HomeMy WebLinkAboutOrd.4939.02-20-2017 BILL NO. 17-16 ORDINANCE NO. 40/(9165?
/ 939
AN ORDINANCE AUTHORIZING THE CITY MANAGER TO
EXECUTE A TRANSPORTATION ALTERNATIVES
PROGRAM AGREEMENT WITH MISSOURI HIGHWAYS AND
TRANSPORTATION COMMISSION FOR THE
INDEPENDENCE SIDEWALKS PROJECT, 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 to
execute, on behalf of the City, a Transportation Alternatives
Program Agreement with Missouri Highways and Transportation
Commission for the Independence Sidewalks Project (TAP-
1500 (023) ) , in the City of Cape Girardeau, Missouri, and the
City Clerk is hereby authorized 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, and
incorporated herein by reference, 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 . ..rya'.
P: D AND APPROVED THIS ail day of Issdkir , 017 .
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1,c; Harry E. Rediger, Mayor
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uce Taylo Deputy City Clerk
CCO Form: FS25
Approved: 04/95 (MGB)
Revised: 02/16 (MWH)
Modified:
CFDA Number: 20.205
CFDA Title: Highway Planning and Construction
Award name/number: TAP — 1500(023)
Award Year: 2017
Federal Agency. Federal Highway Administration, Department of Transportation
MISSOURI HIGHWAYS AND TRANSPORTATION COMMISSION
TRANSPORTATION ALTERNATIVES FUNDS
PROGRAM AGREEMENT
THIS AGREEMENT is entered into by the Missouri Highways and Transportation
Commission (hereinafter, "Commission") and the City of Cape Girardeau (hereinafter,
"City").
WITNESSETH:
NOW, THEREFORE, in consideration of the mutual covenants, promises and
representations in this Agreement, the parties agree as follows:
(1) PURPOSE: The United States Congress has authorized, in Fixing
America's Surface Transportation Act (FAST); 23 U.S.C. §101, §106 and §213;
SAFETEA-LU §1404 funds to be used for transportation alternatives activities. The
purpose of this Agreement is to grant the use of such transportation alternatives funds
to the City.
•
(2) LOCATION: The transportation alternatives funds which are the subject of
this Agreement are for the project at the following location:
Along Independence Street from the Cape LaCroix Trial to Gordonville Road / East
Rodney Drive with a connection to existing sidewalk along East Rodney Drive.
The general location of the project is shown on attachment marked "Exhibit A"
and incorporated herein by reference.
(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. The City may not
be eligible for future Transportation Alternatives Funds if the City does not meet the
reasonable progress policy
(4) 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
(5) 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.
(6) COMMISSION REPRESENTATIVE: The Commission's 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.
(7) NONDISCRIMINATION ASSURANCE: With regard to work under this
Agreement, the City agrees as follows:
(A) Civil Rights Statutes. The City sh all 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.0 §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
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 (7) 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
subcontract or 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 ma y request the United States to enter into such litigation to protect the
interests of the United States.
(8) ASSIGNMENT: The City shall not assign, transfer or delegate any
interest in this Agreement without the prior written consent of the Commission.
(9) 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.
(10) CANCELLATION: The Commission may cancel this Agreement at any
time for a material breach of contractual obligations by providing the City with written
notice of cancellation. Should the Commission exercise its right to cancel this
Agreement for such reasons, cancellation will become effective upon the date specified
in the notice of cancellation sent to the City.
(11) 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 Federal Highway Administration
(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.
(12) 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 II 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 III, Nonsegregated
Facilities, as set out in Form FHWA 1273
(13) 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 this 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.
(14) MAINTENANCE OF DEVELOPMENT: The City shall maintain the herein
contemplated improvements without any cost or expense to the Commission. All
maintenance by the City shall be done for the safety of the general public and the
esthetics of the area. In addition, if any sidewalk or bike trails are constructed on the
Commission's right-of-way pursuant to this Agreement, the City shall inspect and
maintain the sidewalk or bike trails constructed by this project in a condition reasonably
safe to the public and, to the extent allowed by law, shall indemnify and hold the
Commission harmless from any claims arising from the construction and maintenance
of said sidewalk or bike trails. If the City fails to maintain the herein contemplated
improvements, the Commission or its representatives, at the Commission's sole
discretion shall notify the City in writing of the City's failure to maintain the improvement.
If the City continues to fail in maintaining the improvement, the Commission may
remove the herein contemplated improvement whether or not the improvement is
located on the Commission's right of way Any removal by the Commission shall be at
the sole cost and expense of the City Maintenance includes but is not limited to
mowing and trimming between shrubs and other plantings that are part of the
improvement.
(15) PLANS: The City shall prepare preliminary and final plans and
specifications for the herein improvements. The plans and specifications shall be
submitted to the Commission for the Commission's review and approval. The
Commission has the discretion to require changes to any plans and specification prior to
any approval by the Commission.
(16) 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
Seventy-Eight (78) percent not to exceed $201,455.00. 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.
(17) 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 The City shall repay any
progress payments which involve ineligible costs.
(18) PROMPT PAYMENTS: Progress invoices submitted to MoDOT for
reimbursement more than thirty (30) calendar days after the date of the vendor invoice
shall also include documentation that the vendor was paid in full for the work identified
in the progress invoice. Examples of proof of payment may include a letter or e-mail
from the vendor, lien waiver or copies of cancelled checks. Reimbursement will not be
made on these submittals until proof of payment is provided. Progress invoices
submitted to MoDOT for reimbursement within thirty (30) calendar days of the date on
the vendor invoice will be processed for reimbursement without proof of payment to the
vendor. If the City has not paid the vendor prior to receiving reimbursement, the City
must pay the vendor within two (2) business days of receipt of funds from MoDOT
(19) PERMITS: The City shall secure any necessary approvals or permits from
any federal or state agency as required for the completion of the herein improvements.
If this improvement is on the right of way of the Commission, the City must secure a
permit from the Commission prior to the start of any work on the right of way The
permits which may be required include, but are not limited to, environmental,
architectural, historical or cultural requirements of federal or state law or regulation.
(20) INSPECTION OF IMPROVEMENTS AND RECORDS: The City shall
assure that representatives of the Commission and FHWA shall have the privilege of
inspecting and reviewing the work being done by the City's contractor and subcontractor
on the herein project. The City shall also assure that its contractor, and all
subcontractors, if any, maintain all books, documents, papers and other evidence
pertaining to costs incurred in connection with the Transportation Alternatives Program
Agreement, and make such materials available at such contractor's office at all
reasonable times at no charge during this Agreement period, and for three (3) years
from the date of final payment under this Agreement, for inspection by the Commission,
FHWA or any authorized representatives of the Federal Government and the State of
Missouri, and copies shall be furnished, upon request, to authorized representatives of
the Commission, State, FHWA, or other Federal agencies.
(21) CREDIT FOR DONATIONS OF FUNDS, MATERIALS, OR SERVICES: A
person may offer to donate funds, materials or services in connection with this project.
Any donated funds, or the fair market value of any donated materials or services that
are accepted and incorporated into this project shall be credited according to 23 U.S.C.
§323.
(22) DISADVANTAGED BUSINESS ENTERPRISES (DBE): The Commission
will advise the City of any required goals for participation by disadvantaged business
enterprises (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.
(23) VENUE. It is agreed by the parties that any action at law, suit in equity, or
other judicial 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) 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.
(25) FINAL AUDITS The Commission may, in its sole discretion, 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.
(26) OMB AUDIT: If the City expend(s) seven hundred fifty thousand dollars
($750,000) or more in a year in federal financial assistance it is required to have an
independent annual audit conducted in accordance with 2 CFR Part 200. A copy of the
audit report shall be submitted to MoDOT within the earlier of thirty (30) days after
recejpt'of the auditor's report(s), or nine (9) months after the end of the audit
period. Subject to the-requirements of 2 CFR Part 200, if the City expend(s) less than
seven hundred fifty thousand dollars ($750,000) 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 federar uthorities.
(27) FEDERAL FUf4DING 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.
IN WITNESS WHEREOF, the parties have entered into this Agreement on the date last
written below ,/
Executed by the City this�d �/�A-0 ay of �/ 1 , 2017
Executed by the Commission this_day of , 2017
MISSOURI HIGHWAYS AND
TRANSPORTATION COMMISSION CITY OF CAP RARDEAU
By /i
Title _ Title l /hi Main lei'
ATTEST: ATTEST:
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Secretary to the Commission Byt�til✓ �/
Title I Kipithi e Oerk
Approved as to Form: Approved as to Form:
a). /C ✓rt/Ne
Commission Counsel �/
Title CRY /VLY
Ordinance No 'y / 3 /
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Exhibit A - Location of Project
City of Cape Girardeau , J
Transportation Alternatives Program
Independence Street Sidewalk
Gordonvilie/East Rodney to Cape LaCroix Trail
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Exhibit B— Project Schedule
Project Description: TAP-1500(023)
Sidewalk construction along Independence Street from the Cape LaCroix Trial to Gordonville
Road/East Rodney Drive with a connection to existing sidewalk along East Rodney Drive.
Task Date
Date funding is made available or allocated to recipient 12/27/2016
Solicitation for Professional Engineering Services (advertised) Optional
Engineering Services Contract Approved 6/27/2017
Conceptual Study(if applicable) Optional
Preliminary and Right-of-Way Plans Submittal 12/27/2017
(if Applicable)
Plans, Specifications &Estimate(PS&E) Submittal 6/27/2018
Plans, Specifications&Estimate (PS&E)Approval 8/27/2018
Advertisement for Letting 9/27/2018
Bid Opening 10/27/2018
Construction Contract Award or Planning Study completed 11/27/2018
(REQUIRED)
*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 a Supplemental Agreement is required to modify this date.
Exhibit C - Required Contract Provisions
Federal-Aid Construction Contracts
FHWA-1273— Revised May 1,2012
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 Govemmentwide Suspension and Debarment Requirements
Xl. Certification Regarding Use of Contract Funds for Lobbying
ATTACHMENTS
A.Employment and Materials Preference for Appalachian Development Highway System or Appalachian Local Acnss 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 a0 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 FedereFald design-build contracts,in a0 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 a0 work performed on
the contract by the contractors own organization and with the assistance of workers under the contractors 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 Fl-WA.
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.
II. NONDISCRIMINATION
The provisions of this section related to 23 CFR Part 230 are applicable to all Federal-aid construction contracts and to a0 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),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 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 510,000,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 affimrative action standards for the contractor's project
activities under this contract.The provisions of the Americans with Disabilities Act of 1990(42 U.S.C. 12101 et seq.)set forth under
28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract.In the execution of this contract,the contractor agrees
to comply with the following minimum specific requirement activities of EEO:
a.The contractor will work with the 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 forms of
compensation;and selection for training,including apprenticeship,pre-apprenticeship,and/or on-the-job training.'
2. EEO Officer The contractor will designate and make known to the 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 contractors EEO policy and contractual responsibilities to provide EEO in each grade and classification of
employment. To ensure that the above agreement will be met,the following actions will be taken as a minimum:
a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less
often than once every six months,at which time the contractor's EEO policy and its implementation will be reviewed and explained.
The meetings will be conducted by the EEO Officer.
b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer,covering all
major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor.
c All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's
procedures for locating and hiring 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 attention of employees by
means of meetings,employee handbooks,or other appropriate means.
4.Recruitment:When advertising for employees,the contractor will include in all advertisements for employees the notation:"An
Equal Opportunity Employer." All such advertisements will be placed in publications having a large circulation among minorities and
women in the area from which the project work force would normally be derived.
a. The contractor will,unless precluded by a valid bargaining agreement,conduct systematic and direct recruitment through
public and private employee referral sources likely to yield qualified 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 hal referrals,the contractor is
expected to observe the provisions of that agreement to the extent that the system meets the contractors 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 without
regard to race,color,religion,sex,national origin,age or disability. The following procedures shall be followed:
a. The contractor win conduct periodic inspections of project sites to insure that working conditions and employee facilities do not
indicate discriminatory treatment of project site personnel.
b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of
discriminatory wage practices.
c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of
discrimination. Where evidence is found,the contractor will promptly take corrective action. If the review indicates that the
discrimination may extend beyond the actions reviewed,such corrective action shall Include all affected persons.
d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with 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 looting,qualifying,and increasing the skills of minorities and women who are applicants for
employment or current employees. Such efforts should be aimed at developing fug journey level status employees in the type of
trade or job classification involved.
b. Consistent with the contractors work force requirements and as permissible under Federal and State regulations,the
contractor shall make fug 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 contractors 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 flow of referrals within the time limit set forth in the
collective bargaining agreement,the contractor will,through independent recruitment effors,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 I 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 State DOTS U.S.DOT-approved DBE program are incorporated by
reference.
b. The contractor or subcontractor shall not discnminate 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 FI-WA.
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 dassrfication 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 part 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 contractors control,where the facilities are segregated. The term
"facilities"includes wading rooms,work areas,restaurants and other eating areas,time clocks,restrooms,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 nght-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-Contrail 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 thereof)due at time of payment computed at rates not 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(6)(2)of the Davis-Bacon Ad 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 work is performed.The wage determination(including 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 fisted 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
(1)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(d 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 1.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 shag pay
another bona fide fringe benefit or an hourly cash equivalent thereof.
d.If the contractor does not make payments to a tnatee 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 Ad 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 contnbutions 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 rates
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 nrunber).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
httpjlwww.dol.gov/esa/whd/fonnsAvh347instr.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)(ii)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 property executed certification set forth on the reverse side of Optional Form WH-347 shall
satisfy the requirement for submission of the"Statement of Compliance"required by paragraph 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 transaiption 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 the job.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,take 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 will be permitted to work at less than the predetermined rate for the work they performed when they are employed
pursuant to and individually registered in a bona Me 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 to journeymen on the job site in any craft classification shall not be greater than the ratio
permitted to the contractor as to the entire work force under the registered program.Any 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 the job site In
excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage
determination for the work actually performed.Where a contractor is performing construction on a project in a locality other than that
in which its program is registered,the ratios and wage rates(expressed in percentages of the journeyman's hourly rate)specified in
the contractor's or subcontractor'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 the journeymen 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 to journeymen on the job 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 corresponding joumeyrnan wage rate on the wage
determination which provides for less than full fringe benefits for apprentices.Any employee fisted on the payroll at a trainee rate
who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not
less than the applicable wage rate on the wage determination for the classification of work actually performed.In addition,any
trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the
applicable wage rate on the wage determination for the work actually performed.
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 journeymen under this part 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.
6.Subcontracts. The contractor or subcontractor shall insert Form FHWA-1273 in any subcontracts and also require the
subcontractors to include Form Fl-WA-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 certifies 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 performed by the contractor or subcontractor under any such contract or any other Federal contract with
the same prime contractor,or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Ad,
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 items 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,end
equipment owned or rented by the prime contractor,with or without operators. Such term does not include employees or 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 from 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-today 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 projed;
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 fnn,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 an pertinent provisions and requirements of the prime contract.
5.The 3D%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 it determines,or as the contracting officer may determine,to be reasonably necessary to protect the
life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the
work covered by the contract.
2. II is a condition of this contract,and shall be made a condition of each subcontract,which the contractor enters into pursuant to
this contract,that the contractor and any subcontractor shall not permit any employee,In performance of the contract,to work in
surroundings or under conditions which are unsanitary,hazardous or dangerous to his/her health or safety,as determined under
construction safety and health standards(29 CFR 1926)promulgated by the Secretary of Labor,in accordance with Section 107 of
the Contract Work Hours and Safety Standards Act(40 U.S.C.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 site of contract performance to inspect or Investigate the matter of compliance with the construction safety
and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety
Standards Act(40 U.S.C.3704).
VIII.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
project:
18 U.S.C. 1020 reads as follows:
"Whoever,being an officer,agent,or employee of the United States,or of any State or Territory,or whoever,whether a person,
association,firm,or corporation,knowingly makes any false statement,false representation,or false report as to the character,
quality,quantity,or cost of the material used or to be used,or the quantity or quality of the work performed or to be performed,or
the cost thereof in connection with the submission of plans,maps,specifications,contracts,or costs of construction on any highway
or related project submitted for approval to the Secretary of Transportation;or
Whoever knowingly makes any false statement,false representation,false report or false claim with respect to the character,
quality,quantity,or cost of any work performed or to be performed,or materials famished 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 Ad approved July 1,1916,(39 Stat.355),as amended and
supplemented;
Shall be fined under this title or 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 bid/proposal 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 or more— as defined in 2 CFR Parts 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 inab0iy 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 lt 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). tower 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 Der 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).
f.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 tier covered transaction with a person who is debarred,suspended,declared
ineligible,or voluntarily excluded from participation in this covered transaction,unless authorized by the department or agency
entering into this transaction.
g.The prospective 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 Transactors,'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 tier covered transactions exceeding the$25,000 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
(https://www.epls.Q OV/),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(f)of these instructions,If a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is suspended,debarred.ineligible,or voluntarily excluded from
participation in this transaction,in addition to other remedies available to the Federal Government,the department or agency may
terminate this transaction for cause or default.
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 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,bnbery,falsification or destruction of records,making false statements,or receiving stolen property;
(3) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity(Federal,State or local)with
commission of any of the offenses enumerated in paragraph(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 certify to any of the statements in this certification,such prospective participant
shall attach an explanation to this proposal.
2.Instructions for Certification-Lower Tier Participants:
(Applicable to all subcontracts,purchase orders and other lower tier 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 tier is providing the certification set out below.
b.The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was
entered into.If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification,in
addition to other remedies available to the Federal Government,the department,or agency with which this transaction originated
may pursue available remedies,including suspension and/or debarment.
c-The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if
at any time the prospective lower tier participant teams 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 Parts 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 titled'Certification
Regarding Debarment,Suspension,Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction,'without modification,in
all lower tier covered transactions and in all solicitations for lower tier covered transactions 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 erroneous.A participant is responsible for ensuring that its pnncipals 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,shed(the Excluded Parties List System website
(httpS://WWw.epIS.goV/),which is compiled by the General Services Administration.
h Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good
faith the certification required by this clause.The knowledge end information of participant is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of business dealings.
i.Except for transactions authorized under paragraph e of these instructions,if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is suspended,debarred,ineligible,or voluntarily excluded from
participation in this transaction,in addition to other remedies available to the Federal Govemment,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 ell Federal-aid construction contracts and to all related subcontracts which exceed$100,000(49 CFR
20).
1.The prospective participant certifies,by signing and submitting this bid or proposal,to the best of his or her knowledge and
belief,that:
a.No Federal appropriated funds have been paid or will be paid,by or on behalf of the undersigned,to any person for influencing
or attempting to influence an officer or employee of any Federal agency,a Member of Congress,an officer or employee of
Congress.or an employee of a Member of Congress in connection with the awarding of any Federal contract,the making of any
Federal grant,the making of any Federal loan,the entering into of any cooperative agreement,and the extension,continuation,
renewal,amendment,or modification of any Federal contract,grant,ban,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 Fonn-LLL,'Disclosure Form to Report Lobbying,'in accordance with its instructions.
2.This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C.1352. Any
person who fails to file the required certification shall be subject to a civil penalty of not less than$10,000 and not more than
$100,000 for each such failure.
3.The prospective participant also agrees by submitting its bid or proposal that the participant shall require that the language of
this certification be included in all lower tier subcontracts,which exceed$100,000 and that a0 such recipients shag certify and
disclose accordingly.
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 or specially experienced personnel necessary to assure an
efficient execution of the contract work.
c For the obligation of the contractor to offer employment to present or former employees as the result of a lawful collective
bargaining contract,provided that the number of nonresident persons employed under this subparagraph(1 c)shall not exceed 20
percent of the total number of employees employed by the contractor on the contract work,except as provided in subparagraph(4)
below.
2.The contractor shall place a job order with the State Employment Service indicating(a)the classifications of the laborers,
mechanics and other employees required to perform the contract work,(b)the number of employees required in each classification,
(c)the date on which the participant estimates such employees will be required,and(d)any other pertinent information required by
the State Employment Service to complete the job order form. The job order may be placed with the State Employment Service in
writing or by telephone. If during the course of the contract work,the information submitted by the contractor in the original job order
is substantially modified,the participant shall promptly notify the State Employment Service.
3.The contractor shall give full consideration to all qualified job applicants referred to him by the State Employment Service. The
contractor is not required to grant employment to any job applicants who,in his opinion,are not qualified to perform the classification
of work required.
4.If,within one week following the placing of a job order by the contractor with the State Employment Service,the State
Employment Service is unable to refer any qualified job applicants to the contractor,or less than the number requested,the State
Employment Service will forward a certificate to the contractor indicating the unavailability of applicants. Such certificate shall be
made a part of the 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.
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: Along Independence Street from the Cape La Croia�Trail to Gordonville Road/
East Rodney Drive with Connection to Existing Sidewalk along East Rodney Dr.
PROJECT: Independence Sidewalk TAP-1500(023)
THIS CONTRACT is between City of Cape Girardeau, Missouri, hereinafter refened to as the "Local
Agency", and KLG Engineering, LLC hereinafter referred to as the "Engineer".
INASMUCH as funds have been made available by the Federal Highway Administration through its
Transportation Alternatives Program, coordinated through the Missouri Depa.rtment of
Transportation, the Local Agency intends to construct a sidewalk and needs to prepare preliminary
and final plans and specifications together with acquisition of easements andlor right of way for
construction of sidewalk improvements along Independence Street from the Cape LaCroix Trail to
Gordonville Road / East Rodney Drive with a connection to existing sidewalk along East Rodney
Drive and requires professional engineering services. The Engineer will provide the Lacal Agency
with professional services hereinafter detailed for the planning and design of the desired
improvements and the Locai Agency will pay the Engineer as provided in this contract. It is mutually
agreed as follows:
ARTICLE I—SCOPE OF SERVICES
See Attachment A for the Scope of Services specific to this project.
ARTICLE II -DISADVANTAGED BUSINESS ENTERPRISE (DBE) REOUIREMENTS:
A. DBE Goa.l: 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 percenta.ge of services to be awarded to DBE firms is 0 % of the total
Agreement dollar value.
B. DBE Participation Obtained by Engineer:
The Engineer is a DBE Firm aad will perform 80% of the total design phase services
under this agreement, by dollar value.
DBE FIRM PERCENTAGE
NAME, CONTRACT OF DBE
STREET AND TOTAL$ $ AMOUNT CONTRACT
COMPLETE TYPE OF VALUE OF TO APPLY DOLLAR VALUE
MAILING DBE THE DBE TO TOTAL APPLICABLE TO
ADDRESS SERVICE CONTRACT DBE GOAL TOTAL GOAL
KLG Engineering,LLC Engineering 24,313.52 $19,553.52 80%
2909 Baker Farm Circle
Cape Girardeau,IvIO 63701
Fig. 136.4.1 Contract Revised OSl27/2016
1
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 instructians, 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
project.
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. PS&E Approval by MODOT shall be completed on Apri130, 2018
B. Construction Phase shall be completed 60 days after construction final completion schedule.
The Loca1 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 sha1l 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 OSi27/2016
2
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
$ 2,249.52, with a ceiling established for said design services in the amount of
$ 24,313.52, which amount shall not be exceeded.
B. For construction inspection services, the Local Agency will pay the Engineer the
actual costs incurred plus a predetermined fixed fee of 0, with a ceiling
established far said inspection services in the amount of 0, which
amount shall not be exceeded.
C. 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 predeternuned fixed fee will require a supplement to this contract, as covered
in Article III -ADDITIONAL SERVICES.
D. Actual costs in Sections A and B above aze defined as:
1. Actual payroll salaries paid to employees for time tha.t they are productively
engaged in work covered by this contract,plus
2. KLG Engineering, LLC has exercised the option to use the Federal Safe
Harbor Rate of 110%. This rate will be used without adjustment for the life of
the contract,plus
3. Other costs directly attributa.ble to the project but not included in the above
overhead, such as vehicle mileage, meals and lodging, printing, surveying
expendables, and computer time,plus
4. 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 05127l2016
3
E. The rates shown for additives and overhead in Sections VII. D.2 and VII. D.3 above are the
established Engineer's overhead rate accepted at the time of contract execution and shall be
utilized throughout the life of this contract for billing purposes.
F. The payment of costs under this contract will be limited to costs which are allowable under 23
CFR 172 and 48 CFR 31.
G. 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, Iess 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.
H. PROPERTY ACCOITNTABILITY- If it becomes necessary to acquire any specialized
equipment for the performance of this contract, appropriate credit will be given for any
residua.l value of said equipment after completion of usage of the equipment.
ARTICLE 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 fram the
award or making of this contract. For breach or violation of this warranty, the Local Agency sha11
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, cornmission, percenta.ge,
brokera.ge fee, gift, or contingent fee,plus reasonable attorney's fees.
ARTICLE IX- SUBLETTING,ASSIGNMENT OR TRANSFER
No portion of the work covered by this contract, except as provided herein, sha11 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:
Fig. 136.4.1 Contract Revised 05/27C2016
4
Sub-Consultant Name Address Services
Koehler Engineering&Land Surveying, Inc 194 Coker Lane Surveying
Cape Girardeau,MO 63701
ARTICLE X-PROFESSIONAL ENDORSEMENT
All plans, specifications and other documents shall be endorsed by the Engineer and sha11 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 autharized representatives of the Local Agency,
MoDOT or the federal government during regulaz 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 computatians and other data prepared under this contract shall be made avaiiable 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 limita.tion on its use. If the Loca1 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.
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 Ageney, upon giving to the Engineer at least fifteen (15) days' prior written notice of
the effective date thereof. 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 perfarmed 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.
Fig. 136.4.1 Contract Revised 05/27120I6
5
C. The Engineer shall remain liabie to the Local Agency for any cla.ims 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 sha11 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 ternunate this agreement.
l. Receipt of written notice from the Local Agency that funds are no
longer available ta 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 Loca1 Agency.
ARTICLE XIV -DECISIONS UNDER THIS CONTRACT
The Local Agency will determine the accepta.hility 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 lacal laws, ordinances, and regulations
applicable to the work, including but not iimited to Title VI and Title VII of the Civil Rights Act of
1964, as amended (42 U.S.G 2000d, 2000e), as well as with any applicable titles of the Americans
with Disabilities Act (42 U.S.C. 12101, et seq.) and non-discrimination clauses incorporated herein,
and shali procure aIl licenses and permits necessary for the fulfillment of obligations under this
contract.
Fig. 136.4.1 Contract Revised 0527l2016
6
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 regaxd to the work performed by it after award and priar 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 state and federal related 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, 2000e), as well as with any applicable titles of the Americans with
Disabilities Act (42 U.S.C. 12101, et seq.). 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 by competitive 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 2Q. Engineer agrees to
abide by all certificatian or disclosure requirements in 49 C.F.R. Part 20 which are incorporated
herein by reference.
ARTICLE XX—INSURANCE
A. The Engineer sha11 maintain commercial general liability, automobiie 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 generalliability policies.
B. T'he Engineer shall also maintain professional Iiability 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:
Fig. 136.4.1 Contract Revised OSl27/2016
7
Insurance Tvae Amount
Worker's Compensation: In full compliance with statutory requirements of
Federal and State of Missouri
Comprehensive General and Professional Liability: $414,418 each person
$2,762,789 each occurrence
Comprehensive Automobile Liabi}ity: $414,418 each person
$2,762,789 each occurrence
Employer Liability: $414,418 each person
$2,762,789 each occurrence
City's Protective Bodily Injury Including Death: $414,418 each person
$2,762,789 each occurrence
City's Protective Property Damage: $414,418 each person
$2,762,789 each occurrence
D. The Engineer sha11, 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 X� sha11 be written by a company
which is incorporated in the United States of America or is based in the United Sta.tes of
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 aze attached hereto and are hereby made part of this contract:
Attachment A—Scope of Service
Attachment B -Estimate of Cost
Attachment C - Certification Regarding Debarment, Suspension, and Other
Responsibility Matters - Primary Covered Transactions.
Attachment D - Certification Regarding Debarment, Suspension, and Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transactions.
Attachment E—DBE Contract Provisians
Attachment F—Fig. 136.4.15 Canflict of Interest Disclosure Form
Fig. 136.4.1 Contract Revised 0527/2016
8
Executed by the Engineer this�day of . 20�
Executed by the City this5`w day of '���, , 20�7
FOR: CITY OF CAP EAU,MISSOURI
BY:
Sco eyer, ity . �,.,
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ATTEST: ` � !�- y '
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r
�rd� �� Depu City Clerk ��T��� � , `" i�, ��
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\\�y�. , N,,@i /'�F+�
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FOR: KLG ENGINEERING,LLC _ � � '�%
BY:
lly Green, PE
ATTEST�����—���(d���?—
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I hereby certify under Section 50.660 RSMo there is either: (1} a balance of funds, otherwise
unencumbered, to the credit af the apprapriation to which the obligation contained herein is
chargeable, and a cash balance otherw�ise 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 taYes have been authorized by vote of the people and there �s a sufficient unencumhered
amount of the bands yet to be sold or of the taxes levied and yet to be collected to meet the obligation
in case there is nat a sufficien#unencumbered cash halance in�he treas�,.
ohn Richbourg,Director f Finance
Fig. 136.4.1 Contract
Revised OSl27/2016
9
ATTACHMENT A
Scope of Services
DESIGN Phase Services
1) Survey and research existing right of way,easements and property lines
2) Survey and research e�sting and proposed utilities
3) Perform 3D and topographic survey of conesponding sections af Independence and East Rodney
including trees, signs, buildings and other adjacent features
4) Prepare Historic/Heritage/Environmental submittals
5) Attend meetings with property owners as needed
6) Prepare preliminary design of a 5 or 6-foot wide sidewalk including:
a. horizontal alignment
b. existing and proposed modifications to street and driveway approaches.
c. existing utility locations
d. typical sections of sidewalk
e. retaining wall locations
f. evaluate possibility of replacing existing sidewalk near Broadview with new sidewalk which
includes green space
g. evaluate horizontal/vertical alignment options for tying the sidewalk into the Cape LaCroix
Trail
h. exhibits and descriptions for easements (temporary and/or permanent) and/or right of way, as
needed for constructing the sidewalk improvements
i. opinion of construction cost
7) Prepare final design of the sidewalk including:
a. horizontal and vertical alignment of the sidewalk with coordinates
b. site specific curb ramp details
c. bid book(in format acceptable to MoDOT)including job special provisions
d. traffic control plan
e. permanent striping/signing plan
f. retaining wall design and hand rail(where needed)
g. opinion of construction cost
8) Revisions per City and MoDOT comments
9) Environmental clearances
10) Deliverables for final design shall include:
a. copies of historic/heritage%nvironmental permits and clearances
b. electronic and hard copy of survey information
c. electronic and hard copy of drawings for construction plans,bid book and specifications
d. opinion of construction costs.
Fig. 136.4.1 Contract Revised 01/27/2016
ATTACHMENT B
ESTIMATE OF COST
DESIGN PHASE
Hours Rate (Salarv Onlv) Cost
Preliminary Design
Partner 70 $ 48.00 $ 3,360.00
Engineer 15 $ 40.00 $ 600.00
Technician 50 $ 24.00 $ 1,200.00
Fina/Design
Partner 40 $ 48.00 $ 1,920.00
Engineer 15 $ 40.00 $ 600.00
Technician 20 $ 24.00 $ 480.00
Assistant 5 $ 16.00 $ 80.00
SUBTOTAL $ 8,240.00
Safe Harbor Act Overhead Rate (110%X Subtotal) $ 9,064.00
TOTAL LABOR&OVERHEAD $ 17,304.00
Fixed Fee (13%) $ 2,249.52
TOTAL LABOR, OVERHEAD, & FIXED FEE $ 19,553.52
Other Direct Costs
Travel $
Computer Time $
Printing $ 150.00
Subcontract Poss-Through Costs
Koehler Engineering and Land Surveying
Surveying $ 4,610.00
TOTAL FOR DESIGN PHASE $ 24,313.52
ATTACHMENT C
CERTIFICATION REGA.RDING DEBARMENT,
SUSPENSION,AND OTHER RESPONSIBILITY 11ZATTERS-
PRIMARY COVERED TRANSACTIONS
INSTRUCTIONS FOR CERTIFICATION
l. 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 disqualify 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 enoneous 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 enoneous by reason of changed
circumstances.
5. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
�, „ ,� �, �� ��
�transact�on, 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
12549. You may contact the 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 departrnent ar agency entering into
this transaction.
7. The prospective primary participant further agrees by subrnitting 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 aIl lower tier covered transactions and in all solicitations for
lower tier covered transactions.
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
Fig. 136.4.1 Contract Revised 01/272016
from the covered transaction, unIess 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/eplslsearch.do?page=A&status=current&agency=69#A.
9. Nothing contained in the foregoing shall be construed to require establishment of a system of recards
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 deparhnent or agency may terminate this
transaction for cause or default.
Certification Regarding De6arment, 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 debazred, 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 sta.tements, or receiving stolen property;
c• Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State or local) with commission of any of the offenses enumerated in
paragraph(1)(b)of this certification; and
d. Have not within a 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
cert�cation,such prospective participant shall attach an explanation to this proposal.
Fig. 136.4.1 Contract Revised 01/27/2016
ATTACAMENT D
CERTIFICATION REGARDING DEBARMENT, SUSPENSION,INELIGIBILITY AND
VOLUNTARY EXCLUSION--LOWER TIER COVERED TRANSACTIONS
INSTRUCTION5 FOR CERTIFICATION
1• By signing and submitting this proposal, the prospective lower tier participant is providing the
certifcation 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 enoneous certification, in addition to other remedies available to
the Federal Government, the department or agency with which this transaction originated may pursue
available remedies, including suspension andlor debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which
this praposal 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 depariment or agency
with which this transaction originated.
6• T'he prospective Iower tier participant further agrees by submitting this praposal that it will include
this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion--Lower Tier Covered Transaction," without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
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, 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.
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 Ol/27/2016
9. Except for transactions authorized under paragraph 5 af 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 andlor debannent.
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 shali attach an explanation to this proposal.
Fig. 136.4.1 Contract Revised 01/27/2016
Attachment E
Disadvantage Basiness Enterprise Contract Provisions
1• Policv: It is the policy of the U.S. Department of Transportation and the Local Agency that businesses
owned by socially and economically disa.dvantaged 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• Oblisation of the En�ineer to DBE's: The Engineer agrees to assure that DBEs have the maximum
oppartunity 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• Geo�ranhic 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 gaal, expand the
search to a reasonably wider geographic area.
4• Determination of Particination Toward Meeting the DBE Goal: DBE participation shall be counted
toward meetmg the goal as follows:
A. Once a firm is determined to be a certi$ed 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 who perform a
commercially useful function in the compietion of services required in this Agreement. A DBE is cansidered
to perform a commercially useful function when the DBE is responsible for the execution of a distinct element
of the services specified in the Agreement and the carrying out of those 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 required for the performance of this Agreement, provided that the fee or cornmission is determined by
MoDOT's Externa] Civil Rights Division to be reasonable and not excessive as compared with fees
customarily allowed for similaz services.
E. The Engineer is encouraged to use the services of banks owned and controlled by socially and
economically disadvantaged individuals.
5• Renlacement of DBE Subconsultants: The Engineer shall make good faith efforts to replace a DBE
Subconsultant, who is unable to perforrri satisfactorily, with another DBE Subconsultant. Replacement firms
must be approved by MoDOT's External Civil Rights Division.
Fig. 136.4.1 Contract
Revised O]/27l2016
6. Verification of DBE Participation: 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 amaunt and the amount actuaily paid to the DBEs for performing a commercially useful function will be
deducted from the Engineer's payments as liquidated damages. If this Ageement 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 is established by
MoDOT's External Civil Rights Division. The Engineer must document the good faith et�'orts it made to
achieve that DBE goal, if the agreed percentage specified is less than the percentage stated. The Good Faith
Efforts documentation shall illustrate reasonable efforts to obtain DBE Participation. 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 faitl� 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
required by the Cvmmission 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 arganizations that provide assistance
in the recruitment and placement of DBE firms.
Fig. 136.4.1 Contract Revised 0 112 7/20 1 6
g• Good Faith Efforts to Obtain DBE Particination: If the Engineer's agreed DBE goal amount as
specified is less than the established DBE goal given,then the Engineer certifies that 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 01J27J2016
Attachment F — Fig. 136.4.15
Conflict of Interest Disclosure Form for LPA/Consultants
Local Federal-aid Transportation Projects
Firm Name(Consultant): KLG Engineering, LLC
Project Owner(LPA): City of Cape Girardeau
Project Name: Independence Sidewalks
Project Number: TAP-1500(023)
As the LPA and/or consultant for the ahove local federal-aid transportation project, I have:
1. 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,partner 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 ahove persons,there are:
� No real or potential conflicts of interest
If no conflicts have been identified,complete and sign this form and submit to LPA
❑ Real conflicts of interest or the potential �or 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: ' Printed Name: Kelly Green
KLG Engineering, LLC
Signature:������� Signature: �
�
Date: .. � �`-�
Date: '�j�'Ll�� 1 �
Fig. 136.4.1 Contract
Revised 01J27/2016
KOEHLER ENGINEERING & LAND SURVEYING, INC.
194 CokerLane
CAPE GIRARDEAU, MO 63701
PH: (573)335-3026 FX: (573)335-3049
May 26, 2017
Ms. Kelly Green, PE
KLG Engineering, LLC
2909 Baker Farm Circle
Cape Girardeau, MO 63701
RE: Request for Proposal
City of Cape Girardeau— Independence Street Sidewalk
Kelly,
I wish to thank you for the opportunity to submit our proposal for the to provide surveying
services, and optional inspection / materials testing services, for the above noted project.
Surveying services would include obtaining detailed information of the area indicated in
red on the figure below, including determining the limits of the street right of way and
property boundaries abutting same, the topographic data within the survey limits, and
utilities as marked by Missouri One-Call. If you secure title documents reflecting
easements, we will indicate those on the survey as well.
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Our fee for the surveying services would be a lump sum of$4,610.00
I again thank you for the opportunity to submit our proposal for this project, and would
also like to express an interest in submitting proposals to you in the future for any civil
engineering, planning, geotechnical investigation / engineering, environmental
consulting, land surveying, or construction inspection / materials testing projects you
may have.
Independence Street Sidewalk Project m
Cape Girardeau,Missouri
If you have any questions regarding this proposal, or need any additional information,
please contact me at your earliest convenience.
Sincerely,
KOEHLER ENGINEERING 8�
LAND SURVEYING, INC.
�. _ _ _
� ~-�_�---
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Chris Koehler, PE, PLS
enclosures:
Koehler Engineering& RFP Response Page 2
Land Surveying, Inc.