination of Policy: All members of the contractor's
staff who are authorized to hire, supervise, promote. and
discharge employees, or who recommend such action, or who
are substantially involved in such action, will be made fully
cognizant of. and will implement. the contractor's EEO policy
and contractual responsibilities to provide EEO in each grade
and classification of employment. To ensure that the above
agreement will be met, the following actions will be taken as a
minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the stan of work and then
not less often than once every six months, at which time the
contractors EEO policy and its implementation will be
reviewed and explained. The meetings will be conducted by
the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Officer, covering
all major aspects of the contractors EEO obligations within
thirty days following their reporting for duly with the contractor.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the
contractors procedures for locating and hiring minorities and
women.
d. Notices and posters setting forth the contractors EEO
policy will be placed in areas readily accessible to employees.
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the adernion of
employees by means of meetings. employee handbooks. or
other appropriate means.
s. Recruitment When advertising for employees, the
contractor will include in all advertisements for employees the
notation: 'An Equal Opportunity Employer.' All such
advertisements will be placed in publications having a large
circulation among minorities and women in the area from
which the project vrak force would normally be derived.
a. The contractor will, unless precluded by a valid
bargaining agreement. conduct systematic and direct
recruitment through public and private employee referral
sources likely to yield qualified minorities and women. To
meet this requirement, the contractor will identify sources of
potential minority group employees, and establish with such
identified sources procedures whereby minority and women
applicants may be referred to the contractor for employment
consideration.
b. In the event the contractor has a valid bargaining
agreement providing for exclusive hiring hall referrals, the
contractor is expected to observe the provisions of that
agreement to the extent that the system meets the contractor's
compliance with EEO contract provisions. Where
implementation of such an agreement has the effect of
discriminating against minorities or women, or obligates the
contractor to do the same, such implementation violates
Federal nondiscrimination provisions.
c. The contractor will encourage its present employees to
refer minorities and women as applicants for employment.
Information and procedures with regard to referring such
applicants will be discussed with employees.
5. Personnel Actions: Wages, working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type. including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken vothout regard to race, color, religion, sex. national
origin, age or disability. The following procedures shall be
followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facilities
do rat indicate discriminatory treatment of project site
personnel.
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any
evidence of discriminatory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take corrective action. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection
with its obligations under this contract. will attempt to resolve
such complaints, and will take appropriate corrective action
within a reasonable time. If the investigation indicates that the
discrimination may affect persons other than the complainant,
such corrective action shall include such other persons. Upon
completion of each investigation, the contractor will inform
every complainant of all of their avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minorities and women who are
applicants for employment or current employees. Such efforts
should be aimed at developing fulljourney level status
employees in the type of trade orjob classification involved.
b. Consistent with the contractor's work force requirements
and as permissible under Federal and State regulations, the
contractor shall make full use of training programs, i.e..
apprenticeship, and on-the-job training programs for the
geographical area of contract performance. In the event a
special provision for training is provided under this contract,
this subparagraph will be superseded as indicated in the
special provision. The contracting agency may reserve
training positions for persons who receive welfare assistance
in accordance with 23 U.S.C. 140(a).
c. The contractor will advise employees and applicants for
employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of employees who are minorities and
women and will encourage eligible employees to apply for
such training and promotion.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use good
faith efforts to obtain the cooperation of such unions to
increase opportunities for minorities and women. Actions by
the contractor, either directly or through a contractor's
association acting as agent, will include the procedures set
forth below:
a. The contractor will use good faith efforts to develop, in
cooperation with the unions, joint training programs aimed
toward qualifying more minorities and women for membership
in the unions and increasing the skills of minorities and women
so that they may qualify for higher paying employment.
b. The contractor will use good faith efforts to incorporate an
EEO clause into each union agreement to the end that such
union will be contractually bound to refer applicants without
regard to their race, color, religion, sex, national origin, age or
disability.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the
extent such information is within the exclusive possession of
the labor union and such labor union refuses to furnish such
information to the contractor, the contractor shall so certify to
the contracting agency and shall set forth what efforts have
been made to obtain such information.
d. In the event the union is unable to provide the contractor
with a reasonable Sow of referrals within the time limit set forth
in the collective bargaining agreement, the contractor will,
through independent recruitment efforts, fill the employment
vacancies without regard to race, color, religion, sex, national
origin, age or disability; making full efforts to obtain qualified
and/or qualifiable minorities and women. The failure of a union
to provide sufficient referrals (even though it is obligated to
provide exclusive referrals under the terms of a collective
bargaining agreement) does not relieve the contractor from the
requirements of this paragraph. In the event the union referral
practice prevents the contractor from meeting the obligations
pursuant to Executive Order 11246, as amended, and these
special provisions, such contractor shall immediately notify the
contracting agency.
8. Reasonable Accommodation for Applicants /
Employees with Disabilities: The contractor must be familiar
with the requirements for and comply with the Americans with
Disabilities Act and all rules and regulations established there
under. Employers must provide reasonable accommodation in
all employment activities unless to do so would cause an
undue hardship.
9. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall not
discriminate on the grounds of race, color, religion, sex,
national origin, age or disability in the selection and retention
of subcontractors, including procurement of materials and
leases of equipment. The contractor shall take all necessary
and reasonable steps to ensure nondiscrimination in the
administration of this contract.
a. The contractor shall notify all potential subcontractors and
suppliers and lessors of their EEO obligations under this
contract.
b. The contractor will use good faith efforts to ensure
subcontractor compliance with their EEO obligations.
10. Assurance Required by 49 CFR 26.13(b):
a. The requirements of 49 CFR Part 26 and the Slate
DOT's U.S. DOT -approved DBE program are incorporated by
reference.
b. The contractor or subcontractor shall not discriminate on
the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out
applicable requirements of 49 CFR Part 26 in the award and
administration of DOT -assisted contracts. Failure by the
contractor to carry out these requirements is a material breach
of this contract, which may result in the termination of this
contract or such other remedy as the contracting agency
deems appropriate.
11. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of
three years following the date of the final payment to the
contractor for all contract work and shall be available at
reasonable times and places for inspection by authorized
representatives of the contracting agency and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number and work hours of minority and non -
minority group members and women employed in each work
classification on the project;
(2) The progress and efforts being made in cooperation
With unions, when applicable, to increase employment
opportunities for minorities and women; and
(3) The progress and efforts being made in locating, hiring,
training, qualifying, and upgrading minorities and women;
b. The contractors and subcontractors will submit an annual
report to the contracting agency each July for the duration of
the project, indicating the number of minority, women, and
non -minority group employees currently engaged in each work
classification required by the contract work. This information is
to be reported on Form FHWA-1391. The staffing data should
represent the project work force on board in all or any part of
the last payroll period preceding the end of July. If on-the-job
training is being required by special provision, the contractor
will be required to collect and report training data. The
employment data should reflect the work force on board during
all or any pan of the last payroll period preceding the end of
July.
III. NONSEGREGATED FACILITIES
This provision is applicable to all Federal -aid construction
contracts and to all related construction subcontracts of
$10.000 or more.
The contractor must ensure that facilities provided for
employees are provided in such a manner that segregation on
the basis of race. color. religion. sex, or national origin cannot
result. The contractor may neither require such segregated
use by written or oral policies nor tolerate such use by
employee custom. The contractor's obligation extends further
to ensure that its employees are not assigned to perform their
services at any location, under the contractor's control, where
the facilities are segregated. The temt'facilities" includes
waiting rooms, work areas, restaurants and other eating areas,
time clocks, resumms, washrooms, locker rooms, and other
storage or dressing areas, parking lots, drinking fountains.
recreation or entertainment areas, transportation, and housing
provided for employees. The contractor shall provide separate
or single -user restrooms and necessary dressing or sleeping
areas to assure privacy between sexes.
IV. DAVIS-BACON AND RELATED ACT PROVISIONS
This section is applicable to all Federal -aid construction
projects exceeding $2,000 and to all related subcontracts and
lower -tier subcontracts (regardless of subcontract size). The
requirements apply to all projects located within the right-of-
way of a roadway that is functionally classified as Federal -aid
highway. This excludes roadways functionally classified as
local roads or rural minor collectors, which are exempt.
Contracting agencies may elect to apply these requirements to
other projects.
The following provisions are from the U.S. Department of
Labor regulations in 29 CFR 5.5 'Contract provisions and
related matters' with minor revisions to conform to the FHWA-
1273 format and FHWA program requirements.
1. Minimum wages
a. All laborers and mechanics employed or working upon
the site of the work, will be paid unconditionally and not less
often than once a week, and without subsequent deduction or
rebate on any account (except such payroll deductions as are
permitted by regulations issued by the Secretary of Labor
under the Copeland Act (29 CFR part 3)), the full amount of
wages and bona fide fringe benefits (or cash equivalents
thereol) due at time of payment computed at rates no less
than those contained in the wage determination of the
Secretary of Labor which is attached hereto and made a part
hereof, regardless of any contractual relationship which may
be alleged to exist between the contractor and such laborers
and mechanics.
Contributions made or costs reasonably anticipated for bona
fide fringe benefits under section 1(b)(2) of the Davis -Bacon
Act on behalf of laborers or mechanics are considered wages
paid to such laborers or mechanics, subject to the provisions
of paragraph 1.d. of this section; also, regular contributions
made or costs incurred for more than a weekly period (but not
less often than quarterly) under plans, funds, or programs
which cover the particular weekly period, are deemed to be
constructively made or incurred during such weekly period.
Such laborers and mechanics shall be paid the appropriate
wage rate and fringe benefits on the wage determination for
the classification of work actually performed, without regard to
skill, except as provided in 29 CFR 5.5(a)(4). Laborers or
mechanics performing work in more than one classification
may be compensated at the rate specified for each
classification for the time actually worked therein: Provided.
That the employer's payroll records accurately set forth the
time spent in each classification in which wok is performed.
The wage determination Qncluding any additional classification
and wage rates conformed under paragraph 1.b. of this
section) and the Davis -Bacon poster (WH -1321) shall be
posted at all times by the contractor and its subcontractors at
the site of the work in a prominent and accessible place where
it can be easily seen by the workers.
b.(1) The contracting officer shall require that any class of
laborers or mechanics, including helpers, which is not listed in
the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage
determination. The contracting officer shall approve an
additional classification and wage rate and fringe benefits
therefore only when the following criteria have been met:
(i) The work to be performed by the classification
requested is not performed by a classification in the wage
determination; and
(ii) The classification is utilized in the area by the
construction industry; and
(iii) The proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the
wage rates contained in the wage determination.
(2) If the contractor and the laborers and mechanics to be
employed in the classification (f known), or their
representatives, and the contracting officer agree on the
classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of
the action taken shall be sent by the contracting officer to the
Administrator of the Wage and Hour Division, Employment
Standards Administration. U.S. Department of Labor,
Washington, DC 20210. The Administrator, or an authorized
representative, will approve. modify, or disapprove every
additional classification action within 30 days of receipt and
so advise the contracting officer or will notify the contracting
officer within the 30 -day period that additional time is
necessary.
(3) In the event the contractor. the laborers or mechanics
to be employed in the classification or their representatives,
and the contracting officer do not agree on the proposed
classification and wage rate (including the amount
designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the
views of all interested parties and the recommendation of the
contracting officer, to the Wage and Hour Administrator for
determination. The Wage and Hour Administrator, or an
authorized representative, will issue a determination within
30 days of receipt and so advise the contracting officer or
will notify the contracting officer within the 30 -day period that
additional time is necessary.
(4) The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraphs 1.b.(2) or
l.b.(3) of this section, shall be paid to all workers performing
work in the classification under this contract from the first
day on which work is performed in the classification.
c. Whenever the minimum wage rate prescribed in the
contract for a class of laborers or mechanics includes a fringe
benefit which is not expressed as an hourly rate, the contractor
shall either pay the benefit as stated in the wage determination
or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
d. If the contractor does not make payments to a trustee or
other third person, the contractor may consider as part of the
wages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing bona fide fringe benefits
under a plan or program. Provided, That the Secretary of
Labor has found, upon the written request of the contractor,
that the applicable standards of the Davis -Bacon Act have
been met. The Secretary of Labor may require the contractor
to set aside in a separate account assets for the meeting of
obligations under the plan or program.
2. Withholding
The contracting agency shall upon its own action or upon
written request of an authorized representative of the
Department of Labor, withhold or cause to be withheld from
the contractor under this contract, or any other Federal
contract with the same prime contractor, or any other federally -
assisted contract subject to Davis -Bacon prevailing wage
requirements, which is held by the same prime contractor, so
much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics,
including apprentices, trainees, and helpers, employed by the
contractor or any subcontractor the full amount of wages
required by the contract. In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or
helper, employed or working on the site of the work, all or part
of the wages required by the contract, the contracting agency
may, after written notice to the contractor, take such action as
may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds until such violations
have ceased.
3. Payrolls and basic records
a. Payrolls and basic records relating thereto shall be
maintained by the contractor during the course of the work and
preserved for a period of three years thereafter for all laborers
and mechanics working at the site of the work. Such records
shall contain the name, address, and social security number of
each such worker, his or her correct classification, hourly rates
of wages paid (including rates of contributions or costs
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,
deductions made and actual wages paid. Whenever the
Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that
the wages of any laborer or mechanic include the amount of
any costs reasonably anticipated in providing benefits under a
plan or program described in section 1(b)(2)(B) of the Davis -
Bacon Act, the contractor shall maintain records which show
that the commitment to provide such benefits is enforceable,
that the plan or program is financially responsible, and that the
plan or program has been communicated in writing to the
laborers or mechanics affected, and records which show the
costs anticipated or the actual cost incurred in providing such
benefits. Contractors employing apprentices or trainees under
approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of
trainee programs, the registration of the apprentices and
trainees, and the ratios and wage rales prescribed in the
applicable programs.
b. (1) The contractor shall submit weekly for each week in
which any contract work is performed a copy of all payrolls to
the contracting agency. The payrolls submitted shall set out
accurately and completely all of the information required to be
maintained under 29 CFR 5.5(a)(3)(i), except that full social
security numbers and home addresses shall not be included
on weekly transmittals. Instead the payrolls shall only need to
include an individually identifying number for each employee
e.g. , the last four digits of the employee's social security
number). The required weekly payroll information may be
submitted in any form desired. Optional Form WH -347 is
available for this purpose from the Wage and Hour Division
Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm
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
security number and current address of each covered worker,
and shall provide them upon request to the contracting agency
for transmission to the State DOT, the FHWA or the Wage and
Hour Division of the Department of Labor for purposes of an
investigation or audit of compliance with prevailing wage
requirements. It is not a violation of this section for a prime
contractor to require a subcontractor to provide addresses and
social security numbers to the prime contractor for its own
records, without weekly submission to the contracting agency..
(2) Each payroll submitted shall be accompanied by a
"Statement of Compliance.' signed by the contractor or
subcontractor or his or her agent who pays or supervises the
payment of the persons employed under the contract and shall
certify the following:
(i) That the payroll for the payroll period contains the
information required to be provided under §5.5 (a)(3)(u) of
Regulations, 29 CFR part 5, the appropriate information is
being maintained under §5.5 (a)(3)(i) of Regulations, 29
CFR part 5, and that such information is correct and
complete;
(ii) That each laborer or mechanic (including each
helper, apprentice, and trainee) employed on the contract
during the payroll period has been paid the full weekly
wages earned, without rebate, either directly or indirectly,
and that no deductions have been made either directly or
indirectly from the full wages earned, other than
permissible deductions as set forth in Regulations, 29 CFR
part 3;
(iii) That each laborer or mechanic has been paid not
less than the applicable wage rates and fringe benefits or
cash equivalents for the classification of work performed,
as specified in the applicable wage determination
incorporated into the contract.
(3) The weekly submission of a properly executed
certification set forth on the reverse side of Optional Forth
WH -347 shall satisfy the requirement for submission of the
'Statement of Compliance' required by paragraph 3.b.(2) of
this section.
(4) The falsification of any of the above certifications may
subject the contractor or subcontractor to civil or criminal
prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code.
c. The contractor or subcontractor shall make the records
required under paragraph 3.a. of this section available for
inspection, copying, or transcription by authorized
representatives of the contracting agency, the State DOT, the
FHWA, or the Department of Labor, and shall permit such
representatives to interview employees during working hours
on thejob. If the contractor or subcontractor fails to submit the
required records or to make them available, the FHWA may.
after written notice to the contractor, the contracting agency or
the State DOT, lake such action as may be necessary to
cause the suspension of any further payment. advance, or
guarantee of funds. Furthermore, failure to submit the required
records upon request or to make such records available may
be grounds for debarment action pursuant to 29 CFR 5.12.
4. Apprentices and trainees
a. Apprentices (programs of the USDOL).
Apprentices Wit be permitted to work at less than the
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the U.S. Department of
Labor. Employment and Training Administration, Office of
Apprenticeship Training, Employer and Labor Services, or With
a State Apprenticeship Agency recognized by the Office. or if a
person is employed in his or her first 90 days of probationary
employment as an apprentice in such an apprenticeship
program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship
Training, Employer and Labor Services or a State
Apprenticeship Agency (where appropriate) to be eligible for
probationary employment as an apprentice.
The allowable ratio of apprentices tojoumeymen on thejob
site in any craft classification shall not be greater than the ratio
permitted to the contractor as to the entire work force under
the registered program. Any worker listed on a payroll at an
apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not less than the
applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any
apprentice performing work on thejob site in excess of the
ratio permitted under the registered program shall be paid not
less than the applicable wage rate on the wage determination
for the work actually performed. Where a contractor is
performing construction on a project in a locality other than
that in which fts program is registered. the ratios and wage
rates (expressed in percentages of the joumeyman's hourly
rate) specified in the contractor's a subconuactor's registered
program shall be observed.
Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of
progress, expressed as a percentage of thejoumeymen hourly
rate specified in the applicable Wage determination.
Apprentices shall be paid fringe benefits in accordance with
the provisions of the apprenticeship program. If the
apprenticeship program does not specify fringe benefits,
apprentices must be paid the full amount of fringe benefits
listed on the wage determination for the applicable
classification. If the Administrator determines that a different
practice prevails for the applicable apprentice classification,
fringes shall be paid in accordance With that determination.
In the event the Office of Apprenticeship Training, Employer
and Labor Services, or a State Apprenticeship Agency
recognized by the Office, withdraws approval of an
apprenticeship program, the contractor Will no longer be
permitted to utilize apprentices at less than the applicable
predetermined rate for the work performed until an acceptable
program is approved.
b. Trainees (programs of the USDOL).
Except as provided in 29 CFR 5.16, trainees will not be
permitted to work at less than the predetermined rate for the
work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval, evidenced by formal certification by the U.S.
Department of Labor. Employment and Training
Administration.
The ratio of trainees tojourneymen on thejob site shall not be
greater than permitted under the plan approved by the
Employment and Training Administration.
Every trainee must be paid at not less than the rate specified
in the approved program for the trainee's level of progress,
expressed as a percentage of the journeyman hourly rate
specified in the applicable wage determination. Trainees shall
be paid fringe benefits in accordance with the provisions of the
trainee program. If the trainee program does not mention
fringe benefits, trainees shall be paid the full amount of fringe
benefits listed on the wage determination unless the
Administrator of the Wage and Hour Division determines that
there is an apprenticeship program associated with the
correspondingjoumeyman wage rate on the wage
determination which provides for less than full fringe benefits
for apprentices. Any employee listed on the payroll at a trainee
rate who is not registered and participating in a training plan
approved by the Employment and Training Administration shall
be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed.
In addition, any trainee performing work on thejob site in
excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed.
In the event the Employment and Training Administration
withdraws approval of a training program, the contractor will no
longer be permitted to utilize trainees at less than the
applicable predetermined rate for the work performed until an
acceptable program is approved.
c. Equal employment opportunity. The utilization of
apprentices, trainees and joumeymen under this pan shall be
in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and 29
CFR part 30.
d. Apprentices and Trainees (programs of the U.S. DOT).
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the
Secretary of Transportation as promoting EEO in connection
with Federal -aid highway construction programs are not
subject to the requirements of paragraph 4 of this Section IV.
The straight time hourly wage rates for apprentices and
trainees under such programs will be established by the
particular programs. The ratio of apprentices and trainees to
journeymen shall not be greater than permitted by the terms of
the particular program.
5. Compliance with Copeland Act requirements. The
contractor shall comply with the requirements of 29 CFR part
3, which are incorporated by reference in this contract.
S. Subcontracts. The contractor or subcontractor shall insert
Form FHWA-1273 in any subcontracts and also require the
subcontractors to include Forth FHWA-1273 in any lower tier
subcontracts. The prime contractor shall be responsible for the
compliance by any subcontractor or lower tier subcontractor
with all the contract clauses in 29 CFR 5.5.
7. Contract termination: debarment A breach of the
contract clauses in 29 CFR 5.5 may be grounds for termination
of the contract, and for debarment as a contractor and a
subcontractor as provided in 29 CFR 5.12.
8. Compliance with Davis -Bacon and Related Act
requirements. All rulings and interpretations of the Davis -
Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5
are herein incorporated by reference in this contract.
9. Disputes concerning labor standards. Disputes arising
out of the labor standards provisions of this contract shall not
be subject to the general disputes clause of this contract. Such
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
between the contractor (or any of its subcontractors).and the
contracting agency. the U.S. Department of Labor, or the
employees or their representatives.
10. Certification of eligibility.
a. By entering into this contract, the contractor codifies that
neither it (nor he or she) nor any person or firm who has an
interest in the contractor's firm is a person or firm ineligible to
be awarded Government contracts by virtue of section 3(a) of
the Davis -Bacon Act or 29 CFR 5.12(a)(1).
b. No part of this contract shall be subcontracted to any person
or firm ineligible for award of a Government contract by virtue
of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
c. The penalty for making false statements is prescribed in the
U.S. Criminal Code, 18 U.S.C. 1001.
V. CONTRACT WORK HOURS AND SAFETY
STANDARDS ACT
The following clauses apply to any Federal -aid construction
contract in an amount in excess of $100,000 and subject to the
overtime provisions of the Contract Work Hours and Safety
Standards Act. These clauses shall be inserted in addition to
the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As
used in this paragraph, the terms laborers and mechanics
include watchmen and guards.
1. Overtime requirements. No contractor or subcontractor
contracting for any part of the contract work which may require
or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any
workweek in which he or she is employed on such work to
work in excess of forty hours in such workweek unless such
laborer or mechanic receives compensation at a rate not less
than one and one-half times the basic rate of pay for all hours
worked in excess of forty hours in such workweek.
2. Violation; liability for unpaid wages; liquidated
damages. In the event of any violation of the clause set forth
in paragraph (1.) of this section, the contractor and any
subcontractor responsible therefor shall be liable for the
unpaid wages. In addition, such contractor and subcontractor
shall be liable to the United States (in the case of work done
under contract for the District of Columbia or a territory, to such
District or to such territory), for liquidated damages. Such
liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and
guards, employed in violation of the clause set forth in
paragraph (1.) of this section, in the sum of $10 for each
calendar day on which such individual was required or
permitted to work in excess of the standard workweek of forty
hours without payment of the overtime wages required by the
clause set forth in paragraph (1.) of this section.
3. Withholding for unpaid wages and liquidated damages.
The FHWA or the contacting agency shall upon its own action
or upon written request of an authorized representative of the
Department of Labor withhold or cause to be withheld, from
any moneys payable on account of work perfumed by the
contractor or subcontractor under any such contract or any
other Federal contract with the same prime contractor, or any
other federally -assisted contract subject to the Contract Work
Hours and Safety Standards Act, which is held by the same
prime contractor, such sums as may be determined to be
necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated damages as
provided in the clause set forth in paragraph (2.) of this
section.
4. Subcontracts. The contractor or subcontractor shall insert
in any subcontracts the clauses set forth in paragraph (1.)
through (4.) of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier
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.
VI. SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal -aid construction
contracts on the National Highway System.
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent (or a
greater percentage if specified elsewhere in the contract) of
the total original contract price, excluding any specialty hems
designated by the contracting agency. Specialty items may be
performed by subcontract and the amount of any such
specialty items performed may be deducted from the total
original contract price before computing the amount of work
required to be performed by the contractor's own organization
(23 CFR 635.116).
a. The term -perform work with its own organization' refers
to workers employed or leased by the prime contractor, and
equipment owned or rented by the prime contractor, with or
without operators. Such term does not include employees a
equipment of a subcontractor or lower tier subcontractor,
agents of the prime contractor. or any other assignees. The
term may include payments for the costs of hiring leased
employees frau an employee leasing firm meeting all relevant
Federal and State regulatory requirements. Leased
employees may only be included in this term if the prime
contractor meets all of the following conditions:
(1) the prime contractor maintains control over the
supervision of the day-to-day activities of the leased
employees:
(2) the prime contractor remains responsible for the quality
of the work of the leased employees:
(3) the prime contractor retains all power to accept or
exclude individual employees from work on the project; and
(4) the prime contractor remains ultimately responsible for
the payment of predetermined minimum wages, the
submission of payrolls, statements of compliance and all
other Federal regulatory requirements.
b. 'Specialty Items' shall be construed to be limited to work
that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid or propose on the
contract as a whole and in general are to be limited to minor
components of the overall contract.
2. The contract amount upon which the requirements set forth
in paragraph (1) of Section VI is computed includes the cost of
material and manufactured products which are to be
purchased or produced by the contractor under the contract
provisions.
3. The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the firm, has full authority to
direct performance of the work in accordance with the contract
requirements, and is in charge of all construction operations
(regardless of who performs the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the contracting officer determines is
necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the
contracting officer, or authorized representative, and such
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment of the
contract. Written consent will be given only after the
contracting agency has assured that each subcontract is
evidenced in writing and that it contains all pertinent provisions
and requirements of the prime contract.
5. The 30% self -performance requirement of paragraph (1) is
not applicable to design -build contracts; however, contracting
agencies may establish their own self -performance
requirements.
VII. SAFETY: ACCIDENT PREVENTION
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts.
1. In the performance of this contract the contractor shall
comply with all applicable Federal, State. and local laws
governing safety, health, and sanitation (23 CFR 635). The
contractor shall provide all safeguards, safety devices and
protective equipment and take any other needed actions as a
determines, or as the contacting officer may determine, to be
reasonably necessary to protect the life and health of
employees on thejob and the safety of the public and to
protect property in connection with the performance of the
work covered by the contract.
2. It is a condition of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contracL that the contractor and any
subcontractor shall not permit any employee, in performance
of the contract, to work in surroundings or under conditions
which are unsanitary. hazardous or dangerous to his/her
health or safety, as determined under construction safety and
health standards (29 CFR 1926) promulgated by the Secretary
of tabor, in accordance with Section 107 of the Contract Work
Hours and Safety Standards Act (40 U.S.C. 3704).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract
that the Secretary of Labor or authorized representative
thereof, shall have right of entry to any she of contract
performance to inspector investigate the mader of compliance
with the construction safety and health standards and to carry
out the duties of the Secretary under Section 107 of the
Contract Work Hours and Safety Standards Act (40
U.S.C.3704).
Vlll. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts.
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made
by engineers, contractors, suppliers, and workers on Federal -
aid highway projects, it is essential that all persons concerned
with the project perform their functions as carefully, thoroughly,
and honestly as possible. Willful falsification, distortion, or
misrepresentation with respect to any facts related to the
project is a violation of Federal law. To prevent any
misunderstanding regarding the seriousness of these and
similar acts, Form FHWA-1022 shall be posted on each
Federal -aid highway project (23 CFR 635) in one or more
places where it is readily available to all persons concerned
with the projmt:
16 U.S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or employee of the United
States, or of any State or Territory, or whoever, whether a
person, association, firm, or corporation, knowingly makes any
false statement, false representation, or false report as to the
character, quality, quantity, or cost of the material used or to
be used, or the quantity or quality of the work performed or to
be performed, or the cost thereof in connection with the
submission of plans, maps, specifications, contracts, or costs
of construction on any highway or related project submitted for
approval to the Secretary of Transportation; or
Whoever knowingly makes any false statement, false -
representation, false report or false claim with respect to the
character, quality, quantity. or cost of any work performed or to
be performed, or materials furnished or to be furnished, in
connection with the construction of any highway or related
project approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate,
or report submitted pursuant to provisions of the Federal -aid
Roads Act approved July 1, 1916, (39 Stat. 355), as amended
and supplemented;
Shall be fined under this title a imprisoned not more than 5
years or both."
IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts.
By submission of this biNproposal or the execution of this
contract, or subcontract, as appropriate, the bidder, proposer
Federal -aid construction contractor, or subcontractor, as
appropriate, will be deemed to have stipulated as follows:
1. That any person who is or will be utilized in the
performance of this contract is not prohibited from receiving an
award due to a violation of Section 508 of the Clean Water Act
or Section 306 of the Clean Air Act,
2. That the contractor agrees to include or cause to be
included the requirements of paragraph (1) of this Section X in
every subcontract, and further agrees to take such action as
the contracting agency may direct as a means of enforcing
such requirements.
X. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
This provision is applicable to all Federal -aid construction
contracts, design -build contracts, subcontracts, lower -tier
subcontracts, purchase orders. lease agreements, consultant
contracts or any other covered transaction requiring FHWA
approval or that is estimated to cost $25,000 ff more — as
defined in 2 CFR Pans 180 and 1200.
1. Instructions for Certification — First Tier Participants:
a. By signing and submitting this proposal, the prospective
first tier participant is providing the certification set out below.
b. The inability of a person to provide the certification set out
below will not necessarily result in denial of participation in this
covered transaction. The prospective first tier participant shall
submit an explanation of why it cannot provide the certification
set out below. The certification or explanation will be
considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective first tier participant to furnish a
certification or an explanation shall disqualify such a person
from participation in this transaction.
c. The certification in this clause is a material representation
of fact upon which reliance was placed when the contracting
agency determined to enter into this transaction. If it is later
determined that the prospective participant knowingly rendered
an erroneous certification, in addition to other remedies
available to the Federal Government, the contracting agency
may terminate this transaction for cause of default.
d. The prospective first tier participant shall provide
immediate written notice to the contracting agency to whom
this proposal is submitted if any time the prospective first tier
participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed
circumstances.
e. The terms "covered transaction," "debarred,"
suspended," "ineligible," "participant," "person," "principal,"
and "voluntarily excluded," as used in this clause, are defined
in 2 CFR Parts 180 and 1200. "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" refers to any covered transaction under a First
Tier Covered Transaction (such as subcontracts). "First Tier
Participant" refers to the participant who has entered into a
covered transaction with a grantee or subgrantee of Federal
funds (such as the prime or general contractor). "Lower Tier
Participant" refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
Tier Participants (such as subcontractors and suppliers).
L The prospective first tier participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tiff
covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by
the department or agency entering into this transaction.
g. The prospective first tier participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transactions."
provided by the department or contracting agency, entering
into this covered transaction, without modification, in all lower
tier covered transactions and in all solicitations for lower fier
covered transactions exceeding the 825,000 threshold.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as
the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded
Parties List System website Ltps://m",epls.govll, which is
compiled by the General Services Administration.
i. Nothing contained in the foregoing shall be construed to
require the establishment of a system of records in order to
render in good faith the certification required by this clause.
The knowledge and information of the prospective participant
is not required to exceed that which is normally possessed by
a prudent person in the ordinary course of business dealings.
j. Except for transactions authorized under paragraph (q of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended. debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
department or agency may terminale this transaction for cause
or default.
2. Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion - First Tier
Participants:
a. The prospective first tier participant certifies to the best of
its knowledge and belief, that it and its principals:
(1) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participating in covered transactions by any Federal
department or agency;
(2) Have not within a three-year period preceding this
proposal been convicted of or had a civiljudgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing
a public (Federal, State or local) transaction or contract under
a public transaction; violation of Federal or Stale antitrust
statutes or commission of embezzlement. theft, forgery,
bribery, falsification or destruction of records, making false
statements, or receiving stolen property;
(3) Are not presently indicted for orotherwise criminally m
civilly charged by a governmental entity (Federal, State or
local) with commission of any of the offenses enumerated in
paragraph (a)(2) of this certification: and
(4) Have not within a three-year period preceding this
application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
b. Where the prospective participant is unable to cert"ty to
any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
2. Instructions for Certification - Lower Tier Participants
(Applicable to all subcontracts, purchase orders and other
lower der transactions requiring prior FHWA approval or
estimated to cost $25.000 or more - 2 CFR Parts 180 and
1200)
a. By signing and submitting this proposal, the prospective
lower der is providing the certntcation set out below.
b. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction
was entered into. If ¢ is later determined that the prospective
lower tier participant knowingly rendered an erroneous
certification, in addition to other remedies available to the
Federal Government, the department, or agency with which
10
this transaction originated may pursue available remedies,
including suspension and/or debarment.
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of
changed circumstances.
d. The terms -covered transaction," debarred,"
suspended," 'ineligible.' participant," 'person.* principal,'
and "voluntarily excluded.' as used in this clause, are defined
in 2 CFR Pans 180 and 1200. You may contact the person to
which this proposal is submitted for assistance in obtaining a
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'
refers to any covered transaction under a First Tier Covered
Transaction (such as subcontracts). 'First Tier Participant"
refers to the participant who has entered into a covered
transaction with a grantee or subgrantee of Federal funds
(such as the prime or general contractor). 'Lower Tier
Participant' refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
Tier Participants (such as subcontractors and suppliers).
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into
any lower tier covered transaction with a person who is
debarred. suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless
authorized by the department or agency with which this
transaction originated.
I. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause tided
'Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transaction,'
without modification, in all lower tier covered transactions and
in all solicitations for lower tier covered transactions exceeding
the $25,000 threshold.
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred. suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it
knows that the certification is eroneous. A participant is
responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as
the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded
Parties List System website (https:11www.epls.go, which is
compiled by the General Services Administration.
It. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render
in good faith the celcation required by this clause. The
knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person
in the ordinary course of business dealings.
t. Except for transactions authorized under paragraph a of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
department or agency with which this transaction originated
may pursue available remedies, including suspension and/or
debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion—Lower Tier
Participants:
1. The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participating in
covered transactions by any Federal department or agency.
2. Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
XI. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS FOR LOBBYING
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts which exceed
$100,000 (49 CFR 20).
1. The prospective participant cenifies, by signing and
submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any
Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or
cooperative agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and
submit Standard Form -LI -L. '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 aprerequisite
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.
11
ATTACHMENT A- EMPLOYMENT AND MATERIALS
PREFERENCE FOR APPALACHIAN DEVELOPMENT
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS
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 a specialty experienced personnel necessary to
assure an efficient execntion of the contract work.
c. For the obligation of the contractor to offer employment to
present of former employees as the result of a lawful collective
bargaining contract, provided that the number of nonresident
persons employed under this subparagraph (lc) shall not
exceed 20 percent of the total number of employees employed
by the contractor on the contract work, except as provided in
subparagraph (4) below.
2. The contractor shall place ajob order with the State
Employment Service indicating (a) the classifications of the
laborers, mechanics and other employees required to perform
the contract work, (b) the number of employees required in
each classification, (c) the date on which the participant
estimates such employees will be required, and (d) any other
pertinent information required by the State Employment
Service to complete the job order form. Thejob order maybe
placed with the State Employment Service in waiting a by
telephone. If during the course of the contract work, the
information submitted by the contractor in the criginaljob order
is substantially modified, the participant shall promptly notify
the State Employment Service.
3. The contractor shall give full consideration to all qualified
job applicants referred to him by the State Employment
Service. The contractor is not required to grant employment to
anyjob applicants who, in his opinion, are not qualified to
perform the classification of work required.
4. If, within one week following the placing of ajob order by
the contractor with the State Employment Service. the State
Employment Service is unable to refer any qualifiedjob
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 pan 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 (1c)
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.
12
6. The contractor shall include the provisions of Sections 1
through 4 of this Attachment A in every subcontract for work
which is, or reasonably may be, done as on-site work.
�
SPONSOR: City of Cape Girardeau
LOCATION: Independence Street at Gordonville Road
PROJECT: Intersection Improvements at Independence St. & Gordonville Rd. STP-1500(022)
THIS CONTRACT is between City of Cape Girardeau, Missouri, hereinafter referred to as the "Local
Agency", and Koehler Engineering and Land Surveying, Inc., 194 Coker Lane, Cape Girardeau, MO
63701, hereinafter referred to as the "Engineer".
INASMUCH as funds have been made available by the Federal Highway Administration through its
Surface Transportation Program (STP) Small Urban, coordinated through the Missouri Department of
Transportation, the Local Agency intends to perform a traffic study and make recommendations for
improving traffic flow and relieving congestion during peak travel periods at the intersection of
Independence Street with Gordonville Road and requires professional engineering services. The
Engineer will provide the Local Agency with professional services hereinafter detailed for the study
of the desired improvements and the Local Agency will pay the Engineer as provided in this contract.
Preliminary Engineering, design, and construction inspection will be addressed by a supplemental
Engineering Services Contract (ESC)upon completion of the study. It is mutually agreed as follows:
ARTICLE I—SCOPE OF SERVICES
See Attachment A for the Scope of Service specific to this project.
ARTICLE II - DISADVANTAGED BUSINESS ENTERPRISE (DBE) REOUIREMENTS:
A DBE Goal: The following DBE goal has been established for this Agreement. The dollar
value of services and related equipment, supplies, and materials used in furtherance thereof
which is credited toward this goal will be based on the amount actually paid to DBE firms.
The goal for the percentage of services to be awarded to DBE firms is 0.00 % of the total
Agreement dollar value.
B. DBE Participation Obtained by Engineer: The Engineer has obtained DBE participation, and
agrees to use DBE firms to complete, 0.DO % of the total services to be performed under
ihis �greement, by dollar value. The DBE firms which the Engineer shall use, and the type
and dollar value of the services each DBE will perform, is as follows:
DBE FIRM PERCENTAGE
NAME, CONTRACT OF
STREET AND TOTAL $ $ AMOUNT SUBCONTRACT
COMPLETE TYPE OF VALUE OF TO APPLY DOLLAR VALUE
MAILING DBE THE DBE TO TOTAL APPLICABLE TO
ADDRESS SERVICE SUBCONTRACT DBE GOAL TOTAL GOAL
Not Applicable
Fig. 136.4.1 Contract Revised 6/25/13
1
..a� ;,�
ARTICLE III-ADDITIONAL SERVICES
The Local Agency reserves the right to request additional work, and changed or unforeseen
conditions may require changes and work beyond the scope of this contract. In this event, a
supplement to this agreement shall be executed and submitted for the approval of MoDOT prior to
performing the additional or changed work or incurring any additional cost thereof. Any change in
compensation will be covered in the supplement.
ARTICLE IV- RESPONSIBILITIES OF LOCAL AGENCY
The Local Agency will cooperate fully with the Engineer in the development of the project, including
the following:
A. make available all information pertaining to the project which may be in the possession of the
Local Agency;
B. provide the Engineer with the Local Agency's requirements for the project;
C. make provisions for the Engineer to enter upon property at the project site for the performance
of his duties;
D. examine all studies and layouts developed by the Engineer, obtain reviews by MoDOT, and
render decisions thereon in a prompt manner so as not to delay the Engineer;
E. designate a Local Agency's employee to act as Local Agency's Person in Responsible Charge
under this contract, such person shall have authority to transmit instructions, interpret the
Local Agency's policies and render decisions with respect to matters covered by this
agreement (see EPG 136.3);
F. perform appraisals and appraisal review, negotiate with property owners and otherwise
provide all services in connection with acquiring all right-of-way needed to construct this
�roj eet.
ARTICLE V - PERIOD OF SERVICE
The Engineer will commence work within two weeks after receiving notice to proceed from the Local
Agency. The general phases of work will be completed in accordance with the following schedule:
A. Conceptual Study Submittal shall be completed on or before December 15, 2014
The Local Agency will grant time extensions for delays due to unforeseeable causes beyond the
control of and without fault or negligence of the Engineer. Requests for extensions of time shall be
made in writing by the Engineer, before that phase of work is scheduled to be completed, stating fully
the events giving rise to the request and justification for the time extension requested.
Fig. 136.4.1 Contract Revised 6/25/13
2
�`s` '
ARTICLE VI—STANDARDS
The Engineer shall be responsible for working with the Local Agency in determining the appropriate
design parameters and construction specifications for the project using good engineering judgment
based on the specific site conditions, Local Agency needs, and guidance provided in the most current
version of EPG 136 LPA Policy. If the project is on the state highway system or is a bridge project,
then the latest version of MoDOT's Engineering Policy Guide (EPG) and Missouri Standard
Specifications for Highway Construction shall be used (see EPG 136.7). The project plans must also
be in compliance with the latest ADA (Americans with Disabilities Act) Regulations.
ARTICLE VII - COMPENSATION
For services provided under this contract, the Local Agency will compensate the Engineer as follows:
A. For design services, including work through the construction contract award stage, the Local
Agency will pay the Engineer the actual costs incurred plus a predetermined fixed fee of
$950.22,with a ceiling established for said design services in the amount of
$8,739.20,which amount shall not be exceeded.
B. The compensation outlined above has been derived from estimates of cost which are detailed
in Attachment B. Any major changes in work, extra work, exceeding of the contract ceiling,
or change in the predetermined fixed fee will require a supplement to this contract, as covered
in Article III - ADDITIONAL SERVICES.
C. Actual costs in Sections A above are defined as:
1. Actual payroll salaries paid to employees for time that they are productively
engaged in work covered by this contract,plus
2. An amount estimated at 40.05% of actual salaries in Item 1 above for payroll
additives, including payroll taxes, holiday and vacation pay, sick leave pay,
insurance benefits, retirement and incentive pay, plus
3. An amount estimated at 141.08% of actual salaries in Item 1 above for general
administrative overhead, based on the Engineer's system for allocating indirect
costs in accordance with sound accounting principles and business practice,
plus
4. Other costs directly attributable to the project but not included in the above
overhead, such as vehicle mileage, meals and lodging, printing, surveying
expendables, and computer time, plus
5. Project costs incurred by others on a subcontract basis, said costs to be passed
through the Engineer on the basis of reasonable and actual cost as invoiced by
the subcontractors.
Fig. 136.4.1 Contract Revised 6/25/13
3
h �
D. The rates shown for additives and overhead in Sections VII. D.2 and VII. D.3 above are
approximate and will be used for interim billing purposes. Final payment will be based on the
actual rates experienced during the period of performance, as indicated by the Engineer's
accounting records, and as determined by final audit of the Engineer's records by MoDOT.
E. The payment of costs under this contract will be limited to costs which are allowable under 23
CFR 172 and 48 CFR 31.
F. METHOD OF PAYMENT - Partial payments for work satisfactorily completed will be
made to the Engineer upon receipt of itemized invoices by the Local Agency. Invoices will
be submitted no more frequently than once every two weeks and must be submitted monthly
for invoices greater than $10,000. A pro-rated portion of the fixed fee will be paid with each
invoice. Upon receipt of the invoice and progress report, the Local Agency will, as
soon as practical, but not later than 45 days from receipt, pay the Engineer for the services
rendered, including the proportion of the fixed fee earned as reflected by the estimate of the
portion of the services completed as shown by the progress report, less partial payments
previously made. A late payment charge of one and one half percent (1.5%) per month shall
be assessed for those invoiced amount not paid, through no fault of the Engineer, within 45
days after the Local Agency's receipt of the Engineer's invoice. The Local Agency will not
be liable for the late payment charge on any invoice which requests payment for costs which
exceed the proportion of the maximum amount payable earned as reflected by the estimate of
the portion of the services completed, as shown by the progress report. The payment, other
than the fixed fee, will be subject to final audit of actual expenses during the period of the
Agreement.
G. PROPERTY ACCOUNTABILITY - If it becomes necessary to acquire any specialized
equipment for the performance of this contract, appropriate credit will be given for any
residual value of said equipment after completion of usage of the equipment.
�RTICLE VIII - COVENANT AGAINST CONTINGENT FEES
The Engineer warrants that he has not employed or retained any company or person, other than a
bona fide employee working for the Engineer, to solicit or secure this agreement, and that he has not
paid or agreed to pay any company or person, other than a bona fide employee, any fee, commission,
percentage, brokerage fee, gifts, or any other consideration, contingent upon or resulting from the
award or making of this contract. For breach or violation of this warranty, the Local Agency shall
have the right to annul this agreement without liability, or in its discretion to deduct from the contract
price or consideration, or otherwise recover, the full amount of such fee, commission, percentage,
brokerage fee, gift, or contingent fee,plus reasonable attorney's fees.
Fig. 136.4.1 Contract Revised 6/25/13
4
i �
ARTICLE IX- SUBLETTING, ASSIGNMENT OR TRANSFER
No portion of the work covered by this contract, except as provided herein, shall be sublet or
transferred without the written consent of the Local Agency. The subletting of the work shall in no
way relieve the Engineer of his primary responsibility for the quality and performance of the work. It
is the intention of the Engineer to engage subcontractors for the purposes of:
No sub-consultants are anticipated for the contract. In the event that any of the following are
required, a supplemental agreement will be prepared and entered into, and the cost handled as either a
direct cost or pass-through cost to the consultant to be reimbursed at cost, or with a sub consultant to
be determined at that time:
Archeological Surveys or Studies (If Required)
Asbestos and Lead Paint Testing (If Required)
Indiana Bat Studies (If Required)
Title Documents (If Required)
Sub-Consultant Name Address Services
Not Applicable/Anticipated at Contract Time.
ARTICLE X- PROFESSIONAL ENDORSEMENT
All plans, specifications and other documents shall be endorsed by the Engineer and shall reflect the
name and seal of the Professional Engineer endorsing the work. By signing and sealing the PS&E
submittals the Engineer of Record will be representing to MoDOT that the design is meeting the
intent of the federal aid programs.
ARTICLE XI - RETENTION OF RECORDS
The Engineer shall maintain all records, survey notes, design documents, cost and accounting
records, construction records and other records pertaining to this contract and to the project covered
by this contract, for a period of not less than three years following final payment by FHWA. Said
records shall be made available for inspection by authorized representatives of the Local Agency,
MoDOT or the federal government during regular working hours at the Engineer's place of business.
ARTICLE XII - OWNERSHIP OF DOCUMENTS
Plans, tracings, maps and specifications prepared under this contract shall be delivered to and become
the property of the Local Agency upon termination or completion of work. Basic survey notes,
design computations and other data prepared under this contract shall be made available to the Local
Agency upon request. All such information produced under this contract shall be available for use by
the Local Agency without restriction or limitation on its use. If the Local Agency incorporates any
portion of the work into a project other than that for which it was performed, the Local Agency shall
save the Engineer harmless from any claims and liabilities resulting from such use.
Fig. 136.4.1 Contract Revised 6/25/13
5
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ARTICLE XIII—SUSPENSION OR TERMINATION OF AGREEMENT
A. The Local Agency may, without being in breach hereof, suspend or terminate the Engineer's
services under this Agreement, or any part of them, for cause or for the convenience of the
Local Agency, upon giving to the Engineer at least fifteen (15) days' prior written notice of
the effective date thereo£ The Engineer shall not accelerate performance of services during
the fifteen(15) day period without the express written request of the Local Agency.
B. Should the Agreement be suspended or terminated for the convenience of the Local Agency,
the Local Agency will pay to the Engineer its costs as set forth in Attachment B including
actual hours expended prior to such suspension or termination and direct costs as defined in
this Agreement for services performed by the Engineer, a proportional amount of the fixed fee
based upon an estimated percentage of Agreement completion, plus reasonable costs incurred
by the Engineer in suspending or terminating the services. The payment will make no other
allowances for damages or anticipated fees or profits. In the event of a suspension of the
services, the Engineer's compensation and schedule for performance of services hereunder
shall be equitably adjusted upon resumption of performance of the services.
C. The Engineer shall remain liable to the Local Agency for any claims or damages occasioned
by any failure, default, or negligent errors and/or omission in carrying out the provisions of
this Agreement during its life, including those giving rise to a termination for non-
performance or breach by Engineer. This liability shall survive and shall not be waived, or
estopped by final payment under this Agreement.
D. The Engineer shall not be liable for any errors or omissions contained in deliverables which
are incomplete as a result of a suspension or termination where the Engineer is deprived of the
opportunity to complete the Engineer's services.
E. Upon the occurrence of any of the following events, the Engineer may suspend performance
hereunder by giving the Local Agency 30 days advance written notice and may continue such
suspension until the condition is satisfactorily remedied by the Local Agency. In the event
the condition is not remedied within 120 days of the Engineer's original notice, the Engineer
may terminate this agreement.
1. Receipt of written notice from the Local Agency that funds are no
longer available to continue performance.
2. The Local Agency's persistent failure to make payment to the Engineer
in a timely manner.
3. Any material contract breach by the Local Agency.
Fig. 136.4.1 Contract Revised 6/25/13
6
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ARTICLE XIV- DECISIONS UNDER THIS CONTRACT
The Local Agency will determine the acceptability of work performed under this contract, and will
decide all questions which may arise concerning the project. The Local Agency's decision shall be
final and conclusive.
ARTICLE XV- SUCCESSORS AND ASSIGNS
The Local Agency and the Engineer agree that this contract and all contracts entered into under the
provisions of this contract shall be binding upon the parties hereto and their successors and assigns.
ARTICLE XVI - COMPLIANCE WITH LAWS
The Engineer shall comply with all federal, state, and local laws, ordinances, and regulations
applicable to the work, including Title VII of the Civil Rights Act of 1964 and non-discrimination
clauses incorporated herein, and shall procure all licenses and permits necessary for the fulfillment of
obligations under this contract.
ARTICLE XVII - RESPONSIBILITY FOR CLAIMS AND LIABILITY
The Engineer agrees to save harmless the Local Agency, MoDOT and FHWA from all claims and
liability due to his negligent acts or the negligent acts of his employees, agents or subcontractors.
ARTICLE XVIII - NONDISCRIMINATION
The Engineer, with regard to the work performed by it after award and prior to completion of the
contract work, will not discriminate on the ground of race, color or national origin in the selection
and retention of subcontractors. The Engineer will comply with Title VII of the Civil Rights Act of
1964, as amended. More specifically, the Engineer will comply with the regulations of the
Department of Transportation relative to nondiscrimination in federally assisted programs of the
Department of Transportation, as contained in 49 CFR 21 through Appendix H and 23 CFR 710.405
which are herein incorporated by reference and made a part of this contract. In all solicitations either
nv compeiitive bidding or negotiation made by the Engineer for work to be performed under a
subcontract, including procurements of materials or equipment, each potential subcontractor or
supplier shall be notified by the Engineer's obligations under this contract and the regulations relative
to non-discrimination on the ground of color, race or national origin.
ARTICLE XIX—LOBBY CERTIFICATION
CERTIFICATION ON LOBBYING: Since federal funds are being used for this agreement, the
Engineer's signature on this agreement constitutes the execution of all certifications on lobbying
which are required by 49 C.F.R. Part 20 including Appendix A and B to Part 20. Engineer agrees to
abide by all certification or disclosure requirements in 49 C.F.R. Part 20 which are incorporated
herein by reference.
Fig. 136.4.1 Contract Revised 6/25/13
7
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ARTICLE XX—INSURANCE
A. The Engineer shall maintain commercial general liability, automobile liability, and worker's
compensation and employer's liability insurance in full force and effect to protect the
Engineer from claims under Worker's Compensation Acts, claims for damages for personal
injury or death, and for damages to property arising from the negligent acts, errors, or
omissions of the Engineer and its employees, agents, and Subconsultants in the performance
of the services covered by this Agreement, including, without limitation, risks insured against
in commercial general liability policies.
B. The Engineer shall also maintain professional liability insurance to protect the Engineer
against the negligent acts, errors, or omissions of the Engineer and those for whom it is
legally responsible, arising out of the performance of professional services under this
Agreement.
C. The Engineer's insurance coverage shall be for not less than the following limits of liability:
Insurance Tvpe Amount
Worker's Compensation: In full compliance with statutory requirements of
Federal and State of Missouri
Comprehensive General and Professional Liability: $404,000 each person
$2,690,000 each occurrence
eomprehensive Automobile Liability: $404,000 each person
$2,690,000 each occurrence
Employer Liability: $404,000 each person
$2,690,000 each occurrence
Ciry�s Frotective Fsodiiy Injury Including Death: $404,000 each person
$2,690,000 each occurrence
City's Protective Property Damage: $404,000 each person
$2,690,000 each occurrence
D. The Engineer shall, upon request at any time, provide the Local Agency with certificates of
insurance evidencing the Engineer's commercial general or professional liability ("Errors and
Omissions") policies and evidencing that they and all other required insurance are in effect as
to the services under this Agreement.
E. Any insurance policy required as specified in (ARTICLE XX) shall be written by a company
which is incorporated in the United States of America or is based in the United States of
Fig. 136.4.1 Contract Revised 6/25/13
8
�
,
America. Each insurance policy must be issued by a company authorized to issue such
insurance in the State of Missouri.
ARTICLE XXI - ATTACHMENTS
The following e�ibits are attached hereto and are hereby made part of this contract:
Attachment A— Scope of Service
Attachment B - Estimate of Cost
Attachment C - Breakdown of Overhead Rates
Attachment D - Certification Regarding Debarment, Suspension, and Other
Responsibility Matters - Primary Covered Transactions.
Attachment E - Certification Regarding Debarment, Suspension, and Other
Responsibility Matters - Lower Tier Covered Transactions.
Attachment F—DBE Contract Provisions
Attachment G—Fig. 136.4.15 Conflict of Interest Disclosure Form
Fig. 136.4.1 Contract Revised 6/25/13
9
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Executed by the Engineer this 1 s�day of October , 20 14 .
Executed by the City this�`�day of � ' � , 20�.
FOR: CITY OF CAPE GIRA A , ISSOURI
BY:
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I�TTEST: r '% �W
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� �*THE IINI O �
FOR: KOEHLER ENGINEE � RVEYING, INC.
BY:
Chris Koehler, PE, PLS, President
ATTEST: �JIiIIL.--
I hereby certify under Section 50.660 RSMo there is either: (1) a balance of funds, otherwise
unencumnered, tu the credit of the appropriation to which the obligation contained herein is
chargeable, and a cash balance otherwise unencumbered, in the Treasury, to the credit of the fund
from which payment is to be made, each sufficient to meet the obligation contained herein; or (2)
bonds or taxes have been authorized by vote of the people and there is a sufficient unencumbered
amount of the bonds yet to be sold or of the taxes levied and yet to be collected to meet the obligation
in case there is not a sufficient unencumbered cash balance in the treasury.
� ���`-`������..��
ohn Richbourg, Direc r of Finance
Fig. 136.4.1 Contract Re��sedbizsi�3
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ATTACHMENT A
Scope of Services
Study Phase
A. Traffic Study-The Engineer shall perform a traffic study for the purpose of obtaining both existing
and projected future traffic volumes for the design concepts under study including data needed for
evaluation of both traffic signals and a roundabout.
1. Perform a 14-hour turning movement count by 15-minute intervals including any bicycles and
pedestrian movements.
2. Record intersection delay during peak hour traffic.
3. Perform signal warrant analysis.
4. Summary of accidents occurring within 500' of intersection within past 3 years(with accident
counts to be furnished by the City Police Department)
B. Conceptual Report-The Engineer shall prepare a report which includes analysis, evaluation and
documentation of the traffic study findings and provide recommendation of an alternate(signal or
roundabout)which optimizes intersection operation in a cost effective manner (life cycle cost can also
be considered). Concept should be developed in sufficient detail to determine feasibility of locating
within available right of way (although concepts with minor right of way acquisition costs will also be
considered).
1. Include results of signal warrant analysis.
2. Provide current and projected design year traffic volumes for year 2035.
3. A peak hour intersection level of service,v/c ratio and delay shall be provided for each
concept based on procedures described in the latest edition of the Highway Capacity Manual.
4. Identify locations where pedestrian accommodations needed.
5. Develop an opinion of construction cost for each concept considered.
6. Provide conceptual2D drawings including locations of warranted turn lanes for each alternate
on aerial photo background.
Fig. 136.4.1 Contract Revised 6/25/13
11
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ATTACHMENT 61
ENGINEERING SERVICES FEE SCHEDULE(Study Phase)
COST&PRICE SUMMARY FORMAT
Date: 25-Sep-14
PROJECT NAME: Signalization of the Intersection of Gordonville Road and Independence Street
PROJECT LOCATION: Cape Girardeau, Missouri
PROJECT NUMBER: STP-I500(022)
IMATED H URL E ATED
DIRECT LABOR HOURS RATE COST TOTALS
Principal Engineer/Senior PE 64 $ 37.50 $ 2,400.00
Senior Geotechnical Engineer 0 $ 37.50 $ -
Engineer I 0 $ 28.84 $ -
Engineer II 8 $ 25.00 $ 200.00
Draftsman I 0 $ 16.50 $ -
Secretarial 0 $ 14.50 $ -
Registered Land Surveyor 0 $ 27.50 $ -
Survey Party Chief 0 $ 26.25 $ -
Survey Rodman 0 $ 12.00 $ -
Drilling Technician#1 0 $ 18.00 $ -
Drilling Technician#2 0 $ 15.00 $ -
Direct Labor Total: $ 2,600.00
INDIRECT COST(OVERHEAD)
DIRECT LABOR DISTRIBUTION BASE
1.8113 (.4005 Fringe, 1.4108 General OH)x Direct Labor Total
INDIRECT COST: $ 4,709.38
SUBTOTAL EXCLUSIVE OF FIXED FEE: $ 7,309.38
FIXED FEE 13%'SUBTOTAL $ 950.22
OTHER DIRECT COST
Postage&Telephone: 0 $ -
Mileage 0 0.560 $ -
Copies and Reproduction(Exc�uding Bid Sets) $ 50.00
Miovision Processing of Traffic Counts 1 429.6 $ 429.60
$ -
OTHER DIRECT COST TOTAL: $ 479.60
Culturai/Historical Resources Surve : $ -
Pass Throu h Costs to DBE Subconsultant- $ -
TOTAL ENGINEERING FEE FOR DESIGN PHASE SERVICES: S 8,739.20
Item Hours
Projected Distribution of PE Time for Warrant Study: 8
Study Components: Trafffic Projections 6
Peak Hour Level of Service 6
Pedestrian Accomodations 4
Conceptual Layouts 12
Estimates 8
Concept Drawings 4
Compile Data and Prepare Report 16
Total: 64
. - Attachment C-
� KOEHLER ENGINEERING AND LAND SURVEYING,INC.
STATEMENT OF DIRECT LABOR,FRINGE BENEFITS AND GENERAL OVERHEAD
FOR THE YEAR ENDED DECEMBER 31,2013
Financial %of
Account Statement Direct Disallowed Total Direct
Description Expense Expense Expense Ref Proposed Labor
Direct Labor 5110/5120 $ 574,721.63 $ 574.721.63 $ 4,907.44 (a) $ 579,629.07 100.00%
Fringe Benefits:
Employee Bonuses 7�30 $ 28,496.15 $ - $ - $ 28,496.15 4.92%
Paid Time Off 7150 29,681.12 - - 29,681.12 5.12%
Holidays 7160 22,545.65 - - 22,545.65 3.89°/a
Payroll Taxes 721 o i 7220/7230 82,192,91 - 82,192.91 14.18%
Health Insurance 7320 69,218.20 - 69,218.20 11.94%
Total Fringe Benefits $ 232,134.03 $ - $ - $ 232,134 03 40.05%
General Overhead:
Billable Reimburseables 52�0 6,953.93 $ (6,953.93) $ (b) $ 0.00%
Billable Repoduction and Printing 5z3o 1,698.15 (1,698.15) (b) 0.00%
Billable Postage and Shipping 5260 2,765.73 (2,765.73) (b) 0.00%
Billable Consulting Expenses 5310 41,797.38 (41,797.38) (b) 0.00%
Nonbillable Salaries 6�40 4,483.92 4,483.92 0.77%
Nonbillable Reimburseables s2�o 2,303.00 2,303.00 0.40%
Nonbillable Reproduction&Printing s23o 144.00 144.00 0.02%
Nonbillable Telephone s25o 1,034.01 �,o3a.o� 0.18%
Nonbillable Postage and Shipping s2so 352.94 352.94 0.06%
Nonbillable Consulting Expenses s3�o 1,359.50 1,359.50 0.23%
Administrative Salaries 7�ao/a000 isoo� 289,268.05 (4,907.44) (a) 284,360.61 49.06%
Registrations and Dues 7520 6,470.09 6,470.09 1.12°/a
Rent 8110 98,400.00 (74,172.91) (C) 24,227,09 4.18%
Utilities s12o 13,831.93 13,831.93 2.39%
ContractualServices 7s2o/a�3o 8,192.50 8,192.50 1.41%
Lawn Care s135 1,6s4.7o 1,694.70 0.29%
Repairs and Maintenance 8140 22,584.76 22,584.76 3.90%
Office Supplies 8210 24,572.25 24,572.25 4.24%
Operating Supplies 8211 33,576.85 33,576.85 5.79%
Professional Services 8220 18,541.87 18,541.87 3.20%
Computer Supplies 8240 1,511.71 1,511.71 0.26%
Software Expenses 8250/8251 23,839.24 23,839.24 4.11%
Periodicals and Books 8280 4,218.90 4,218.90 0.73°/a
Legal and Accounting 8320 11,126.50 11,126.50 1.92%
Bank Charges 8330 163.29 163.29 0.03%
Office Telephone Expenses 8340 19,456.81 19,456.81 3.36%
License and Fees s35o i 85s1 9,607.26 9,607,26 1.66%
Inter�e:Cha;ges 8370 719.88 7�g.gg p.�2�/a
r�s:ag�a��Shipp�ng 8380 1,994.9' 1,994.97 0.34%
Vehicle Expenses 8410/8415 119,426.87 (7,087.64) (d) 112,339.23 19.38%
Travel-Air and Hotels saao 3,303.97 3,303 97 0.57%
Meals and Entertainment saso 3,321.59 (3,321.59) (e) 0.00%
Meals with Employees aa5� 465.22 (465.22
) (� 0.00%
Seminars aaso 8,226.17 8,226.17 1.42%
Business and Liability Insurance 8510/s52o 46,897.71 46,897.71 8.09%
Interest Ex ense 8336/8530 1,398.72
P (1,398.72) (9) 0.00%
Property Taxes s540/s55o 10,729.61 10,729.61 1.85%
Penalties and Fines 8560 57.59 (57.59) (h) 0.00%
Advertising and Public Relations ss�o 11,313.12 (11,313.12) (i) 0.00%
Uniforms/Protective Clothing ssso a,436.54 4,436.54 0.77%
Dues and Subscriptions ssso 3,269.40 3,269.40 0.56%
Depreciation Expense s72o 257,285.95 (152,803.54) Q) 104,482.41 18.03%
Charitable Donations ss2o sso.00 (980.00) (k) 0.00%
Bad Debt Expense ssao (I) 0.00%
Equipment Rental ss5o a,7o9.80 3,709.80 0.64%
Total General Overhead S �,�27,486.3a $ (53,2�5.�s) $ (256,507.77) $ 817.763.42 141.08%
Total Indirect Cost and General Overhead $ 1,359.620.41 $ (53,215.19) $ �256.507.77) $ 1.049.897.45 181.13%
i '
KOEHLER ENGINEERING AND LAND SURVEYING,INC.
STATEMENT OF DIRECT LABOR,FRINGE BENEFITS AND GENERAL OVERHEAD
FOR THE YEAR ENDED DECEMBER 31,2013
FAR References:
(a) 31.202: Uncompensated overtime for salaried employees considered to be direct labor and removed from indirect labor costs.
(b) 31.202: Excluded direct projed costs(both billable&non-billable costs)from indirect cost pool.
(c) 31.205-36 and 31.205-10:Adjustment of rent expense to entities under common control. Includes a FCCM calculation.
(d) 31.205-6(m)(2): Personal use of company-furnished automobiles is disallowable.
(e) 31.205-14 and 31.205-51: Costs for entertainment and alcoholic beverages are disallowed.
(� 31.205-13(b): Employee gifts and recreation (meals)are a disallowable cost.
(g) 31.205-20: Interest expense is a disallowable cost.
(h) 31.205-15(a): Penalties and fines are a disallowabie cost.
(i) 31.205-1 and 31.205-38(b)(1):Advertising and public relation expenses are a disallowable cost.
(j) 31.205-11:Adjustment to take the tax depreciation to the book depreciation(straight-line method and excludes
any 179 depreciation and bonus depreciation).
(k) 31.205-8: Charitabie contributions are a disallowable cost.
(I)31.205-3: Bad debts expense is a disallowable cost.
See Accountants Compilation Report
-3-
r
ATTACHMENT D
CERTIFICATION REGARDING DEBARMENT,
SUSPENSION,AND OTHER RESPONSIBILITY MATTERS-
PRIMARY COVERED TRANSACTIONS
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective primary participant is providing the
certification set out below.
2. The inability of a person to provide the certification required below will not necessarily result in denial
of participation in this covered transaction. The prospective participant shall submit an explanation of
why it cannot provide the certification set out below. The certification or explanation will be
considered in connection with the department or agency's determination whether to enter into this
transaction. However, failure of the prospective primary participant to furnish a certification or an
explanation shall disyualify such person from participation in this transaction.
3. The certification in this clause is a material representation of fact upon which reliance was placed
when the department or agency determined to enter into this transaction. If it is later determined that
the prospective primary participant knowingly rendered an erroneous certification in addition to other
remedies available to the Federal Government, the department or agency may terminate this
transaction for cause of default.
4. The prospective primary participant shall provide immediate written notice to the department or
agency to whom this proposal is submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become erroneous by reason of changed
circumstances.
5. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," "proposal" and "voluntarily excluded," as used in this clause, have the
meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order
12�4�. �'ou may contact tne department or agency to which this proposal is being submitted for
assistance in obtaining a copy of those regulations.
6. The prospective primary participant agrees by submitting this proposal that, should the proposed
covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction
with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the department or agency entering into
this transaction.
7. The prospective primary participant further agrees by submitting this proposal that it will include the
clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--
Lower Tier Covered Transaction" provided by the department or agency entering into this covered
transaction, without modification, in all lower tier covered transactions and in all solicitations for
lower tier covered transactions.
Fig. 136.4.1 Contract Revised 6/25/13
.
8. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to check the Nonprocurement List at the Excluded Parties List
System.
https://www.epls.gov/epls/search.do?page=A&status=current&agency=69#A.
9. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other
remedies available to the Federal Government, the department or agency may terminate this
transaction for cause or default.
Certification Regarding Debarment, Suspension, and Other Responsibility Matters -Primary Covered
Transactions
1. The prospective primary participant certifies to the best of its knowledge and belief, that it and its
principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any Federal department or agency;
b. Have not within a three-year period preceding this proposal been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain or performing a public (Federal, State or local)transaction
or contract under a public transaction; violation of Federal or State antitrust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
c. tire noi presently indicied for or otherwise criminally or civilly charged by a governmental
entity (Federal, State or local) with commission of any of the offenses enumerated in
paragraph(1)(b)of this certification;and
d. Have not within a three-year period preceding this application/proposal had one or more
public transactions(Federal, State or local)terminated for cause or default.
2. Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
Fig. 136.4.1 Contract Revised 6/25/13
Y
ATTACHMENT E
CERTIFICATION REGARDING DEBARMENT, SUSPENSION,INELIGIBILITY AND
VOLUNTARY EXCLUSION--LOWER TIER COVERED TRANSACTIONS
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective lower tier participant is providing the
certification set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective lower tier
participant knowingly rendered an erroneous certification, in addition to other remedies available to
the Federal Government, the deparhnent or agency with which this transaction originated may pursue
available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which
this proposal is submitted if at any time the prospective lower tier participant learns that its
certification was erroneous when submitted or has become erroneous by reason of changed
circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549. You may contact the person to
which this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the department or agency
with which this transaction originated.
�. The prospective lower tier participant further agrees by submitting this proposal that it will include
this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exciusion--Lower Tier Covered Transaction," without modification, in a1i ➢ower tier covered
transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, ar voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to, check the Nonprocurement List at the Excluded Parties List
System.
https://www.epls.gov/epls/search.do?page=A&status=current&agency=69#A.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which normally possessed by a prudent
person in the ordinary course of business dealings.
Fig. 136.4.1 Contract Revised 6/25/13
. •
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other
remedies available to the Federal Government, the department or agency with which this transaction
originated may pursue available remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier
Covered Transactions
1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its
principals is presently debarred, suspended,proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal department or agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
Fig. 136.4.1 Contract Revised 6/25/13
f
Y
Attachment F
Disadvantage Business Enterprise Contract Provisions
1. Policy: It is the policy of the U.S. Department of Transportation and the
Local Agency that businesses owned by socially and economically disadvantaged individuals (DBE's) as
defined in 49 C.F.R. Part 26 have the maximum opportunity to participate in the performance of contracts
financed in whole or in part with federal funds. Thus, the requirements of 49 C.F.R. Part 26 and Section
1101(b)of the Transportation Equity Act for the 21 st Century(TEA-21)apply to this Agreement.
2. Obli�ation of the Engineer to DBE's: The Engineer agrees to assure that
DBEs have the maximum opportunity to participate in the performance of this Agreement and any
subconsultant agreement financed in whole or in part with federal funds. In this regard the Engineer shall take
all necessary and reasonable steps to assure that DBEs have the maximum opportunity to compete for and
perform services. The Engineer shall not discriminate on the basis of race, color, religion, creed, disability,
sex, age, or national origin in the performance of this Agreement or in the award of any subsequent
subconsultant agreement.
3. Geographic Area for Solicitation of DBEs: The Engineer shall seek DBEs in
the same geographic area in which the solicitation for other subconsultants is made. If the Engineer cannot
meet the DBE goal using DBEs from that geographic area, the Engineer shall, as a part of the effort to meet
the goal, expand the search to a reasonably wider geographic area.
4. Determination of Particination Toward Meetin� the DBE Goal: DBE
participation shall be counted toward meeting the goal as follows:
A. Once a firm is determined to be a certified DBE,the total dollar value
of the subconsultant agreement awarded to that DBE is counted toward the DBE goal set forth above.
B. The Engineer may count toward the DBE goal a portion of the total
dollar value of a subconsultant agreement with a joint venture eligible under the DBE standards, equal to the
percentage of the ownership and control of the DBE partner in the joint venture.
C. The Engineer may count toward the DBE goal expenditures to DBEs
wh�perform a commercially useful function in the completion of services required in this Agreement. A DBE
is considered to perform a commercially useful function when the DBE is responsible for the execution of a
distinci eierneni oi the services speciiied in tne �igreemeni and the carrying oui of thase responsibilities by
actually performing,managing and supervising the services involved and providing the desired product.
D. A Engineer may count toward the DBE goal its expenditures to DBE
firms consisting of fees or commissions charged for providing a bona fide service, such as professional,
technical, consultant, or managerial services and assistance in the procurement of essential personnel,
facilities, equipment, materials or supplies reyuired for the performance of this Agreement, provided that the
fee or commission is determined by MoDOT's External Civil Rights Division to be reasonable and not
excessive as compared with fees customarily allowed for similar services.
E. The Engineer is encouraged to use the services of banks owned and
controlled by socially and economically disadvantaged individuals.
5. Replacement of DBE Subconsultants: The Engineer shall make good faith
efforts to replace a DBE Subconsultant, who is unable to perform satisfactorily, with another DBE
Subconsultant. Replacement firms must be approved by MoDOT's External Civil Rights Division.
Fig. 136.4.1 Contract Revised 6/25/13
, �
6. Verification of DBE Particination: Prior to final payment by the Local
Agency, the Engineer shall file a list with the Local Agency showing the DBEs used and the services
performed. The list shall show the actual dollar amount paid to each DBE that is applicable to the percentage
participation established in this Agreement. Failure on the part of the Engineer to achieve the DBE
participation specified in this Agreement may result in sanctions being imposed on the Commission for
noncompliance with 49 C.F.R. Part 26 and/or Section 1101(b) of TEA-21. If the total DBE participation is
less than the goal amount stated by the MoDOT's External Civil Rights Division, liquidated damages may be
assessed to the Engineer.
Therefore, in order to liquidate such damages, the monetary difference between the amount of the DBE goal
dollar amount and the amount actually paid to the DBEs for performing a commercially useful function will be
deducted from the Engineer's payments as liquidated damages. If this Agreement is awarded with less than the
goal amount stated above by MoDOT's External Civil Rights Division, that lesser amount shall become the
goal amount and shall be used to determine liquidated damages. No such deduction will be made when, for
reasons beyond the control of the Engineer,the DBE goal amount is not met.
7. Documentation of Good Faith Efforts to Meet the DBE Goal: The Agreement
goal established by MoDOT's External Civil Rights Division. The Engineer must document the good faith
efforts it made to achieve that DBE goal, if the agreed percentage specified is less than the percentage stated.
Good faith efforts to meet this DBE goal amount may include such items as, but are not limited to, the
following:
A. Attended a meeting scheduled by the Department to inform DBEs of
contracting or consulting opportunities.
B. Advertised in general circulation trade association and socially and
economically disadvantaged business directed media concerning DBE subcontracting opportunities.
C. Provided written notices to a reasonable number of specific DBEs
that their interest in a subconsultant agreement is solicited in sufficient time to allow the DBEs to participate
effectively.
D. Followed up on initial solicitations of interest by contacting DBEs to
determine with certainty whether the DBEs were interested in subconsulting work for this Agreement.
E. Selected portions of the services to be performed by DBEs in order to
increase the likelihood of ineeting the DBE goal (including, where appropriate, breaking down subconsultant
agreements into economically feasible units to facilitate DBE participation).
F. Provided interested DBEs with adequate information about plans,
specifications and requirements of this Agreement.
G. Negotiated in good faith with interested DBEs, and not rejecting
DBEs as unqualified without sound reasons,based on a thorough investigation of their capabilities.
H. Made efforts to assist interested DBEs in obtaining any bonding, lines
of credit or insurance reyuired by the Commission or by the Engineer.
I. Made effective use of the services of available disadvantaged
business organizations, minority contractors' groups, disadvantaged business assistance offices, and other
Fig. 136.4.1 Contract Revised 6/25/13
� �
organizations that provide assistance in the recruitment and placement of DBE firms.
8. Good Faith Efforts to Obtain DBE Participation: If the Engineer's agreed DBE goal
amount as specified is less than the established DBE goal given,then the Engineer certifies that the following
good faith efforts were taken by Engineer in an attempt to obtain the level of DBE participation set by
MoDOT's External Civil Rights.
Fig. 136.4.1 Contract Revised 6/25/13
� w
Attachment G — Fig. 136.4.15
Conflict of Interest Disclosure Form for LPA/Consultants
Local Federal-aid Transportation Projects
Firm Name(Consultant): Koehler Engineering and Land Surveying, Inc
Project Owner(LPA): City of Cape Girardeau
Project Name: Intersection Improvements at Inpependence& Gordonville Rd.
Project Number: STP-1500(022)
As the LPA and/or consultant for the above local federal-aid transportation project, I have:
l. Reviewed the conflict of interest information found in Missouri's Local Public Agency Manual
(EPG 136.4)
2. Reviewed the Conflict of Interest laws, including 23 CFR § 1.33, 49 CFR 18.36.
And, to the best of my knowledge, determined that, for myself, any owner, parmer or employee, with my
firm or any of my sub-consulting firms providing services for this project, including family members and
personal interests of the above persons, there are:
� No real or potential conflicts of interest
If no conflicts have been indentified, complete and sign this form and submit to LPA
❑ Real conflicts of interest or the potential for conflicts of interest
If a real or potential conflict has been identified, describe on an attached sheet the nature of the
conflict, and provide a detailed description of Consultant's proposed mitigation measures (if possible).
Complete and sign this form and send it, along with all attachments, to the appropriate MoDOT District
Representative, along with the executed engineering services contract.
LPA Consultant
Printed Name tiLc,�... Printed Name: Chris Koehler, PE, PLS
Signature: � Signatur .
Date: �D-�1�� �f N Date: October 1, 2014
Fig. 136.4.1 Contract ae��sed biasn3
�
CCO Form: FS11-SUP Cape Girardeau County
Approved: 05/02 (BDG) City of Cape Girardeau
Revised: 01/15 (MWH) Project STP-1500(022)
Modified:
CFDA Number: CFDA #20.205
CFDA Title: Highway Planning and Construction
Award name/number: STP- 1500(022)
Award Year: 2015
Federal Agency: Federal Highway Administration, Department of Transportation
MISSOURI HIGHWAYS AND TRANSPORTATION COMMISSION
STP-URBAN PROGRAM
SUPPLEMENTAL AGREEMENT
THIS SUPPLEMENTAL AGREEMENT is entered into by the Missouri Highways
and Transportation Commission (hereinafter, "Commission") and the City of Cape
Girardeau (hereinafter, "City").
WITNESSETH:
WHEREAS, on October 8, 2014 the Commission and the City previously entered
into a STP-Urban Funds Agreement as to public improvements designated as STP-
1500(022), for the construction of a new intersection at Independence Street and
Gordonville Road, (hereinafter, "Original Agreement"); and
WHEREAS, the Commission and the City now desire to revise the Original
Agreement as provided in this Supplemental Agreement.
NOW, THEREFORE, in consideration of the mutual covenants, promises and
representations contained herein, the parties agree as follows:
(1) REVISION: Paragraph (3) and Paragraph (12)(A) of the Original
Agreement is hereby removed and replaced with the following:
(3) REASONABLE PROGRESS POLICY: This project as described in
this agreement will be under construction contract award by November 15, 2016.
If the project is withdrawn for not meeting this deadline, the City agrees to repay
the Commission for any progress payments made to the City for the project and
agrees that the Commission may deduct progress payments made to the City
from future payments to the City.
(12) REIMBURSEMENT: The cost of the contemplated improvements will be
borne by the United States Government and by the City as follows:
.*
t
(A) Any federal funds for project activities shall only be
available for reimbursement of eligible costs which have been incurred by City.
Any costs incurred by City prior to authorization from FHWA and notification to
proceed from the Commission are not reimbursable costs. The federal share for
this project will be 80% percent not to exceed $740,000. The calculated federal
share for seeking federal reimbursement of participating costs for the herein
improvements will be determined by dividing the total federal funds applied to the
project by the total participating costs. Any costs for the herein improvements
which exceed any federal reimbursement or are not eligible for federal
reimbursement shall be the sole responsibility of City. The Commission shall not
be responsible for any costs associated with the herein improvement unless
specifically identified in this Agreement or subsequent written amendments.
(2) ORIGINAL AGREEMENT: Except as otherwise modified, amended, or
supplemented by this Supplemental Agreement, the Original Agreement between the
parties shall remain in full force and effect and shall extend and apply to this
Supplemental Agreement as if fully written in this Supplemental Agreement.
[The remainder of this page is left blank intentionally.]
2
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IN WITNESS WHEREOF, the parties have entered into this Agreement on the
date last written below.
Executed by the City this Ci�h day of 1�"IQ{'C�2 , 20�.
Executed by the Commission this�day of , 20�.
MISSOURI HIGHWAYS AND
TRANSPOR ATION COMMISSION CITY OF CAPE DEAU
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By
Tit�e: Assistant Chief Engineer �
Title: �>
A T: ATTEST:
By
cr ary to the Comm sion I
Title: � -t � .
Appro s to F Approved as to Form:
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mmis i n el �/ r �/
Title:^ ) / 7 � . ���/
Ordinance No.: ��
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