R24-010 1 RESOLUTION NO. R24-010
2
3 A RESOLUTION OF THE CITY OF BOYNTON BEACH, FLORIDA,
4 APPROVING AND AUTHORIZING THE CITY MANAGER TO SIGN
5 THE LOCAL AGENCY PROGRAM AGREEMENT (LAP AGREEMENT),
6 ACCEPT THE LAP AGREEMENT AND EXECUTE ALL DOCUMENTS
7 ASSOCIATED WITH THE LAP AGREEMENT SUBJECT TO THE
8 APPROVAL OF THE CITY ATTORNEY, FOR THE SE 1ST STREET
9 COMPLETE STREETS IMPROVEMENT PROJECT; AND PROVIDING
10 AN EFFECTIVE DATE.
11
12 WHEREAS, the SE 1st Street Complete Streets Improvement project is located
13 between East Woolbright Road and SE 2nd Avenue; and
14 WHEREAS, the project, with an estimated cost of $5,329,670, will provide enhanced
15 pedestrian connectivity and safety via a 10-foot shared use path on the west side of the street,
16 roadway improvements, drainage improvements, and traffic calming throughout the project
17 location, as well as a sidewalk on the south side of SE 5th Avenue between SE 1st Street and
18 the west side of the FEC railroad; and
19 WHEREAS, entering into the LAP Agreement will allow the City to receive funding for
20 the construction of the project in the amount of $1,500,000.00; and
21 WHEREAS, the City Commission, upon recommendation of staff, deems it
22 appropriate to approve and authorize the City Manager to sign the Local Agency Program
23 Agreement (LAP Agreement), accept the LAP Agreement, and execute all documents
24 associated with the LAP Agreement subject to the approval of the City Attorney, for the SE
25 1st Street Complete Streets improvement project.
26 NOW,THEREFORE, BE IT RESOLVED BY THE CITY COMMISSION OF THE CITY OF
27 BOYNTON BEACH, FLORIDA, THAT:
28 Section 1. The foregoing "Whereas" clauses are hereby ratified and confirmed as
29 being true and correct and are hereby made a specific part of this Resolution upon adoption
30 hereof.
31 Section 2. The City Commission of the City of Boynton Beach, Florida, does
32 hereby approve and authorize the City Manager to sign the Local Agency Program
33 Agreement (LAP Agreement), accept the LAP Agreement, and execute all documents
S:\CC\WP\CCAGENDA\2024\01-16-2024 CC\R24-010 LAP_-_FDOT_SE_1 st_Street_Sidewalk_improvements_2024_.docx
34 associated with the LAP Agreement, subject to the approval of the City Attorney, for the SE
35 1st Street Complete Streets improvement project, a copy of which is attached hereto and
36 incorporated herein as Exhibit "A."
37 Section 3. That this Resolution shall take effect immediately upon passage.
38
39 PASSED AND ADOPTED this 16th day of January 2024.
40
41 CITY OF BOYNTON BEACH, FLORIDA
42
43 YES NO
44
45 Mayor—Ty Penserga
46
47 Vice Mayor—Thomas Turkin V
48
49 Commissioner—Angela Cruz
50
51 Commissioner—Woodrow L. Hay
52
53 Commissioner—Aimee Kelley
54
55 VOTE 3.0
56
57 ATTEST:
58 :
59 -IILLIL-;;MI id
60 Tammy Sta ione, CMC Ty Penserga
61 Deputy City Clerk Mayor
62
63 APPROVED AS TO FORM:
64 (Corporate Seal)
65
yOFBO N � vJ
'� .•'CORP '•.% 0 ‘1
67S �N F: Shawna G. Lamb
68 toR� L ;0 % City Attorney
69 .t es
. itor'?
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STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGCIOOC-09/22
Page 1 of 15
FPN: 446078-1-58-01 FPN: FPN:
Federal No (FAIN): D422-045-B Federal No (FAIN): Federal No (FAIN):
Federal Award Date: Federal Award Date: Federal Award Date:
Fund: Fund: Fund:
Org Code: 55043010404 Org Code: Org Code:
FLAIR Approp: FLAIR Approp: FLAIR Approp:
FLAIR Obj: FLAIR Obj: FLAIR Obj:
County No:93 Contract No:
Recipient Vendor No: F596000282025 Recipient Unique Entity ID SAM No: FYYMUAVJDKC6
Catalog of Federal Domestic Assistance (CFDA): 20.205 Highway Planning and Construction
THIS LOCAL AGENCY PROGRAM AGREEMENT ("Agreement"), is entered into on
, by and between the State of Florida Department of Transportation, an agency
(This date to be entered by DOT only)
of the State of Florida ("Department"), and City of Boynton Reach
NOW,THEREFORE, in consi /� j int participation on the Project,the Parties
agree to the following: '/ D 6�°y�Cj
1. Authority: The / 0/ nent pursuant to Section 339.12, Florida
Statutes. The RE orization, a copy of which is attached as
Exhibit "D" and officers to execute this Agreement on its
behalf.
2. Purpose of Agrei for the Department's participation in City
of Boynton Bea( Exhibit "A", Project Description and
Responsibilities a: roject"), to provide Department financial
assistance to the F h Department funds will be provided; and
to set forth the ma mpleted.
3. Term of Agreerm on or before June 30th, 2026. If the
Recipient does not Ireement will expire on the last day of the
scheduled complel on of the time period is requested by the
Recipient and grar tion of this Agreement. Expiration of this
Agreement will be . LOI IIIA Iduun UT ine vroject. I he cost of any work performed after the term of this
Agreement will not be reimbursed by the Department.
4. Project Cost:
a. The estimated cost of the Project is $ 5,329,670.00. This amount is based upon the Schedule of Financial
Assistance in Exhibit "B", attached to and incorporated in this Agreement. Exhibit "B" may be modified
by mutual execution of an amendment as provided for in paragraph 5.i.
b. The Department agrees to participate in the Project cost up to the maximum amount of$1,500,000.00 and
as more fully described in Exhibit "B". This amount includes Federal-aid funds which are limited to the
actual amount of Federal-aid participation. The Department's participation may be increased or reduced
upon determination of the actual bid amounts of the Project by the mutual execution of an amendment.
The Recipient agrees to bear all expenses in excess of the total cost of the Project and any deficits incurred
in connection with the completion of the Project.
c. Project costs eligible for Department participation will be allowed only from the date of this Agreement. It
is understood that Department participation in eligible Project costs is subject to:
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION MANAGEMENTET
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM c
Page 2 of 15
i. Legislative approval of the Department's appropriation request in the work program year that the
Project is scheduled to be committed;
ii. Availability of funds as stated in paragraphs 5.1. and 5.m. of this Agreement;
iii. Approval of all plans, specifications, contracts or other obligating documents and all other terms of
this Agreement; and
iv. Department approval of the Project scope and budget at the time appropriation authority becomes
available.
5. Requisitions and Payments
a. The Recipient shall provide quantifiable, measurable, and verifiable units of deliverables. Each deliverable
must specify the required minimum level of service to be performed and the criteria for evaluating successful
completion. The Project and the quantifiable, measurable, and verifiable units of deliverables are described
more fully in Exhibit "A".
b. Invoices shall be submitted by the Recipient in detail sufficient for a proper pre-audit and post-audit based
on the quantifiable, measurable and verifiable units of deliverables as established in Exhibit "A".
Deliverables must be received and accepted in writing by the Department's Project Manager prior to
payments. Requests for reimbursement by the Recipient shall include an invoice, progress report and
supporting documentation for the period of services being billed that are acceptable to the Department.
The Recipient shall use the format for the invoice and progress report that is approved by the
Department.
c. The Recipient shall charge to the Project account all eligible costs of the Project except costs agreed to be
borne by the Recipient or its contractors and subcontractors. Costs in excess of the programmed funding
or attributable to actions which have not received the required approval of the Department shall not be
considered eligible costs. All costs charged to the Project, including any approved services contributed by
the Recipient or others, shall be supported by properly executed payrolls, time records, invoices, contracts
or vouchers evidencing in proper detail the nature and propriety of the charges.
d. Supporting documentation must establish that the deliverables were received and accepted in writing by
the Recipient and must also establish that the required minimum level of service to be performed based on
the criteria for evaluating successful completion as specified in Exhibit "A" was met. All costs invoiced
shall be supported by properly executed payrolls, time records, invoices, contracts or vouchers evidencing
in proper detail the nature and propriety of charges as described in Exhibit "F", Contract Payment
Requirements.
e. Bills for travel expenses specifically authorized in this Agreement shall be submitted on the Department's
Contractor Travel Form No. 300-000-06 and will be paid in accordance with Section 112.061, Florida
Statutes and the most current version of the Disbursement Handbook for Employees and Managers.
f. Payment shall be made only after receipt and approval of goods and services unless advance payments
are authorized by the Chief Financial Officer of the State of Florida under Chapters 215 and 216, Florida
Statutes or the Department's Comptroller under Section 334.044(29), Florida Statutes.
❑ If this box is selected, advance payment is authorized for this Agreement and Exhibit "H",
Alternative Advance Payment Financial Provisions is attached and incorporated into this
Agreement.
If the Department determines that the performance of the Recipient is unsatisfactory,the Department shall
notify the Recipient of the deficiency to be corrected,which correction shall be made within a time-frame to
be specified by the Department.The Recipient shall,within thirty(30)days after notice from the Department,
provide the Department with a corrective action plan describing how the Recipient will address all issues of
contract non-performance, unacceptable performance, failure to meet the minimum performance levels,
deliverable deficiencies, or contract non-compliance. If the corrective action plan is unacceptable to the
525-010-40
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGa00c-09/22
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Department, the Recipient will not be reimbursed to the extent of the non-performance. The Recipient will
not be reimbursed until the Recipient resolves the deficiency. If the deficiency is subsequently resolved, the
Recipient may bill the Department for the unpaid reimbursement request(s)during the next billing period. If
the Recipient is unable to resolve the deficiency, the funds shall be forfeited at the end of the Agreement's
term.
g. Agencies providing goods and services to the Department should be aware of the following time frames.
Inspection and approval of goods or services shall take no longer than 20 days from the Department's
receipt of the invoice. The Department has 20 days to deliver a request for payment (voucher) to the
Department of Financial Services. The 20 days are measured from the latter of the date the invoice is
received or the goods or services are received, inspected, and approved.
If a payment is not available within 40 days, a separate interest penalty at a rate as established pursuant
to Section 55.03(1), F.S., will be due and payable, in addition to the invoice amount, to the Recipient.
Interest penalties of less than one (1) dollar will not be enforced unless the Recipient requests payment.
Invoices that have to be returned to an Recipient because of Recipient preparation errors will result in a
delay in the payment. The invoice payment requirements do not start until a properly completed invoice is
provided to the Department.
A Vendor Ombudsman has been established within the Department of Financial Services. The duties of
this individual include acting as an advocate for Agencies who may be experiencing problems in obtaining
timely payment(s)from a state agency. The Vendor Ombudsman may be contacted at (850)413-5516.
h. The Recipient shall maintain an accounting system or separate accounts to ensure funds and projects are
tracked separately. Records of costs incurred under the terms of this Agreement shall be maintained and
made available upon request to the Department at all times during the period of this Agreement and for five
years after final payment is made. Copies of these documents and records shall be furnished to the
Department upon request. Records of costs incurred include the Recipient's general accounting records
and the project records, together with supporting documents and records, of the contractor and all
subcontractors performing work on the project, and all other records of the Contractor and subcontractors
considered necessary by the Department for a proper audit of costs.
i. Prior to the execution of this Agreement, a Project schedule of funding shall be prepared by the Recipient
and approved by the Department. The Recipient shall maintain said schedule of funding, carry out the
Project, and shall incur obligations against and make disbursements of Project funds only in conformity with
the latest approved schedule of funding for the Project. The schedule of funding may be revised by
execution of a Local Agency Program ("LAP") Supplemental Agreement between the Department and the
Recipient. The Recipient acknowledges and agrees that funding for this project may be reduced upon
determination of the Recipient's contract award amount.
j. If, after Project completion, any claim is made by the Department resulting from an audit or for work or
services performed pursuant to this Agreement, the Department may offset such amount from payments
due for work or services done under any agreement which it has with the Recipient owing such amount if,
upon demand, payment of the amount is not made within 60 days to the Department. Offsetting any amount
pursuant to this paragraph shall not be considered a breach of contract by the Department.
k. The Recipient must submit the final invoice on the Project to the Department within 120 days after the
completion of the Project. Invoices submitted after the 120-day time period may not be paid.
I. The Department's performance and obligation to pay under this Agreement is contingent upon an annual
appropriation by the Legislature. If the Department's funding for this Project is in multiple fiscal years,funds
approval from the Department's Comptroller must be received each fiscal year prior to costs being incurred.
See Exhibit "B" for funding levels by fiscal year. Project costs utilizing these fiscal year funds are not
eligible for reimbursement if incurred prior to funds approval being received. The Department will notify the
Recipient, in writing, when funds are available.
m. In the event this Agreement is in excess of$25,000 and has a term for a period of more than one year, the
provisions of Section 339.135(6)(a), Florida Statutes, are hereby incorporated:
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STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525EMENT
LOCAL AGENCY PROGRAM AGREEMENT PROGRAMO coot-os22
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"The Department, during any fiscal year, shall not expend money, incur any liability, or
enter into any contract which, by its terms, involves the expenditure of money in excess of
the amounts budgeted as available for expenditure during such fiscal year. Any contract,
verbal or written, made in violation of this subsection is null and void, and no money may
be paid on such contract. The Department shall require a statement from the comptroller
of the Department that funds are available prior to entering into any such contract or other
binding commitment of funds. Nothing herein contained shall prevent the making of
contracts for periods exceeding 1 year, but any contract so made shall be executory only
for the value of the services to be rendered or agreed to be paid for in succeeding fiscal
years, and this paragraph shall be incorporated verbatim in all contracts of the Department
which are for an amount in excess of$25,000 and which have a term for a period of more
than 1 year."
6. Department Payment Obligations:
Subject to other provisions of this Agreement, the Department will honor requests for reimbursement to the Recipient
pursuant to this Agreement. However, notwithstanding any other provision of this Agreement, the Department may elect
by notice in writing not to make a payment if:
a. The Recipient shall have made misrepresentation of a material nature in its application, or any supplement or
amendment to its application, or with respect to any document or data furnished with its application or pursuant to
this Agreement;
b. There is any pending litigation with respect to the performance by the Recipient of any of its duties or obligations
which may jeopardize or adversely affect the Project, the Agreement or payments to the Project;
c. The Recipient shall have taken any action pertaining to the Project which, under this Agreement, requires the
approval of the Department or has made a related expenditure or incurred related obligations without having been
advised by the Department that same are approved;
d. There has been any violation of the conflict of interest provisions contained in paragraph 14.f.; or
e. The Recipient has been determined by the Department to be in default under any of the provisions of the Agreement.
The Department may suspend or terminate payment for that portion of the Project which the Federal Highway Administration
("FHWA"), or the Department acting in lieu of FHWA, may designate as ineligible for Federal-aid.
In determining the amount of the payment, the Department will exclude all Project costs incurred by the Recipient prior to
the Department's issuance of a Notice to Proceed ("NTP"), costs incurred after the expiration of the Agreement, costs which
are not provided for in the latest approved schedule of funding in Exhibit "B" for the Project, costs agreed to be borne by
the Recipient or its contractors and subcontractors for not meeting the Project commencement and final invoice time lines,
and costs attributable to goods or services received under a contract or other arrangements which have not been approved
in writing by the Department.
7. General Requirements:
The Recipient shall complete the Project with all practical dispatch, in a sound, economical, and efficient manner, and in
accordance with the provisions in this Agreement, and all applicable laws. The Project will be performed in accordance with
all applicable Department procedures, guidelines, manuals, standards, and directives as described in the Department's
Local Agency Program Manual (FDOT Topic No. 525-010-300),which by this reference is made a part of this Agreement.
Time is of the essence as to each and every obligation under this Agreement.
a. A full time employee of the Recipient, qualified to ensure that the work being pursued is complete, accurate,
and consistent with the terms, conditions, and specifications of this Agreement shall be in responsible
charge of the Project, which employee should be able to perform the following duties and functions:
i. Administers inherently governmental project activities, including those dealing with cost, time,
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525
PROGRAM MANAGEMENTET
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-09/22
Page 5 of 15
adherence to contract requirements, construction quality and scope of Federal-aid projects;
ii. Maintains familiarity of day to day Project operations, including Project safety issues;
iii. Makes or participates in decisions about changed conditions or scope changes that require
change orders or supplemental agreements;
iv. Visits and reviews the Project on a frequency that is commensurate with the magnitude and
complexity of the Project;
v. Reviews financial processes, transactions and documentation to ensure that safeguards are in
place to minimize fraud, waste, and abuse;
vi. Directs Project staff, agency or consultant, to carry out Project administration and contract
oversight, including proper documentation;
vii. Is aware of the qualifications, assignments and on-the-job performance of the Recipient and
consultant staff at all stages of the Project.
b. Once the Department issues the NTP for the Project, the Recipient shall be obligated to submit an invoice
or other request for reimbursement to the Department no less than once every 90 days (quarterly),
beginning from the day the NTP is issued. If the Recipient fails to submit quarterly invoices to the
Department, and in the event the failure to timely submit invoices to the Department results in the FHWA
removing any unbilled funding or the loss of state appropriation authority (which may include the loss of
state and federal funds, if there are state funds programmed to the Project),then the Recipient will be solely
responsible to provide all funds necessary to complete the Project and the Department will not be obligated
to provide any additional funding for the Project. The Recipient waives the right to contest such removal of
funds by the Department, if the removal is related to FHWA's withdrawal of funds or if the removal is related
to the loss of state appropriation authority. In addition to the loss of funding for the Project,the Department
will also consider the de-certification of the Recipient for future LAP Projects. No cost may be incurred
under this Agreement until after the Recipient has received a written NTP from the Department. The
Recipient agrees to advertise or put the Project out to bid thirty (30) days from the date the Department
issues the NTP to advertise the Project. If the Recipient is not able to meet the scheduled advertisement,
the Department District LAP Administrator should be notified as soon as possible.
c. If all funds are removed from the Project, including amounts previously billed to the Department and
reimbursed to the Recipient, and the Project is off the State Highway System, then the Department will
have to request repayment for the previously billed amounts from the Recipient. No state funds can be
used on off-system projects, unless authorized pursuant to Exhibit"I", State Funds Addendum, which will
be attached to and incorporated in this Agreement in the event state funds are used on the Project.
d. In the event that any election, referendum, approval, permit, notice or other proceeding or authorization is
required under applicable law to enable the Recipient to enter into this Agreement or to undertake the
Project or to observe, assume or carry out any of the provisions of the Agreement, the Recipient will initiate
and consummate, as provided by law, all actions necessary with respect to any such matters.
e. The Recipient shall initiate and prosecute to completion all proceedings necessary, including Federal-aid
requirements, to enable the Recipient to provide the necessary funds for completion of the Project.
f. The Recipient shall submit to the Department such data, reports, records, contracts, and other documents
relating to the Project as the Department and FHWA may require. The Recipient shall make such
submissions using Department-designated information systems.
g. Federal-aid funds shall not participate in any cost which is not incurred in conformity with applicable federal
and state laws, the regulations in 23 Code of Federal Regulations (C.F.R.)and 49 C.F.R., and policies and
procedures prescribed by the Division Administrator of FHWA. Federal funds shall not be paid on account
of any cost incurred prior to authorization by FHWA to the Department to proceed with the Project or part
thereof involving such cost (23 C.F.R. 1.9 (a)). If FHWA or the Department determines that any amount
525-010-40
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
GEMEN2
OGC/OOC—09/22
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claimed is not eligible, federal participation may be approved in the amount determined to be adequately
supported and the Department shall notify the Recipient in writing citing the reasons why items and amounts
are not eligible for federal participation. Where correctable non-compliance with provisions of law or FHWA
requirements exists federal funds may be withheld until compliance is obtained. Where non-compliance is
not correctable, FHWA or the Department may deny participation in parcel or Project costs in part or in
total. For any amounts determined to be ineligible for federal reimbursement for which the Department has
advanced payment, the Recipient shall promptly reimburse the Department for all such amounts within 90
days of written notice.
h. For any project requiring additional right-of-way, the Recipient must submit to the Department an annual
report of its real property acquisition and relocation assistance activities on the project. Activities shall be
reported on a federal fiscal year basis,from October 1 through September 30. The report must be prepared
using the format prescribed in 49 C.F.R. Part 24, Appendix B, and be submitted to the Department no later
than October 15 of each year.
8. Audit Reports:
The administration of resources awarded through the Department to the Recipient by this Agreement may be subject to
audits and/or monitoring by the Department. The following requirements do not limit the authority of the Department to
conduct or arrange for the conduct of additional audits or evaluations of federal awards or limit the authority of any state
agency inspector general, the State of Florida Auditor General, or any other state official. The Recipient shall comply with
all audit and audit reporting requirements as specified below.
a. In addition to reviews of audits conducted in accordance with 2 CFR Part 200, Subpart F —Audit Requirements,
monitoring procedures may include, but not be limited to, on-site visits by Department staff and/or other procedures
including, reviewing any required performance and financial reports, following up, ensuring corrective action, and
issuing management decisions on weaknesses found through audits when those findings pertain to federal awards
provided through the Department by this Agreement. By entering into this Agreement, the Recipient agrees to
comply and cooperate fully with any monitoring procedures/processes deemed appropriate by the Department.The
Recipient further agrees to comply and cooperate with any inspections, reviews, investigations, or audits deemed
necessary by the Department, State of Florida Chief Financial Officer ("CFO"), or State of Florida Auditor General.
b. The Recipient, a non-federal entity as defined by 2 CFR Part 200, as a subrecipient of a federal award awarded by
the Department through this Agreement is subject to the following requirements:
i. In the event the Recipient expends a total amount of federal awards equal to or in excess of the threshold
established by 2 CFR Part 200, Subpart F —Audit Requirements, the Recipient must have a federal single or
program-specific audit for such fiscal year conducted in accordance with the provisions of 2 CFR Part 200,
Subpart F — Audit Requirements. Exhibit "E" to this Agreement provides the required federal award
identification information needed by the Recipient to further comply with the requirements of 2 CFR Part 200,
Subpart F —Audit Requirements. In determining federal awards expended in a fiscal year, the Recipient must
consider all sources of federal awards based on when the activity related to the federal award occurs, including
the federal award provided through the Department by this Agreement.The determination of amounts of federal
awards expended should be in accordance with the guidelines established by 2 CFR Part 200, Subpart F —
Audit Requirements. An audit conducted by the State of Florida Auditor General in accordance with the
provisions of 2 CFR Part 200, Subpart F—Audit Requirements, will meet the requirements of this part.
ii. In connection with the audit requirements, the Recipient shall fulfill the requirements relative to the auditee
responsibilities as provided in 2 CFR Part 200, Subpart F—Audit Requirements.
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
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iii. In the event the Recipient expends less than the threshold established by 2 CFR Part 200, Subpart F —Audit
Requirements, in federal awards, the Recipient is exempt from federal audit requirements for that fiscal year.
However, the Recipient must provide a single audit exemption statement to the Department at
FDOTSingleAudit(c�dot.state.fl.us no later than nine months after the end of the Recipient's audit period for
each applicable audit year. In the event the Recipient expends less than the threshold established by 2 CFR
Part 200, Subpart F — Audit Requirements, in federal awards in a fiscal year and elects to have an audit
conducted in accordance with the provisions of 2 CFR Part 200, Subpart F —Audit Requirements, the cost of
the audit must be paid from non-federal resources (i.e., the cost of such an audit must be paid from the
Recipient's resources obtained from other than federal entities).
iv. The Recipient must electronically submit to the Federal Audit Clearinghouse ("FAC") at
https://harvester.census.gov/facweb/the audit reporting package as required by 2 CFR Part 200, Subpart F —
Audit Requirements, within the earlier of 30 calendar days after receipt of the auditor's report(s)or nine months
after the end of the audit period. The FAC is the repository of record for audits required by 2 CFR Part 200,
Subpart F —Audit Requirements, and this Agreement. However, the Department requires a copy of the audit
reporting package also be submitted to FDOTSinqleAuditdot.state.fl.us within the earlier of 30 calendar days
after receipt of the auditor's report(s)or nine months after the end of the audit period as required by 2 CFR Part
200, Subpart F—Audit Requirements.
v. Within six months of acceptance of the audit report by the FAC,the Department will review the Recipient's audit
reporting package, including corrective action plans and management letters, to the extent necessary to
determine whether timely and appropriate action on all deficiencies has been taken pertaining to the federal
award provided through the Department by this Agreement. If the Recipient fails to have an audit conducted in
accordance with 2 CFR Part 200, Subpart F — Audit Requirements, the Department may impose additional
conditions to remedy noncompliance. If the Department determines that noncompliance cannot be remedied
by imposing additional conditions, the Department may take appropriate actions to enforce compliance, which
actions may include but not be limited to the following:
1. Temporarily withhold cash payments pending correction of the deficiency by the Recipient
or more severe enforcement action by the Department;
2. Disallow (deny both use of funds and any applicable matching credit for) all or part of the
cost of the activity or action not in compliance;
3. Wholly or partly suspend or terminate the federal award;
4. Initiate suspension or debarment proceedings as authorized under 2 C.F.R. Part 180 and
federal awarding agency regulations (or in the case of the Department, recommend such a
proceeding be initiated by the federal awarding agency);
5. Withhold further federal awards for the Project or program;
6. Take other remedies that may be legally available.
vi. As a condition of receiving this federal award, the Recipient shall permit the Department or its designee, the
CFO, or State of Florida Auditor General access to the Recipient's records including financial statements, the
independent auditor's working papers, and project records as necessary. Records related to unresolved audit
findings, appeals, or litigation shall be retained until the action is complete or the dispute is resolved.
vii. The Department's contact information for requirements under this part is as follows:
Office of Comptroller, MS 24
605 Suwannee Street
Tallahassee, Florida 32399-0450
FDOTSingleAudit(a�dot.state.fl.us
c. The Recipient shall retain sufficient records demonstrating its compliance with the terms of this Agreement for a period
of five years from the date the audit report is issued and shall allow the Department or its designee, the CFO, or State
of Florida Auditor General access to such records upon request. The Recipient shall ensure that the audit working
papers are made available to the Department or its designee, the CFO, or State of Florida Auditor General upon
request for a period of five years from the date the audit report is issued,unless extended in writing by the Department.
9. Termination or Suspension of Project:
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The Department may, by written notice to the Recipient, suspend any or all of the Department's obligations under this
Agreement for the Recipient's failure to comply with applicable law or the terms of this Agreement until such time as the
event or condition resulting in such suspension has ceased or been corrected.
a. If the Department intends to terminate the Agreement, the Department shall notify the Recipient of such
termination in writing at least thirty (30) days prior to the termination of the Agreement, with instructions to
the effective date of termination or specify the stage of work at which the Agreement is to be terminated.
b. The Parties to this Agreement may terminate this Agreement when its continuation would not produce
beneficial results commensurate with the further expenditure of funds. In this event, the Parties shall agree
upon the termination conditions.
c. If the Agreement is terminated before performance is completed, the Recipient shall be paid only for that
work satisfactorily performed for which costs can be substantiated. Such payment, however, may not
exceed the equivalent percentage of the Department's maximum financial assistance. If any portion of the
Project is located on the Department's right-of-way, then all work in progress on the Department right-of-
way will become the property of the Department and will be turned over promptly by the Recipient.
d. In the event the Recipient fails to perform or honor the requirements and provisions of this Agreement, the
Recipient shall promptly refund in full to the Department within thirty (30) days of the termination of the
Agreement any funds that were determined by the Department to have been expended in violation of the
Agreement.
e. The Department reserves the right to unilaterally cancel this Agreement for failure by the Recipient to
comply with the Public Records provisions of Chapter 119, Florida Statutes.
10. Contracts of the Recipient:
a. Except as otherwise authorized in writing by the Department, the Recipient shall not execute any contract
or obligate itself in any manner requiring the disbursement of Department funds, including consultant or
construction contracts or amendments thereto, with any third party with respect to the Project without the
written approval of the Department. Failure to obtain such approval shall be sufficient cause for
nonpayment by the Department. The Department specifically reserves the right to review the qualifications
of any consultant or contractor and to approve or disapprove the employment of such consultant or
contractor.
b. It is understood and agreed by the parties to this Agreement that participation by the Department in a project
with the Recipient, where said project involves a consultant contract for engineering, architecture or
surveying services, is contingent on the Recipient's complying in full with provisions of Section 287.055,
Florida Statutes, Consultants' Competitive Negotiation Act, the federal Brooks Act, 23 C.F.R. 172, and 23
U.S.C. 112. At the discretion of the Department,the Recipient will involve the Department in the consultant
selection process for all projects funded under this Agreement. In all cases, the Recipient shall certify to
the Department that selection has been accomplished in compliance with the Consultants' Competitive
Negotiation Act and the federal Brooks Act.
c. The Recipient shall comply with, and require its consultants and contractors to comply with applicable
federal law pertaining to the use of Federal-aid funds. The Recipient shall comply with the provisions in the
FHWA-1273 form as set forth in Exhibit"G", FHWA 1273 attached to and incorporated in this Agreement.
The Recipient shall include FHWA-1273 in all contracts with contractors performing work on the Project.
d. The Recipient shall require its consultants and contractors to take emergency steps to close any public
road whenever there is a risk to life, health and safety of the travelling public. The safety of the travelling
public is the Department's first priority for the Recipient. If lane or road closures are required by the LA to
ensure the life, health, and safety of the travelling public, the LA must notify the District Construction
Engineer and District Traffic Operations Engineer immediately once the travelling public are not at imminent
risk. The Department expects professional engineering judgment be applied in all aspects of locally
delivered projects. Defect management and supervision of LAP project structures components must be
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STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGa00c-09/22
Page 9 of 15
proactively managed, monitored, and inspected by department prequalified structures engineer(s). The
District Construction Engineer must be notified immediately of defect monitoring that occurs in LAP project
construction, whether or not the defects are considered an imminent risk to life, health, or safety of the
travelling public. When defects, including but not limited to, structural cracks, are initially detected during
bridge construction, the engineer of record, construction engineering inspector, design-build firm, or local
agency that owns or is responsible for the bridge construction has the authority to immediately close the
bridge to construction personnel and close the road underneath. The LA shall also ensure compliance with
the CPAM, Section 9.1.8 regarding actions for maintenance of traffic and safety concerns.
11. Disadvantaged Business Enterprise (DBE) Policy and Obligation:
It is the policy of the Department that DBE's, as defined in 49 C.F.R. Part 26, as amended, shall have the opportunity to
participate in the performance of contracts financed in whole or in part with Department funds under this Agreement. The
DBE requirements of applicable federal and state laws and regulations apply to this Agreement.
The Recipient and its contractors agree to ensure that DBE's have the opportunity to participate in the performance of this
Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with
applicable federal and state laws and regulations to ensure that the DBE's have the opportunity to compete for and perform
contracts. The Recipient and its contractors and subcontractors shall not discriminate on the basis of race, color, national
origin or sex in the award and performance of contracts, entered pursuant to this Agreement.
12. Compliance with Conditions and Laws:
The Recipient shall comply and require its contractors and subcontractors to comply with all terms and conditions of this
Agreement and all federal, state, and local laws and regulations applicable to this Project. Execution of this Agreement
constitutes a certification that the Recipient is in compliance with, and will require its contractors and subcontractors to
comply with, all requirements imposed by applicable federal, state, and local laws and regulations, including the
"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—Lower Tier Covered Transactions,"
in 49 C.F.R. Part 29, and 2 C.F.R. Part 200 when applicable.
13. Performance Evaluations:
Recipients are evaluated on a project-by-project basis. The evaluations provide information about oversight needs and
provide input for the recertification process. Evaluations are submitted to the Recipient's person in responsible charge or
designee as part of the Project closeout process. The Department provides the evaluation to the Recipient no more than
30 days after final acceptance.
a. Each evaluation will result in one of three ratings. A rating of Unsatisfactory Performance means the
Recipient failed to develop the Project in accordance with applicable federal and state regulations,
standards and procedures, required excessive District involvement/oversight, or the Project was brought
in-house by the Department. A rating of Satisfactory Performance means the Recipient developed the
Project in accordance with applicable federal and state regulations,standards and procedures,with minimal
District involvement/oversight. A rating of Above Satisfactory Performance means the Recipient developed
the Project in accordance with applicable federal and state regulations, standards and procedures, and the
Department did not have to exceed the minimum oversight and monitoring requirements identified for the
project.
b. The District will determine which functions can be further delegated to Recipients that continuously earn
Satisfactory and Above Satisfactory evaluations.
14. Restrictions, Prohibitions, Controls, and Labor Provisions:
During the performance of this Agreement, the Recipient agrees as follows, and agrees to require its contractors and
subcontractors to include in each subcontract the following provisions:
a. The Recipient will comply with all the requirements imposed by Title VI of the Civil Rights Act of 1964, the
regulations of the U.S. Department of Transportation issued thereunder,and the assurance by the Recipient
pursuant thereto. The Recipient shall include the attached Exhibit"C",Title VI Assurances in all contracts
525-010-40
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-09/22
Page 10 of 15
with consultants and contractors performing work on the Project that ensure compliance with Title VI of the
Civil Rights Act of 1964, 49 C.F.R. Part 21, and related statutes and regulations.
b. The Recipient will comply with all the requirements as imposed by the ADA, the regulations of the Federal
Government issued thereunder, and assurance by the Recipient pursuant thereto.
c. A person or affiliate who has been placed on the convicted vendor list following a conviction for a public
entity crime may not submit a bid on a contract to provide any goods or services to a public entity; may not
submit a bid on a contract with a public entity for the construction or repair of a public building or public
work; may not submit bids on leases of real property to a public entity; may not be awarded or perform work
as a contractor, supplier, subcontractor or consultant under a contract with any public entity; and may not
transact business with any public entity in excess of the threshold amount provided in Section 287.017,
Florida Statutes, for CATEGORY TWO for a period of 36 months from the date of being placed on the
convicted vendor list.
d. In accordance with Section 287.134, Florida Statutes, an entity or affiliate who has been placed on the
Discriminatory Vendor List, kept by the Florida Department of Management Services, may not submit a bid
on a contract to provide goods or services to a public entity; may not submit a bid on a contract with a public
entity for the construction or repair of a public building or public work; may not submit bids on leases of real
property to a public entity; may not be awarded or perform work as a contractor, supplier, subcontractor or
consultant under a contract with any public entity; and may not transact business with any public entity.
e. An entity or affiliate who has had its Certificate of Qualification suspended, revoked, denied or have further
been determined by the Department to be a non-responsible contractor may not submit a bid or perform
work for the construction or repair of a public building or public work on a contract with the Recipient.
f. Neither the Recipient nor any of its contractors or their subcontractors shall enter into any contract,
subcontract or arrangement in connection with the Project or any property included or planned to be
included in the Project in which any member, officer or employee of the Recipient or the locality during
tenure or for 2 years thereafter has any interest, direct or indirect. If any such present or former member,
officer or employee involuntarily acquires or had acquired prior to the beginning of tenure any such interest,
and if such interest is immediately disclosed to the Recipient, the Recipient, with prior approval of the
Department, may waive the prohibition contained in this paragraph provided that any such present member,
officer or employee shall not participate in any action by the Recipient or the locality relating to such
contract, subcontract or arrangement. The Recipient shall insert in all contracts entered into in connection
with the Project or any property included or planned to be included in any Project, and shall require its
contractors to insert in each of their subcontracts, the following provision:
"No member, officer or employee of the Recipient or of the locality during his tenure or for 2 years
thereafter shall have any interest, direct or indirect, in this contract or the proceeds thereof."
The provisions of this paragraph shall not be applicable to any agreement between the Recipient and its
fiscal depositories or to any agreement for utility services the rates for which are fixed or controlled by a
governmental agency.
g. No member or delegate to the Congress of the United States shall be admitted to any share or part of this
Agreement or any benefit arising therefrom.
15. Indemnification and Insurance:
a. It is specifically agreed between the parties executing this Agreement that it is not intended by any of the
provisions of any part of this Agreement to create in the public or any member thereof, a third-party
beneficiary under this Agreement, or to authorize anyone not a party to this Agreement to maintain a suit
for personal injuries or property damage pursuant to the terms or provisions of this Agreement. The
Recipient guarantees the payment of all just claims for materials, supplies, tools, or labor and other just
claims against the Recipient or any subcontractor, in connection with this Agreement.
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b. To the extent provided by law, Recipient shall indemnify,defend, and hold harmless the Department against
any actions, claims, or damages arising out of, relating to, or resulting from negligent or wrongful act(s) of
Recipient,or any of its officers, agents, or employees, acting within the scope of their office or employment,
in connection with the rights granted to or exercised by Recipient hereunder, to the extent and within the
limitations of Section 768.28, Florida Statutes. The foregoing indemnification shall not constitute a waiver
of the Department's or Recipient's sovereign immunity beyond the limits set forth in Florida Statutes,
Section 768.28, nor shall the same be construed to constitute agreement by Recipient to indemnify the
Department for the negligent acts or omissions of the Department, its officers, agents, or employees, or for
the acts of third parties. Nothing herein shall be construed as consent by Recipient to be sued by third
parties in any manner arising out of this Agreement. This indemnification shall survive the termination of
this Agreement.
c. Recipient agrees to include the following indemnification in all contracts with contractors, subcontractors,
consultants, or subconsultants (each referred to as "Entity" for the purposes of the below indemnification)
who perform work in connection with this Agreement:
"To the extent provided by law, [ENTITY] shall indemnify, defend, and hold harmless the
[RECIPIENT] and the State of Florida, Department of Transportation, including the Department's
officers, agents, and employees, against any actions, claims, or damages arising out of, relating
to, or resulting from negligent or wrongful act(s) of [ENTITY], or any of its officers, agents, or
employees, acting within the scope of their office or employment, in connection with the rights
granted to or exercised by [ENTITY].
The foregoing indemnification shall not constitute a waiver of the Department's or [RECIPIENT']'s
sovereign immunity beyond the limits set forth in Florida Statutes, Section 768.28. Nor shall the
same be construed to constitute agreement by [ENTITY] to indemnify [RECIPIENT] for the
negligent acts or omissions of[RECIPIENT], its officers, agents,or employees,or third parties. Nor
shall the same be construed to constitute agreement by [ENTITY] to indemnify the Department for
the negligent acts or omissions of the Department, its officers, agents, or employees, or third
parties. This indemnification shall survive the termination of this Agreement."
d. The Recipient shall, or cause its contractor or consultant to carry and keep in force, during the term of this
Agreement, a general liability insurance policy or policies with a company or companies authorized to do
business in Florida,affording public liability insurance with combined bodily injury limits of at least$200,000
per person and $300,000 each occurrence, and property damage insurance of at least $200,000 each
occurrence, for the services to be rendered in accordance with this Agreement. The Recipient shall also,
or cause its contractor or consultant to carry and keep in force Workers' Compensation Insurance as
required by the State of Florida under the Workers'Compensation Law. With respect to any general liability
insurance policy required pursuant to this Agreement, all such policies shall be issued by companies
licensed to do business in the State of Florida. The Recipient shall provide to the Department certificates
showing the required coverage to be in effect with endorsements showing the Department to be an
additional insured prior to commencing any work under this Agreement. Policies that include Self Insured
Retention will not be accepted. The certificates and policies shall provide that in the event of any material
change in or cancellation of the policies reflecting the required coverage, thirty days advance notice shall
be given to the Department or as provided in accordance with Florida law.
16. Maintenance Obligations: In the event the Project includes construction then the following provisions are
incorporated into this Agreement:
a. The Recipient agrees to maintain any portion of the Project not located on the State Highway System
constructed under this Agreement for its useful life. If the Recipient constructs any improvement on
Department right-of-way, the Recipient
❑ shall
® shall not
maintain the improvements located on the Department right-of-way for their useful life. If the Recipient is
required to maintain Project improvements located on the Department right-of-way beyond final
acceptance, then Recipient shall, prior to any disbursement of the state funding provided under this
525-010-40
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGCIOOo-09n2
Page 12 of 15
Agreement, also execute a Maintenance Memorandum of Agreement in a form that is acceptable to the
Department. The Recipient has agreed to the foregoing by resolution, and such resolution is attached and
incorporated into this Agreement as Exhibit "D". This provision will survive termination of this Agreement.
17. Miscellaneous Provisions:
a. The Recipient will be solely responsible for compliance with all applicable environmental regulations, for
any liability arising from non-compliance with these regulations, and will reimburse the Department for any
loss incurred in connection therewith. The Recipient will be responsible for securing any applicable permits.
The Recipient shall include in all contracts and subcontracts for amounts in excess of$150,000, a provision
requiring compliance with all applicable standards, orders or regulations issued pursuant to the Clean Air
Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-
1387).
b. The Department shall not be obligated or liable hereunder to any individual or entity not a party to this
Agreement.
c. In no event shall the making by the Department of any payment to the Recipient constitute or be construed
as a waiver by the Department of any breach of covenant or any default which may then exist on the part
of the Recipient and the making of such payment by the Department,while any such breach or default shall
exist, shall in no way impair or prejudice any right or remedy available to the Department with respect to
such breach or default.
d. If any provision of this Agreement is held invalid, the remainder of this Agreement shall not be affected. In
such an instance, the remainder would then continue to conform to the terms and requirements of
applicable law.
e. By execution of the Agreement, the Recipient represents that it has not paid and, also agrees not to pay,
any bonus or commission for the purpose of obtaining an approval of its application for the financing
hereunder.
f. Nothing in the Agreement shall require the Recipient to observe or enforce compliance with any provision
or perform any act or do any other thing in contravention of any applicable state law. If any of the provisions
of the Agreement violate any applicable state law, the Recipient will at once notify the Department in writing
in order that appropriate changes and modifications may be made by the Department and the Recipient to
the end that the Recipient may proceed as soon as possible with the Project.
g. In the event that this Agreement involves constructing and equipping of facilities,the Recipient shall submit
to the Department for approval all appropriate plans and specifications covering the Project. The
Department will review all plans and specifications and will issue to the Recipient a written approval with
any approved portions of the Project and comments or recommendations covering any remainder of the
Project deemed appropriate. After resolution of these comments and recommendations to the
Department's satisfaction, the Department will issue to the Recipient a written approval with said remainder
of the Project. Failure to obtain this written approval shall be sufficient cause of nonpayment by the
Department.
h. Upon completion of right-of-way activities on the Project, the Recipient must certify compliance with all
applicable federal and state requirements. Certification is required prior to authorization for advertisement
for or solicitation of bids for construction of the Project, including if no right-of-way is required.
i. The Recipient will certify in writing, prior to Project closeout that the Project was completed in accordance
with applicable plans and specifications, is in place on the Recipient's facility, adequate title is in the
Recipient's name, and the Project is accepted by the Recipient as suitable for the intended purpose.
j. The Recipient agrees that no federally-appropriated funds have been paid, or will be paid by or on behalf
of the Recipient, to any person for influencing or attempting to influence any officer or employee of any
federal agency, a Member of Congress, an officer or employee of Congress or an employee of a Member
of Congress in connection with the awarding of any federal contract, the making of any federal grant, the
525-010-40
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT OGC/OOC-09/22
Page 13 of 15
making of any federal loan,the entering into of any cooperative agreement,and the extension,continuation,
renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. If any
funds other than federally-appropriated funds have been paid by the Recipient to any person for influencing
or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer
or employee of Congress or an employee of a Member of Congress in connection with this Agreement, the
undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions. The Recipient shall require that the language of this paragraph be included
in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly. No funds received pursuant to this contract may be expended for lobbying the Legislature,the
judicial branch or a state agency.
k. The Recipient may not permit the Engineer of Record to perform Construction, Engineering and Inspection
services on the Project.
I. The Recipient shall comply with all applicable federal guidelines, procedures, and regulations. If at any
time a review conducted by Department and or FHWA reveals that the applicable federal guidelines,
procedures, and regulations were not followed by the Recipient and FHWA requires reimbursement of the
funds, the Recipient will be responsible for repayment to the Department of all funds awarded under the
terms of this Agreement.
m. The Recipient shall:
i. utilize the U.S. Department of Homeland Security's E-Verify system to verify the employment
eligibility of all new employees hired by Recipient during the term of the contract; and
ii. expressly require any contractor and subcontractors performing work or providing services
pursuant to the state contract to likewise utilize the U.S. Department of Homeland Security's E-
Verify system to verify the employment eligibility of all new employees hired by the subcontractor
during the contract term.
n. This Agreement may be executed in one or more counterparts, each of which shall be deemed an original,
but all of which shall constitute the same Agreement. A facsimile or electronic transmission of this
Agreement with a signature on behalf of a party will be legal and binding on such party.
o. The Parties agree to comply with s.20.055(5), Florida Statutes, and to incorporate in all subcontracts the
obligation to comply with s.20.055(5), Florida Statutes.
p. If the Project is procured pursuant to Chapter 255, Florida Statutes, for construction services and the cost
of the Project is to be paid from state-appropriated funds, then the Recipient must comply with the
requirements of Section 255.0991, Florida Statutes.
18. Exhibits:
a. Exhibits "A", "B", "C", "0", "E" and "F" are attached to and incorporated into this Agreement.
b. ® If this Project includes Phase 58 (construction) activities, then Exhibit "G", FHWA FORM 1273, is
attached and incorporated into this Agreement.
c. ❑Alternative Advance Payment Financial Provisions are used on this Project. If an Alternative Pay Method
is used on this Project, then Exhibit "H", Alternative Advance Payment Financial Provisions, is attached
and incorporated into this Agreement.
d. ❑ State funds are used on this Project. If state funds are used on this Project, then Exhibit "I", State
Funds Addendum, is attached and incorporated into this Agreement. Exhibit "J", State Financial
Assistance (Florida Single Audit Act), is attached and incorporated into this Agreement.
e. ❑ This Project utilizes Advance Project Reimbursement. If this Project utilizes Advance Project
Reimbursement, then Exhibit"K",Advance Project Reimbursement is attached and incorporated into this
Agreement.
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMEEN2
T
OGC/OOC—09/22
Page 14 of 15
f. ❑ This Project includes funding for landscaping. If this Project includes funding for landscaping, then
Exhibit "L", Landscape Maintenance, is attached and incorporated into this Agreement.
g. ❑ This Project includes funding for a roadway lighting system. If the Project includes funding for roadway
lighting system, Exhibit "M", Roadway Lighting Maintenance is attached and incorporated into this
Agreement.
h. ❑ This Project includes funding for traffic signals and/or traffic signal systems. If this Project includes
funding for traffic signals and/or traffic signals systems, Exhibit"N", Traffic Signal Maintenance is attached
and incorporated into this Agreement.
i. ❑A portion or all of the Project will utilize Department right-of-way and, therefore, Exhibit"0",Terms and
Conditions of Construction in Department Right-of-Way, is attached and incorporated into this Agreement.
j. ❑ The following Exhibit(s)are attached and incorporated into this Agreement:
k. Exhibit and Attachment List
Exhibit A: Project Description and Responsibilities
Exhibit B: Schedule of Financial Assistance
Exhibit C: Title VI Assurances
Exhibit D: Recipient Resolution
Exhibit E: Federal Financial Assistance (Single Audit Act)
Exhibit F: Contract Payment Requirements
* Exhibit G: FHWA Form 1273
* Exhibit H: Alternative Advance Payment Financial Provisions
* Exhibit I: State Funds Addendum
* Exhibit J: State Financial Assistance (Florida Single Audit Act)
* Exhibit K:Advance Project Reimbursement
* Exhibit L: Landscape Maintenance
* Exhibit M: Roadway Lighting Maintenance
* Exhibit N: Traffic Signal Maintenance
* Exhibit 0: Terms and Conditions of Construction in Department Right-of-Way
*Additional Exhibit(s):
*Indicates that the Exhibit is only attached and incorporated if applicable box is selected.
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-010-40
PROGRAM MANAGEMENT
LOCAL AGENCY PROGRAM AGREEMENT
OGC/OOC—09/22
Page 15 of 15
IN WITNESS WHEREOF,the parties have executed this Agreement on the day and year written above.
RECIPIENT STATE OF FLORIDA, DEPARTMENT OF TRANSPORTATION
By: ` By:
Name: Dan ' - e . er Name: John P. Krane, P.E.
Title: City Manager Title: Director of Transportation Development
Approved as to F rm:
Legal Review:
By: Alti/74 .dra.#76
Shawna G. Lamb
City Attorney
AR Form 525-010-40A STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-011-OA
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
05/21
EXHIBIT A
PROJECT DESCRIPTION AND RESPONSIBILITIES
FPN: 446078-1-58-01
This exhibit forms an integral part of the Agreement between the State of Florida, Department of Transportation and
City of Boynton Beach (the Recipient)
PROJECT LOCATION:
❑ The project is on the National Highway System.
❑ The project is on the State Highway System.
PROJECT LENGTH AND MILE POST LIMITS: Project Length: 0.841
Mile Post: 93900239-0.000-0.750
93900240-0.197-0.288
PROJECT DESCRIPTION: Construction of a 8-10'wide shared used path on the west side of SE 1St St from E Woolbright
Rd to SE 2nd Ave. and a 5' wide sidewalk on the south side of SE 5th Ave between SE 1st St and railroad crossing right of
way. This project also includes drainage along with signing and pavement markings.
SPECIAL CONSIDERATIONS BY RECIPIENT:
The Recipient is required to provide a copy of the design plans for the Department's review and approval to coordinate
permitting with the Department, and notify the Department prior to commencement of any right-of-way activities.
The Recipient shall commence the project's activities subsequent to the execution of this Agreement and shall perform in
accordance with the following schedule:
a) Study to be completed by N/A.
b) Design to be completed by N/A.
c) Right-of-Way requirements identified and provided to the Department by N/A.
d) Right-of-Way to be certified by 11.30.23.
e) Construction contract to be let by 3.5.24.
f) Construction to be completed by 6.30.26.
If this schedule cannot be met, the Recipient will notify the Department in writing with a revised schedule or the project is
subject to the withdrawal of funding.
SPECIAL CONSIDERATIONS BY DEPARTMENT:
Issuance of the Notice to Proceed (NTP)to the City of Boynton Beach is subject to the submittal and approval of the LAP
Certification package and the Production Package which includes 100% Signed and Sealed plans, approved cost
estimate, technical specifications, executed construction contracts checklist and right-of-way certification.
Page 1 of 2
Page 2 of 2
Alt Form 525-010-40B STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-011-0B
LOCAL AGENCY PROGRAM AGREEMENTPROGRAM
MANAGEMENT
8/21
Page 1 of 1
EXHIBIT B
SCHEDULE OF FINANCIAL ASSISTANCE
RECIPIENT NAME&BILLING ADDRESS: FINANCIAL PROJECT NUMBER:
Milot Emile, P.E. 446078-1-58-01
Interim City Engineer
124 E.Woolbright Rd.
Boynton Beach, Florida 33435
MAXIMUM PARTICIPATION
(1)
TOTAL (2) (3) (4)
PHASE OF WORK By Fiscal Year PROJECT FUNDS LOCAL FUNDS STATE FUNDS FEDERAL FUNDS
Design-Phase 38
FY: (Insert Program Name) $ $ $ $
FY: (Insert Program Name) $ $ $ $
FY: ()Isert Program Name) $ $ $ $
Total Design Cost $ 0.00 $ 0.00 $ 0.00 $ 0.00
Right-of-Way-Phase 48
FY: (Insert Program Name) $ $ $ $
FY: (Insert Program Name) $ $ $ $
FY: (Insert Program Name) _ $ $ $ $
Total Right-of-Way Cost $ 0.00 $ 0.00 $ 0.00 $ 0.00
Construction-Phase 58
FY: 2024 (Transportation Alternative) $5,329,670.00 $3,829,670.00 $ $ 1,500,000.00
FY: (Insert Program Name) $ $ $ $
FY: (Insert Program Name) $ $ $ $
Total Construction Cost $5,329,670.00 $3,829,670.00 $ 0.00 $ 1,500,000.00
Construction Engineering and Inspection(CEI)-Phase 68
FY: (Insert Program Name) $ $ $ $
FY: (Insert Program Name) $ $ $ $
FY: (Insert Program Name) $ $ $ $
Total CEI Cost $ 0.00 $ 0.00 $ 0.00 $ 0.00
(Insert Phase)
FY: (Insert Program Name) $ $ $ $
FY: (Insert Program Name) $ $ $ $
FY: (Insert Program Name) $ $ $ $
Total Phase Costs $ 0.00 $ 0.00 $ 0.00 $ 0.00
TOTAL COST OF THE PROJECT $5,329,670.00 $3,829,670.00 $ 0.00 $1,500,000.00
COST ANALYSIS CERTIFICATION AS REQUIRED BY SECTION 216.3475, FLORIDA STATUTES:
I certify that the cost for each line item budget category has been evaluated and determined to be allowable, reasonable,and necessary as required by
Section 216.3475, F.S.Documentation is on file evidencing the methodology used and the conclusions reached.
Mya Gray
District Grant Manager Name
Signature Date
Alt Form 525-010-40C STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-011-0C
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM
MANAGEMENT
05121
Page 1 of 2
EXHIBIT C
TITLE VI ASSURANCES
During the performance of this contract, the consultant or contractor, for itself, its assignees and successors in
interest(hereinafter collectively referred to as the"contractor")agrees as follows:
(1.) Compliance with REGULATIONS: The contractor shall comply with the Regulations relative to
nondiscrimination in federally-assisted programs of the U.S. Department of Transportation
(hereinafter, "USDOT") Title 49, Code of Federal Regulations, Part 21, as they may be
amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein
incorporated by reference and made a part of this contract.
(2.) Nondiscrimination: The Contractor,with regard to the work performed by it during the contract,shall
not discriminate on the basis of race,color,national origin,or sex in the selection and retention of sub-
contractors, including procurements of materials and leases of equipment. The contractor shall not
participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the
REGULATIONS, including employment practices when the contract covers a program set forth in
Appendix B of the REGULATIONS.
(3.) Solicitations for Sub-contractors, including Procurements of Materials and Equipment: In all
solicitations either by competitive bidding or negotiation made by the contractor for work to be
performed under sub-contract, including procurements of materials or leases of equipment, each
potential sub-contractor or supplier shall be notified by the contractor of the contractor's obligations
under this contract and the REGULATIONS relative to nondiscrimination on the basis of race, color,
national origin, or sex.
(4.) Information and Reports: The contractor shall provide all information and reports required by
the REGULATIONS or directives issued pursuant thereto, and shall permit access to its books,
records, accounts, other sources of information, and its facilities as may be determined by the
Florida Department of Transportation or the Federal Highway Administration, Federal Transit
Administration, Federal Aviation Administration, and Federal Motor Carrier Safety Administration
to be pertinent to ascertain compliance with such REGULATIONS, orders and instructions.
Where any information required of a contractor is in the exclusive possession of another who
fails or refuses to furnish this information the contractor shall so certify to the Florida Department
of Transportation, or the Federal Highway Administration, Federal Transit Administration,
Federal Aviation Administration, or Federal Motor Carrier Safety Administration as appropriate,
and shall set forth what efforts it has made to obtain the information.
(5.) Sanctions for Noncompliance: In the event of the contractor's noncompliance with the
nondiscrimination provisions of this contract, the Florida Department of Transportation shall impose
such contract sanctions as it or the Federal Highway Administration, Federal Transit Administration,
Federal Aviation Administration, or
525-011-0C
PROGRAM MANAGEMENT
05/21
Page 2 of 2
Federal Motor Carrier Safety Administration may determine to be appropriate, including,but not limited
to:
a. withholding of payments to the contractor under the contract until the contractor
complies,and/or
b. cancellation,termination or suspension of the contract, in whole or in part.
(6.) Incorporation of Provisions:The contractor shall include the provisions of paragraphs(1)through(7)in
every sub-contract, including procurements of materials and leases of equipment, unless exempt by the
REGULATIONS,or directives issued pursuant thereto.The contractor shall take such action with respect
to any sub-contract or procurement as the Florida Department of Transportation or the Federal Highway
Administration, Federal Transit Administration, Federal Aviation Administration, or Federal Motor Carrier
Safety Administration may direct as a means of enforcing such provisions including sanctions for
noncompliance, provided, however,that, in the event a contractor becomes involved in, or is threatened
with, litigation with a sub-contractor or supplier as a result of such direction, the contractor may request
the Florida Department of Transportation to enter into such litigation to protect the interests of the Florida
Department of Transportation, and, in addition,the contractor may request the United States to enter into
such litigation to protect the interests of the United States.
(7.) Compliance with Nondiscrimination Statutes and Authorities:Title VI of the Civil Rights Act of 1964
(42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national
origin); and 49 CFR Part 21; The Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970, (42 U.S.C. §4601), (prohibits unfair treatment of persons displaced or whose property has
been acquired because of Federal or Federal-aid programs and projects); Federal-Aid Highway Act of
1973, (23 U.S.C. § 324 et seq.), (prohibits discrimination on the basis of sex); Section 504 of the
Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis
of disability);and 49 CFR Part 27;The Age Discrimination Act of 1975,as amended,(42 U.S.C.§6101 et
seq.),(prohibits discrimination on the basis of age);Airport and Airway Improvement Act of 1982,(49 USC
§471, Section 47123),as amended, (prohibits discrimination based on race,creed,color, national origin,
or sex); The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and
applicability of Title VI of the Civil Rights Act of 1964,The Age Discrimination Act of 1975 and Section 504
of the Rehabilitation Act of 1973,by expanding the definition of the terms"programs or activities"to include
all of the programs or activities of the Federal-aid recipients,sub-recipients and contractors,whether such
programs or activities are Federally funded or not); Titles II and III of the Americans with Disabilities Act,
which prohibit discrimination on the basis of disability in the operation of public entities, public and private
transportation systems, places of public accommodation,and certain testing entities(42 U.S.C.§§ 12131
-- 12189)as implemented by Department of Transportation regulations at 49 C.F.R. parts 37 and 38;The
Federal Aviation Administration's Non-discrimination statute(49 U.S.C. §47123)(prohibits discrimination
on the basis of race, color, national origin, and sex); Executive Order 12898, Federal Actions to Address
Environmental Justice in Minority Populations and Low-Income Populations, which ensures non-
discrimination against minority populations by discouraging programs, policies, and activities with
disproportionately high and adverse human health or environmental effects on minority and low-income
populations; Executive Order 13166, Improving Access to Services for Persons with Limited English
Proficiency,and resulting agency guidance,national origin discrimination includes discrimination because
of limited English proficiency(LEP). To ensure compliance with Title VI,you must take reasonable steps
to ensure that LEP persons have meaningful access to your programs(70 Fed. Reg.at 74087 to 74100);
Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating
because of sex in education programs or activities(20 U.S.C. 1681 et seq).
M Form 525-010-400 STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-011-0D
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
05121
Page 1 of 1
EXHIBIT D
RECIPIENT RESOLUTION
The Recipient's Resolution authorizing entry into this Agreement is attached and incorporated into this
Agreement.
Alt Form 525-010-40E STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-011-OE
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
11/22
Page 1 of 1
EXHIBIT E
FEDERAL FINANCIAL ASSISTANCE (SINGLE AUDIT ACT)
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT ARE AS FOLLOWS:
CFDA No.: 20.205
CFDA Title: Highway Planning and Construction
Federal-Aid Highway Program, Federal Lands Highway Program
CFDA Program https://beta.sam.gov/fal/1093726316c3409a8e50f4c75f5ef2c6/view?kevwords=20.205&sort=-
Site: relevance&index=cfda&is active=true&page=1
Award Amount: $1,500,000.00
Awarding Florida Department of Transportation
Agency:
Award is for No
R&D:
Indirect Cost N/A
Rate:
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT ARE SUBJECT TO THE
FOLLOWING:
2 CFR Part 200— Uniform Administrative Requirements, Cost Principles &Audit Requirements for Federal
Awards
http://www.ecfr.qov/cqi-bin/text-idx?node=2:1.1.2.2.1
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT MAY ALSO BE SUBJECT TO THE
FOLLOWING:
Title 23—Highways, United States Code
http://uscode.house.gov/browse/prelim c(�title23&edition=prelim
Title 49—Transportation, United States Code
http://uscode.house.gov/browse/prelim@title49&edition=prelim
Infrastructure Investment and Jobs Act(IIJA)(Public Law 117-58,also known as the"Bipartisan Infrastructure Law")
https://www.congress.gov/117/bills/hr3684/BILLS-117hr3684enr.pdf
Federal Highway Administration— Florida Division
http://www.fhwa.dot.gov/fldiv/
Federal Funding Accountability and Transparency Act (FFATA) Sub-award Reporting System (FSRS)
https://www.fsrs.gov/
AR Form 525-010-40F STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-011-OF
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM
MANAGEMENT
05/21
Page 1 of 2
EXHIBIT F
CONTRACT PAYMENT REQUIREMENTS
Florida Department of Financial Services, Reference Guide for State Expenditures
Cost Reimbursement Contracts
Invoices for cost reimbursement contracts must be supported by an itemized listing of
expenditures by category(salary, travel, expenses, etc.). Supporting documentation shall
be submitted for each amount for which reimbursement is being claimed indicating that
the item has been paid. Documentation for each amount for which reimbursement is
being claimed must indicate that the item has been paid. Check numbers may be provided
in lieu of copies of actual checks. Each piece of documentation should clearly reflect the
dates of service. Only expenditures for categories in the approved agreement budget may
be reimbursed. These expenditures must be allowable (pursuant to law) and directly
related to the services being provided.
Listed below are types and examples of supporting documentation for cost
reimbursement agreements:
Salaries: Timesheets that support the hours worked on the project or activity must be
kept. A payroll register, or similar documentation should be maintained. The payroll
register should show gross salary charges, fringe benefits, other deductions and net pay.
If an individual for whom reimbursement is being claimed is paid by the hour, a document
reflecting the hours worked times the rate of pay will be acceptable.
Fringe benefits: Fringe benefits should be supported by invoices showing the amount
paid on behalf of the employee, e.g., insurance premiums paid. If the contract specifically
states that fringe benefits will be based on a specified percentage rather than the actual
cost of fringe benefits, then the calculation for the fringe benefits amount must be shown.
Exception: Governmental entities are not required to provide check numbers or copies of
checks for fringe benefits.
Travel: Reimbursement for travel must be in accordance with s. 112.061, F.S., which
includes submission of the claim on the approved state travel voucher along with
supporting receipts and invoices.
Other direct costs: Reimbursement will be made based on paid invoices/receipts and
proof of payment processing (cancelled/processed checks and bank statements). If
nonexpendable property is purchased using state funds, the contract should include a
provision for the transfer of the property to the State when services are terminated.
Documentation must be provided to show compliance with DMS Rule 60A-1.017, F.A.C.,
regarding the requirements for contracts which include services and that provide for the
contractor to purchase tangible personal property as defined in s. 273.02, F.S., for
subsequent transfer to the State.
Indirect costs: If the contract stipulates that indirect costs will be paid based on a
specified rate, then the calculation should be shown. Indirect costs must be in the
approved agreement budget and the entity must be able to demonstrate that the costs
are not duplicated elsewhere as direct costs. All indirect cost rates must be evaluated for
reasonableness and for allowability and must be allocated consistently.
Contracts between state agencies may submit alternative documentation to
substantiate the reimbursement request,which may be in the form of FLAIR reports
or other detailed reports.
The Florida Department of Financial Services, online Reference Guide for State
Expenditures can be found at this web address
https://www.myfloridacfo.com/Division/AA/Manuals/documents/ReferenceGuideforState
Expenditures.pdf.
Alt Form 525-010-40G STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 525-011-0G
LOCAL AGENCY PROGRAM AGREEMENT PROGRAM MANAGEMENT
10/23
Page 1 of 1
EXHIBIT G
FHWA FORM 1273
FEDERAL RESOURCES AWARDED PURSUANT TO THIS AGREEMENT ARE AS FOLLOWS:
LEGAL REQUIREMENTS AND RESPONSIBILITY TO THE PUBLIC—COMPLIANCE
WITH FHWA 1273.
The FHWA-1273 version dated October 23, 2023 is appended in its entirety to this Exhibit. FHWA-1273 may also be
referenced on the Department's website at the following URL address:
http://www.fhwa.dot.pov/procramadmin/contracts/1273/1273.pdf
Sub-recipients of federal grants awards for Federal-Aid Highway construction shall take responsibility to obtain this
information and comply with all provisions contained in FHWA-1273.
FHWA-1273—Revised October 23,2023
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
performed on the contract by the contractors own organization
I. General and with the assistance of workers under the contractor's
II. Nondiscrimination immediate superintendence and to all work performed on the
III. Non-segregated Facilities contract by piecework,station work,or by subcontract. 23
IV. Davis-Bacon and Related Act Provisions CFR 633.102(d).
V. Contract Work Hours and Safety Standards Act
Provisions 3. A breach of any of the stipulations contained in these
VI. Subletting or Assigning the Contract Required Contract Provisions may be sufficient grounds for
VII. Safety:Accident Prevention withholding of progress payments,withholding of final
VIII. False Statements Concerning Highway Projects payment,termination of the contract,suspension/debarment
IX. Implementation of Clean Air Act and Federal Water or any other action determined to be appropriate by the
Pollution Control Act contracting agency and FHWA.
X. Certification Regarding Debarment,Suspension,
Ineligibility and Voluntary Exclusion 4. Selection of Labor:During the performance of this contract,
XI. Certification Regarding Use of Contract Funds for the contractor shall not use convict labor for any purpose
Lobbying within the limits of a construction project on a Federal-aid
XII. Use of United States-Flag Vessels: highway unless it is labor performed by convicts who are on
parole,supervised release,or probation. 23 U.S.C. 114(b).
ATTACHMENTS The term Federal-aid highway does not include roadways
functionally classified as local roads or rural minor collectors.
A. Employment and Materials Preference for Appalachian 23 U.S.C. 101(a).
Development Highway System or Appalachian Local Access
Road Contracts(included in Appalachian contracts only)
II. NONDISCRIMINATION(23 CFR 230.107(a);23 CFR Part
230,Subpart A,Appendix A; EO 11246)
I. GENERAL
The provisions of this section related to 23 CFR Part 230,
1. Form FHWA-1273 must be physically incorporated in each Subpart A,Appendix A are applicable to all Federal-aid
construction contract funded under title 23,United States construction contracts and to all related construction
Code,as required in 23 CFR 633.102(b)(excluding subcontracts of$10,000 or more. The provisions of 23 CFR
emergency contracts solely intended for debris removal). The Part 230 are not applicable to material supply,engineering,or
contractor(or subcontractor)must insert this form in each architectural service contracts.
subcontract and further require its inclusion in all lower tier
subcontracts(excluding purchase orders,rental agreements In addition,the contractor and all subcontractors must comply
and other agreements for supplies or services). 23 CFR with the following policies: Executive Order 11246,41 CFR
633.102(e). Part 60,29 CFR Parts 1625-1627,23 U.S.C. 140,Section 504
of the Rehabilitation Act of 1973,as amended(29 U.S.C.794),
The applicable requirements of Form FHWA-1273 are Title VI of the Civil Rights Act of 1964,as amended(42 U.S.C.
incorporated by reference for work done under any purchase 2000d et seq.),and related regulations including 49 CFR Parts
order,rental agreement or agreement for other services. The 21,26,and 27;and 23 CFR Parts 200,230,and 633.
prime contractor shall be responsible for compliance by any
subcontractor,lower-tier subcontractor or service provider. 23 The contractor and all subcontractors must comply with: the
CFR 633.102(e). requirements of the Equal Opportunity Clause in 41 CFR 60-
1.4(b)and,for all construction contracts exceeding$10,000,
Form FHWA-1273 must be included in all Federal-aid design- the Standard Federal Equal Employment Opportunity
build contracts,in all subcontracts and in lower tier Construction Contract Specifications in 41 CFR 60-4.3.
subcontracts(excluding subcontracts for design services,
purchase orders,rental agreements and other agreements for Note:The U.S.Department of Labor has exclusive authority to
supplies or services)in accordance with 23 CFR 633.102. The determine compliance with Executive Order 11246 and the
design-builder shall be responsible for compliance by any policies of the Secretary of Labor including 41 CFR Part 60,
subcontractor,lower-tier subcontractor or service provider. and 29 CFR Parts 1625-1627. The contracting agency and
the FHWA have the authority and the responsibility to ensure
Contracting agencies may reference Form FHWA-1273 in compliance with 23 U.S.C. 140,Section 504 of the
solicitation-for-bids or request-for-proposals documents, Rehabilitation Act of 1973,as amended(29 U.S.C.794),and
however,the Form FHWA-1273 must be physically Title VI of the Civil Rights Act of 1964,as amended(42 U.S.C.
incorporated(not referenced)in all contracts,subcontracts and 2000d et seq.),and related regulations including 49 CFR Parts
lower-tier subcontracts(excluding purchase orders,rental 21,26,and 27;and 23 CFR Parts 200,230,and 633.
agreements and other agreements for supplies or services
related to a construction contract). 23 CFR 633.102(b). The following provision is adopted from 23 CFR Part 230,
Subpart A,Appendix A,with appropriate revisions to conform
2. Subject to the applicability criteria noted in the following to the U.S.Department of Labor(US DOL)and FHWA
sections,these contract provisions shall apply to all work requirements.
1
1.Equal Employment Opportunity: Equal Employment d. Notices and posters setting forth the contractor's EEO
Opportunity(EEO)requirements not to discriminate and to policy will be placed in areas readily accessible to employees,
take affirmative action to assure equal opportunity as set forth applicants for employment and potential employees.
under laws,executive orders,rules,regulations(see 28 CFR
Part 35,29 CFR Part 1630,29 CFR Parts 1625-1627,41 CFR e. The contractor's EEO policy and the procedures to
Part 60 and 49 CFR Part 27)and orders of the Secretary of implement such policy will be brought to the attention of
Labor as modified by the provisions prescribed herein,and employees by means of meetings,employee handbooks,or
imposed pursuant to 23 U.S.C.140,shall constitute the EEO other appropriate means.
and specific affirmative action standards for the contractor's
project activities under this contract.The provisions of the 4.Recruitment:When advertising for employees,the
Americans with Disabilities Act of 1990(42 U.S.C. 12101 et contractor will include in all advertisements for employees the
seq.)set forth under 28 CFR Part 35 and 29 CFR Part 1630 notation:"An Equal Opportunity Employer." All such
are incorporated by reference in this contract.In the execution advertisements will be placed in publications having a large
of this contract,the contractor agrees to comply with the circulation among minorities and women in the area from
following minimum specific requirement activities of EEO: which the project work force would normally be derived.
a.The contractor will work with the contracting agency and a. The contractor will,unless precluded by a valid
the Federal Government to ensure that it has made every bargaining agreement,conduct systematic and direct
good faith effort to provide equal opportunity with respect to all recruitment through public and private employee referral
of its terms and conditions of employment and in their review sources likely to yield qualified minorities and women. To
of activities under the contract. 23 CFR 230.409(g)(4)&(5). meet this requirement,the contractor will identify sources of
potential minority group employees and establish with such
b.The contractor will accept as its operating policy the identified sources procedures whereby minority and women
following statement: applicants may be referred to the contractor for employment
consideration.
"It is the policy of this Company to assure that applicants
are employed,and that employees are treated during b. In the event the contractor has a valid bargaining
employment,without regard to their race,religion,sex, agreement providing for exclusive hiring hall referrals,the
sexual orientation,gender identity,color,national origin,age contractor is expected to observe the provisions of that
or disability. Such action shall include:employment, agreement to the extent that the system meets the contractor's
upgrading,demotion,or transfer;recruitment or recruitment compliance with EEO contract provisions. Where
advertising;layoff or termination;rates of pay or other forms implementation of such an agreement has the effect of
of compensation;and selection for training,including discriminating against minorities or women,or obligates the
apprenticeship,pre-apprenticeship,and/or on-the-job contractor to do the same,such implementation violates
training." Federal nondiscrimination provisions.
2. EEO Officer:The contractor will designate and make c. The contractor will encourage its present employees to
known to the contracting officers an EEO Officer who will have refer minorities and women as applicants for employment.
the responsibility for and must be capable of effectively Information and procedures with regard to referring such
administering and promoting an active EEO program and who applicants will be discussed with employees.
must be assigned adequate authority and responsibility to do
so. 5. Personnel Actions:Wages,working conditions,and
employee benefits shall be established and administered,and
3. Dissemination of Policy:All members of the contractor's personnel actions of every type,including hiring,upgrading,
staff who are authorized to hire,supervise,promote,and promotion,transfer,demotion,layoff,and termination,shall be
discharge employees,or who recommend such action or are taken without regard to race,color,religion,sex,sexual
substantially involved in such action,will be made fully orientation,gender identity,national origin,age or disability.
cognizant of and will implement the contractor's EEO policy The following procedures shall be followed:
and contractual responsibilities to provide EEO in each grade
and classification of employment. To ensure that the above a. The contractor will conduct periodic inspections of project
agreement will be met,the following actions will be taken as a sites to ensure that working conditions and employee facilities
minimum: do not indicate discriminatory treatment of project site
personnel.
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then b. The contractor will periodically evaluate the spread of
not less often than once every six months,at which time the wages paid within each classification to determine any
contractor's EEO policy and its implementation will be evidence of discriminatory wage practices.
reviewed and explained. The meetings will be conducted by
the EEO Officer or other knowledgeable company official. c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of
b. All new supervisory or personnel office employees will be discrimination. Where evidence is found,the contractor will
given a thorough indoctrination by the EEO Officer,covering promptly take corrective action. If the review indicates that the
all major aspects of the contractor's EEO obligations within discrimination may extend beyond the actions reviewed,such
thirty days following their reporting for duty with the contractor. corrective action shall include all affected persons.
c. All personnel who are engaged in direct recruitment for d. The contractor will promptly investigate all complaints of
the project will be instructed by the EEO Officer in the alleged discrimination made to the contractor in connection
contractor's procedures for locating and hiring minorities and with its obligations under this contract,will attempt to resolve
women. such complaints,and will take appropriate corrective action
2
within a reasonable time. If the investigation indicates that the sufficient referrals(even though it is obligated to provide
discrimination may affect persons other than the complainant, exclusive referrals under the terms of a collective bargaining
such corrective action shall include such other persons. Upon agreement)does not relieve the contractor from the
completion of each investigation,the contractor will inform requirements of this paragraph. In the event the union referral
every complainant of all of their avenues of appeal. practice prevents the contractor from meeting the obligations
pursuant to Executive Order 11246,as amended,and these
6.Training and Promotion: special provisions,such contractor shall immediately notify the
contracting agency.
a. The contractor will assist in locating,qualifying,and
increasing the skills of minorities and women who are 8. Reasonable Accommodation for Applicants/
applicants for employment or current employees. Such efforts Employees with Disabilities: The contractor must be familiar
should be aimed at developing full journey level status with the requirements for and comply with the Americans with
employees in the type of trade or job classification involved. Disabilities Act and all rules and regulations established
thereunder. Employers must provide reasonable
b. Consistent with the contractor's work force requirements accommodation in all employment activities unless to do so
and as permissible under Federal and State regulations,the would cause an undue hardship.
contractor shall make full use of training programs(i.e.,
apprenticeship and on-the-job training programs for the 9.Selection of Subcontractors,Procurement of Materials
geographical area of contract performance). In the event a and Leasing of Equipment:The contractor shall not
special provision for training is provided under this contract, discriminate on the grounds of race,color,religion,sex,sexual
this subparagraph will be superseded as indicated in the orientation,gender identity,national origin,age,or disability in
special provision. The contracting agency may reserve the selection and retention of subcontractors,including
training positions for persons who receive welfare assistance procurement of materials and leases of equipment. The
in accordance with 23 U.S.C. 140(a). contractor shall take all necessary and reasonable steps to
ensure nondiscrimination in the administration of this contract.
c. The contractor will advise employees and applicants for
employment of available training programs and entrance a. The contractor shall notify all potential subcontractors,
requirements for each. suppliers,and lessors of their EEO obligations under this
contract.
d. The contractor will periodically review the training and
promotion potential of employees who are minorities and b. The contractor will use good faith efforts to ensure
women and will encourage eligible employees to apply for subcontractor compliance with their EEO obligations.
such training and promotion.
7.Unions: If the contractor relies in whole or in part upon 10. Assurances Required:
unions as a source of employees,the contractor will use good
faith efforts to obtain the cooperation of such unions to a. The requirements of 49 CFR Part 26 and the State
increase opportunities for minorities and women. 23 CFR DOT's FHWA-approved Disadvantaged Business Enterprise
230.409. Actions by the contractor,either directly or through a (DBE)program are incorporated by reference.
contractor's association acting as agent,will include the
procedures set forth below: b. The contractor,subrecipient or subcontractor shall not
discriminate on the basis of race,color,national origin,or sex
a. The contractor will use good faith efforts to develop,in in the performance of this contract.The contractor shall carry
cooperation with the unions,joint training programs aimed out applicable requirements of 49 CFR part 26 in the award
toward qualifying more minorities and women for membership and administration of DOT-assisted contracts. Failure by the
in the unions and increasing the skills of minorities and women contractor to carry out these requirements is a material breach
so that they may qualify for higher paying employment. of this contract,which may result in the termination of this
contract or such other remedy as the recipient deems
b. The contractor will use good faith efforts to incorporate an appropriate,which may include,but is not limited to:
EEO clause into each union agreement to the end that such (1)Withholding monthly progress payments;
union will be contractually bound to refer applicants without (2)Assessing sanctions;
regard to their race,color,religion,sex,sexual orientation, (3)Liquidated damages;and/or
gender identity,national origin,age,or disability. (4)Disqualifying the contractor from future bidding as non-
responsible.
c. The contractor is to obtain information as to the referral c. The Title VI and nondiscrimination provisions of U.S.
practices and policies of the labor union except that to the DOT Order 1050.2A at Appendixes A and E are incorporated
extent such information is within the exclusive possession of by reference. 49 CFR Part 21.
the labor union and such labor union refuses to furnish such
information to the contractor,the contractor shall so certify to 11.Records and Reports:The contractor shall keep such
the contracting agency and shall set forth what efforts have records as necessary to document compliance with the EEO
been made to obtain such information. requirements. Such records shall be retained for a period of
three years following the date of the final payment to the
d. In the event the union is unable to provide the contractor contractor for all contract work and shall be available at
with a reasonable flow of referrals within the time limit set forth reasonable times and places for inspection by authorized
in the collective bargaining agreement,the contractor will, representatives of the contracting agency and the FHWA.
through independent recruitment efforts,fill the employment
vacancies without regard to race,color,religion,sex,sexual a. The records kept by the contractor shall document the
orientation,gender identity,national origin,age,or disability; following:
making full efforts to obtain qualified and/or qualifiable
minorities and women. The failure of a union to provide
3
(1)The number and work hours of minority and non- Projects funded under 23 U.S.C. 117,and National Highway
minority group members and women employed in each work Freight Program projects funded under 23 U.S.C. 167.
classification on the project;
(2)The progress and efforts being made in cooperation The following provisions are from the U.S.Department of
with unions,when applicable,to increase employment Labor regulations in 29 CFR 5.5"Contract provisions and
opportunities for minorities and women;and related matters"with minor revisions to conform to the FHWA-
1273 format and FHWA program requirements.
(3)The progress and efforts being made in locating,hiring,
training,qualifying,and upgrading minorities and women. 1. Minimum wages(29 CFR 5.5)
b. The contractors and subcontractors will submit an annual
report to the contracting agency each July for the duration of a. Wage rates and fringe benefits.All laborers and
the project indicating the number of minority,women,and non- mechanics employed or working upon the site of the work(or
minority group employees currently engaged in each work otherwise working in construction or development of the
classification required by the contract work. This information is project under a development statute),will be paid
to be reported on Form FHWA-1391. The staffing data should unconditionally and not less often than once a week,and
represent the project work force on board in all or any part of without subsequent deduction or rebate on any account
the last payroll period preceding the end of July. If on-the-job (except such payroll deductions as are permitted by
training is being required by special provision,the contractor regulations issued by the Secretary of Labor under the
will be required to collect and report training data. The Copeland Act(29 CFR part 3)),the full amount of basic hourly
employment data should reflect the work force on board during wages and bona fide fringe benefits(or cash equivalents
all or any part of the last payroll period preceding the end of thereof)due at time of payment computed at rates not less
July. 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
III.NONSEGREGATED FACILITIES be alleged to exist between the contractor and such laborers
and mechanics.As provided in paragraphs(d)and(e)of 29
This provision is applicable to all Federal-aid construction CFR 5.5,the appropriate wage determinations are effective by
contracts and to all related construction subcontracts of more operation of law even if they have not been attached to the
than$10,000. 41 CFR 60-1.5. contract.Contributions made or costs reasonably anticipated
for bona fide fringe benefits under the Davis-Bacon Act(40
As prescribed by 41 CFR 60-1.8,the contractor must ensure U.S.C.3141(2)(B))on behalf of laborers or mechanics are
that facilities provided for employees are provided in such a considered wages paid to such laborers or mechanics,subject
manner that segregation on the basis of race,color,religion, to the provisions of paragraph 1.e.of this section;also,regular
sex,sexual orientation,gender identity,or national origin contributions made or costs incurred for more than a weekly
cannot result. The contractor may neither require such period(but not less often than quarterly)under plans,funds,or
segregated use by written or oral policies nor tolerate such use programs which cover the particular weekly period,are
by employee custom. The contractor's obligation extends deemed to be constructively made or incurred during such
further to ensure that its employees are not assigned to weekly period.Such laborers and mechanics must be paid the
perform their services at any location under the contractor's appropriate wage rate and fringe benefits on the wage
control where the facilities are segregated. The term"facilities" determination for the classification(s)of work actually
includes waiting rooms,work areas,restaurants and other performed,without regard to skill,except as provided in
eating areas,time clocks,restrooms,washrooms,locker paragraph 4.of this section. Laborers or mechanics performing
rooms and other storage or dressing areas,parking lots, work in more than one classification may be compensated at
drinking fountains,recreation or entertainment areas, the rate specified for each classification for the time actually
transportation,and housing provided for employees. The worked therein:Provided,That the employer's payroll records
contractor shall provide separate or single-user restrooms and accurately set forth the time spent in each classification in
necessary dressing or sleeping areas to assure privacy which work is performed.The wage determination(including
between sexes. any additional classifications and wage rates conformed under
paragraph 1.c.of this section)and the Davis-Bacon poster
(WH-1321)must be posted at all times by the contractor and
IV. DAVIS-BACON AND RELATED ACT PROVISIONS its subcontractors at the site of the work in a prominent and
accessible place where it can be easily seen by the workers.
This section is applicable to all Federal-aid construction
projects exceeding$2,000 and to all related subcontracts and b.Frequently recurring classifications.(1)In addition to wage
lower-tier subcontracts(regardless of subcontract size),in and fringe benefit rates that have been determined to be
accordance with 29 CFR 5.5. The requirements apply to all prevailing under the procedures set forth in 29 CFR part 1,a
projects located within the right-of-way of a roadway that is wage determination may contain,pursuant to§1.3(f),wage
functionally classified as Federal-aid highway. 23 U.S.C. 113. and fringe benefit rates for classifications of laborers and
This excludes roadways functionally classified as local roads mechanics for which conformance requests are regularly
or rural minor collectors,which are exempt. 23 U.S.C. 101. submitted pursuant to paragraph 1.c.of this section,provided
Where applicable law requires that projects be treated as a that:
project on a Federal-aid highway,the provisions of this subpart
will apply regardless of the location of the project. Examples (i)The work performed by the classification is not
include:Surface Transportation Block Grant Program projects performed by a classification in the wage determination for
funded under 23 U.S.C. 133[excluding recreational trails which a prevailing wage rate has been determined;
projects],the Nationally Significant Freight and Highway
4
(ii)The classification is used in the area by the under paragraphs 1.c.(3)and(4)of this section.The contractor
construction industry;and must furnish a written copy of such determination to each
affected worker or it must be posted as a part of the wage
(iii)The wage rate for the classification bears a reasonable determination.The wage rate(including fringe benefits where
relationship to the prevailing wage rates contained in the appropriate)determined pursuant to paragraph 1.c.(3)or(4)of
wage determination. this section must 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.
(2)The Administrator will establish wage rates for such
classifications in accordance with paragraph 1.c.(1)(iii)of this d.Fringe benefits not expressed as an hourly rate.
section.Work performed in such a classification must be paid Whenever the minimum wage rate prescribed in the contract
at no less than the wage and fringe benefit rate listed on the for a class of laborers or mechanics includes a fringe benefit
wage determination for such classification. which is not expressed as an hourly rate,the contractor may
either pay the benefit as stated in the wage determination or
c.Conformance. (1)The contracting officer must require that may pay another bona fide fringe benefit or an hourly cash
any class of laborers or mechanics,including helpers,which is equivalent thereof.
not listed in the wage determination and which is to be
employed under the contract be classified in conformance with e. Unfunded plans. If the contractor does not make
the wage determination.Conformance of an additional payments to a trustee or other third person,the contractor may
classification and wage rate and fringe benefits is appropriate consider as part of the wages of any laborer or mechanic the
only when the following criteria have been met: amount of any costs reasonably anticipated in providing bona
fide fringe benefits under a plan or program,Provided,That
(i)The work to be performed by the classification the Secretary of Labor has found,upon the written request of
requested is not performed by a classification in the wage the contractor,in accordance with the criteria set forth in
determination;and §5.28,that the applicable standards of the Davis-Bacon Act
have been met.The Secretary of Labor may require the
(ii)The classification is used in the area by the contractor to set aside in a separate account assets for the
meeting of obligations under the plan or program.
construction industry;and
(iii)The proposed wage rate,including any bona fide fringe f.Interest. In the event of a failure to pay all or part of the
benefits,bears a reasonable relationship to the wage rates wages required by the contract,the contractor will be required
to pay interest on any underpayment of wages.
contained in the wage determination.
(2)The conformance process may not be used to split, 2. Withholding(29 CFR 5.5)
subdivide,or otherwise avoid application of classifications
listed in the wage determination. a. Withholding requirements.The contracting agency may,
upon its own action,or must,upon written request of an
(3)If the contractor and the laborers and mechanics to be authorized representative of the Department of Labor,withhold
employed in the classification(if known),or their or cause to be withheld from the contractor so much of the
accrued payments or advances as may be considered
representatives,and the contracting officer agree on the necessary to satisfy the liabilities of the prime contractor or any
classification and wage rate(including the amount designated subcontractor for the full amount of wages and monetary relief,
for fringe benefits where appropriate),a report of the action including interest,required by the clauses set forth in this
taken will be sent by the contracting officer by email to section for violations of this contract,or to satisfy any such
DBAconformance(bdol.gov.The Administrator,or an liabilities required by any other Federal contract,or federally
authorized representative,will approve,modify,or disapprove assisted contract subject to Davis-Bacon labor standards,that
every additional classification action within 30 days of receipt is held by the same prime contractor(as defined in§5.2).The
and so advise the contracting officer or will notify the necessary funds may be withheld from the contractor under
contracting officer within the 30—day period that additional time this contract,any other Federal contract with the same prime
is necessary. contractor,or any other federally assisted contract that is
subject to Davis-Bacon labor standards requirements and is
(4)In the event the contractor,the laborers or mechanics to held by the same prime contractor,regardless of whether the
be employed in the classification or their representatives,and other contract was awarded or assisted by the same agency,
the contracting officer do not agree on the proposed and such funds may be used to satisfy the contractor liability
classification and wage rate(including the amount designated for which the funds were withheld.In the event of a
for fringe benefits,where appropriate),the contracting officer contractor's failure to pay any laborer or mechanic,including
will,by email to DBAconformance@dol.gov,refer the any apprentice or helper working on the site of the work all or
questions,including the views of all interested parties and the part of the wages required by the contract,or upon the
recommendation of the contracting officer,to the Administrator contractor's failure to submit the required records as discussed
for determination.The Administrator,or an authorized in paragraph 3.d.of this section,the contracting agency may
representative,will issue a determination within 30 days of on its own initiative and after written notice to the contractor,
receipt and so advise the contracting officer or will notify the take such action as may be necessary to cause the
contracting officer within the 30—day period that additional time suspension of any further payment,advance,or guarantee of
is necessary. funds until such violations have ceased.
(5)The contracting officer must promptly notify the b.Priority to withheld funds.The Department has priority to
contractor of the action taken by the Wage and Hour Division funds withheld or to be withheld in accordance with paragraph
5
2.a.of this section or Section V,paragraph 3.a.,or both,over agency.The prime contractor is responsible for the submission
claims to those funds by: of all certified payrolls by all subcontractors.A contracting
agency or prime contractor may permit or require contractors
(1)A contractor's surety(ies),including without limitation to submit certified payrolls through an electronic system,as
long as the electronic system requires a legally valid electronic
performance bond sureties and payment bond sureties, signature;the system allows the contractor,the contracting
agency,and the Department of Labor to access the certified
(2)A contracting agency for its reprocurement costs; payrolls upon request for at least 3 years after the work on the
prime contract has been completed;and the contracting
(3)A trustee(s)(either a court-appointed trustee or a U.S. agency or prime contractor permits other methods of
trustee,or both)in bankruptcy of a contractor,or a contractor's submission in situations where the contractor is unable or
bankruptcy estate; limited in its ability to use or access the electronic system.
(4)A contractor's assignee(s); (2)Information required.The certified payrolls submitted
must set out accurately and completely all of the information
required to be maintained under paragraph 3.a.(2)of this
(5)A contractor's successor(s);or section,except that full Social Security numbers and last
known addresses,telephone numbers,and email addresses
(6)A claim asserted under the Prompt Payment Act,31 must not be included on weekly transmittals. Instead,the
U.S.C.3901-3907. certified payrolls need only include an individually identifying
number for each worker(e.g.,the last four digits of the
worker's Social Security number).The required weekly
3.Records and certified payrolls(29 CFR 5.5) certified payroll information may be submitted using Optional
Form WH-347 or in any other format desired.Optional Form
WH-347 is available for this purpose from the Wage and Hour
a.Basic record requirements(1)Length of record retention. Division website at https://www.dol.qov/sites/dolgov/files/WHD/
All regular payrolls and other basic records must be legacy/files/wh347/.pdf or its successor website.It is not a
maintained by the contractor and any subcontractor during the violation of this section for a prime contractor to require a
course of the work and preserved for all laborers and subcontractor to provide full Social Security numbers and last
mechanics working at the site of the work(or otherwise known addresses,telephone numbers,and email addresses to
working in construction or development of the project under a the prime contractor for its own records,without weekly
development statute)for a period of at least 3 years after all submission by the subcontractor to the contracting agency.
the work on the prime contract is completed.
(3)Statement of Compliance. Each certified payroll
(2)Information required.Such records must contain the submitted must be accompanied by a"Statement of
name;Social Security number;last known address,telephone Compliance,"signed by the contractor or subcontractor,or the
number,and email address of each such worker;each contractor's or subcontractor's agent who pays or supervises
worker's correct classification(s)of work actually performed; the payment of the persons working on the contract,and must
hourly rates of wages paid(including rates of contributions or certify the following:
costs anticipated for bona fide fringe benefits or cash
equivalents thereof of the types described in 40 U.S.C.
3141(2)(B)of the Davis-Bacon Act);daily and weekly number (i)That the certified payroll for the payroll period contains
of hours actually worked in total and on each covered contract; the information required to be provided under paragraph 3.b.
deductions made;and actual wages paid. of this section,the appropriate information and basic records
are being maintained under paragraph 3.a.of this section,
and such information and records are correct and complete;
(3)Additional records relating to fringe benefits.Whenever
the Secretary of Labor has found under paragraph 1.e.of this
section that the wages of any laborer or mechanic include the (ii)That each laborer or mechanic(including each helper
amount of any costs reasonably anticipated in providing and apprentice)working on the contract during the payroll
benefits under a plan or program described in 40 U.S.C. period has been paid the full weekly wages earned,without
3141(2)(8)of the Davis-Bacon Act,the contractor must rebate,either directly or indirectly,and that no deductions
maintain records which show that the commitment to provide have been made either directly or indirectly from the full
such benefits is enforceable,that the plan or program is wages earned,other than permissible deductions as set
financially responsible,and that the plan or program has been forth in 29 CFR part 3;and
communicated in writing to the laborers or mechanics affected,
and records which show the costs anticipated or the actual (iii)That each laborer or mechanic has been paid not less
cost incurred in providing such benefits. than the applicable wage rates and fringe benefits or cash
equivalents for the classification(s)of work actually
(4)Additional records relating to apprenticeship.Contractors performed,as specified in the applicable wage determination
with apprentices working under approved programs must incorporated into the contract.
maintain written evidence of the registration of apprenticeship
programs,the registration of the apprentices,and the ratios
(4)Use of Optional Form WH-347.The weekly submission
and wage rates prescribed in the applicable programs. of a properly executed certification set forth on the reverse
side of Optional Form WH-347 will satisfy the requirement for
b.Certified payroll requirements(1)Frequency and method submission of the"Statement of Compliance"required by
of submission.The contractor or subcontractor must submit paragraph 3.b.(3)of this section.
weekly,for each week in which any DBA-or Related Acts-
covered work is performed,certified payrolls to the contracting
6
(5)Signature.The signature by the contractor, of each covered worker,and must provide them upon request
subcontractor,or the contractors or subcontractor's agent to the contracting agency,the State DOT,the FHWA,the
must be an original handwritten signature or a legally valid contractor,or the Wage and Hour Division of the Department
electronic signature. of Labor for purposes of an investigation or other compliance
action.
(6)Falsification.The falsification of any of the above
certifications may subject the contractor or subcontractor to 4.Apprentices and equal employment opportunity(29 CFR
civil or criminal prosecution under 18 U.S.C. 1001 and 31 5.5)
U.S.C.3729.
a.Apprentices(1)Rate of pay.Apprentices will be permitted
(7)Length of certified payroll retention.The contractor or to work at less than the predetermined rate for the work they
subcontractor must preserve all certified payrolls during the perform when they are employed pursuant to and individually
course of the work and for a period of 3 years after all the work registered in a bona fide apprenticeship program registered
on the prime contract is completed. with the U.S.Department of Labor, Employment and Training
Administration,Office of Apprenticeship(OA),or with a State
c. Contracts,subcontracts,and related documents.The Apprenticeship Agency recognized by the OA.A person who is
contractor or subcontractor must maintain this contract or not individually registered in the program,but who has been
subcontract and related documents including,without certified by the OA or a State Apprenticeship Agency(where
limitation,bids,proposals,amendments,modifications,and appropriate)to be eligible for probationary employment as an
extensions.The contractor or subcontractor must preserve apprentice,will be permitted to work at less than the
these contracts,subcontracts,and related documents during predetermined rate for the work they perform in the first 90
the course of the work and for a period of 3 years after all the days of probationary employment as an apprentice in such a
work on the prime contract is completed. program.In the event the OA or a State Apprenticeship
Agency recognized by the OA withdraws approval of an
apprenticeship program,the contractor will no longer be
d.Required disclosures and access(1)Required record permitted to use apprentices at less than the applicable
disclosures and access to workers.The contractor or predetermined rate for the work performed until an acceptable
subcontractor must make the records required under program is approved.
paragraphs 3.a.through 3.c.of this section,and any other
documents that the contracting agency,the State DOT,the (2)Fringe benefits.Apprentices must be paid fringe benefits
FHWA,or the Department of Labor deems necessary to in accordance with the provisions of the apprenticeship
determine compliance with the labor standards provisions of program.If the apprenticeship program does not specify fringe
any of the applicable statutes referenced by§5.1,available for benefits,apprentices must be paid the full amount of fringe
inspection,copying,or transcription by authorized benefits listed on the wage determination for the applicable
representatives of the contracting agency,the State DOT,the classification.If the Administrator determines that a different
FHWA,or the Department of Labor,and must permit such practice prevails for the applicable apprentice classification,
representatives to interview workers during working hours on fringe benefits must be paid in accordance with that
the job. determination.
(2)Sanctions for non-compliance with records and worker (3)Apprenticeship ratio.The allowable ratio of apprentices to
access requirements. If the contractor or subcontractor fails to journeyworkers on the job site in any craft classification must
submit the required records or to make them available,or not be greater than the ratio permitted to the contractor as to
refuses to permit worker interviews during working hours on the entire work force under the registered program or the ratio
the job,the Federal agency may,after written notice to the applicable to the locality of the project pursuant to paragraph
contractor,sponsor,applicant,owner,or other entity,as the 4.a.(4)of this section.Any worker listed on a payroll at an
case may be,that maintains such records or that employs apprentice wage rate,who is not registered or otherwise
such workers,take such action as may be necessary to cause employed as stated in paragraph 4.a.(1)of this section,must
the suspension of any further payment,advance,or guarantee be paid not less than the applicable wage rate on the wage
of funds. Furthermore,failure to submit the required records determination for the classification of work actually performed.
upon request or to make such records available,or to permit In addition,any apprentice performing work on the job site in
worker interviews during working hours on the job,may be excess of the ratio permitted under this section must be paid
grounds for debarment action pursuant to§5.12.In addition, not less than the applicable wage rate on the wage
any contractor or other person that fails to submit the required determination for the work actually performed.
records or make those records available to WHD within the
time WHD requests that the records be produced will be
precluded from introducing as evidence in an administrative (4)Reciprocity of ratios and wage rates.Where a contractor
proceeding under 29 CFR part 6 any of the required records is performing construction on a project in a locality other than
that were not provided or made available to WHD.WHD will the locality in which its program is registered,the ratios and
take into consideration a reasonable request from the wage rates(expressed in percentages of the journeyworker's
contractor or person for an extension of the time for hourly rate)applicable within the locality in which the
submission of records.WHD will determine the construction is being performed must be observed. If there is
reasonableness of the request and may consider,among other no applicable ratio or wage rate for the locality of the project,
things,the location of the records and the volume of the ratio and wage rate specified in the contractor's registered
production. program must be observed.
(3)Required information disclosures.Contractors and b.Equal employment opportunity.The use of apprentices
subcontractors must maintain the full Social Security number and journeyworkers under this part must be in conformity with
and last known address,telephone number,and email address
7
the equal employment opportunity requirements of Executive b.No part of this contract shall be subcontracted to any
Order 11246,as amended,and 29 CFR part 30. person or firm ineligible for award of a Government contract by
virtue of 40 U.S.C.3144(b)or§5.12(a).
c. Apprentices and Trainees(programs of the U.S.DOT).
c.The penalty for making false statements is prescribed in
Apprentices and trainees working under apprenticeship and the U.S.Code,Title 18 Crimes and Criminal Procedure, 18
skill training programs which have been certified by the U.S.C. 1001.
Secretary of Transportation as promoting EEO in connection
with Federal-aid highway construction programs are not 11.Anti-retaliation. It is unlawful for any person to discharge,
subject to the requirements of paragraph 4 of this Section IV. demote,intimidate,threaten,restrain,coerce,blacklist,harass,
23 CFR 230.111(e)(2).The straight time hourly wage rates for or in any other manner discriminate against,or to cause any
apprentices and trainees under such programs will be person to discharge,demote,intimidate,threaten,restrain,
established by the particular programs.The ratio of coerce,blacklist,harass,or in any other manner discriminate
apprentices and trainees to journeyworkers shall not be against,any worker or job applicant for:
greater than permitted by the terms of the particular program.
a.Notifying any contractor of any conduct which the worker
5.Compliance with Copeland Act requirements. The reasonably believes constitutes a violation of the DBA,Related
contractor shall comply with the requirements of 29 CFR part Acts,this part,or 29 CFR part 1 or 3;
3,which are incorporated by reference in this contract as
provided in 29 CFR 5.5. b. Filing any complaint,initiating or causing to be initiated
any proceeding,or otherwise asserting or seeking to assert on
6.Subcontracts.The contractor or subcontractor must insert behalf of themselves or others any right or protection under the
FHWA-1273 in any subcontracts,along with the applicable DBA, Related Acts,this part,or 29 CFR part 1 or 3;
wage determination(s)and such other clauses or contract
modifications as the contracting agency may by appropriate c.Cooperating in any investigation or other compliance
instructions require,and a clause requiring the subcontractors action,or testifying in any proceeding under the DBA,Related
to include these clauses and wage determination(s)in any Acts,this part,or 29 CFR part 1 or 3;or
lower tier subcontracts.The prime contractor is responsible for
the compliance by any subcontractor or lower tier
subcontractor with all the contract clauses in this section.In d.Informing any other person about their rights under the
the event of any violations of these clauses,the prime DBA, Related Acts,this part,or 29 CFR part 1 or 3.
contractor and any subcontractor(s)responsible will be liable
for any unpaid wages and monetary relief,including interest
from the date of the underpayment or loss,due to any workers V. CONTRACT WORK HOURS AND SAFETY STANDARDS
of lower-tier subcontractors,and may be subject to debarment, ACT
as appropriate. 29 CFR 5.5.
7.Contract termination:debarment. A breach of the Pursuant to 29 CFR 5.5(b),the following clauses apply to any
contract clauses in 29 CFR 5.5 may be grounds for termination Federal-aid construction contract in an amount in excess of
of the contract,and for debarment as a contractor and a $100,000 and subject to the overtime provisions of the
subcontractor as provided in 29 CFR 5.12. 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
8.Compliance with Davis-Bacon and Related Act terms laborers and mechanics include watchpersons and
requirements. All rulings and interpretations of the Davis- guards.
Bacon and Related Acts contained in 29 CFR parts 1,3,and 5
are herein incorporated by reference in this contract as 1.Overtime requirements. No contractor or subcontractor
provided in 29 CFR 5.5.
contracting for any part of the contract work which may require
or involve the employment of laborers or mechanics shall
9.Disputes concerning labor standards.As provided in 29 require or permit any such laborer or mechanic in any
CFR 5.5,disputes arising out of the labor standards provisions workweek in which he or she is employed on such work to
of this contract shall not be subject to the general disputes work in excess of forty hours in such workweek unless such
clause of this contract.Such disputes shall be resolved in laborer or mechanic receives compensation at a rate not less
accordance with the procedures of the Department of Labor than one and one-half times the basic rate of pay for all hours
set forth in 29 CFR parts 5,6,and 7.Disputes within the worked in excess of forty hours in such workweek. 29 CFR
meaning of this clause include disputes between the contractor 5.5.
(or any of its subcontractors)and the contracting agency,the
U.S.Department of Labor,or the employees or their
representatives. 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
10.Certification of eligibility.a.By entering into this contract, subcontractor responsible therefor shall be liable for the
the contractor certifies that neither it nor any person or firm unpaid wages and interest from the date of the underpayment.
who has an interest in the contractor's firm is a person or firm In addition,such contractor and subcontractor shall be liable to
ineligible to be awarded Government contracts by virtue of 40 the United States(in the case of work done under contract for
U.S.C.3144(b)or§5.12(a). 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
8
mechanic,including watchpersons and guards,employed in event of any violations of these clauses,the prime contractor
violation of the clause set forth in paragraph 1.of this section, and any subcontractor(s)responsible will be liable for any
in the sum currently provided in 29 CFR 5.5(b)(2)*for each unpaid wages and monetary relief,including interest from the
calendar day on which such individual was required or date of the underpayment or loss,due to any workers of lower-
permitted to work in excess of the standard workweek of forty tier subcontractors,and associated liquidated damages and
hours without payment of the overtime wages required by the may be subject to debarment,as appropriate.
clause set forth in paragraph 1.of this section.
5.Anti-retaliation.It is unlawful for any person to discharge,
$31 as of January 15,2023(See 88 FR 88 FR 2210)as may demote,intimidate,threaten,restrain,coerce,blacklist,harass,
be adjusted annually by the Department of Labor,pursuant to or in any other manner discriminate against,or to cause any
the Federal Civil Penalties Inflation Adjustment Act of 1990. person to discharge,demote,intimidate,threaten,restrain,
coerce,blacklist,harass,or in any other manner discriminate
3.Withholding for unpaid wages and liquidated damages against,any worker or job applicant for:
a. Withholding process.The FHWA or the contracting a.Notifying any contractor of any conduct which the worker
agency may,upon its own action,or must,upon written reasonably believes constitutes a violation of the Contract
request of an authorized representative of the Department of Work Hours and Safety Standards Act(CWHSSA)or its
Labor,withhold or cause to be withheld from the contractor so mplementing regulations in this part;
much of the accrued payments or advances as may be
considered necessary to satisfy the liabilities of the prime b. Filing any complaint,initiating or causing to be initiated
contractor or any subcontractor for any unpaid wages; any proceeding,or otherwise asserting or seeking to assert on
monetary relief,including interest;and liquidated damages behalf of themselves or others any right or protection under
required by the clauses set forth in this section on this CWHSSA or this part;
contract,any other Federal contract with the same prime
contractor,or any other federally assisted contract subject to c.Cooperating in any investigation or other compliance
the Contract Work Hours and Safety Standards Act that is held
by the same prime contractor(as defined in§5.2).The action,or testifying in any proceeding under CWHSSA or this
necessary funds may be withheld from the contractor under part;or
this contract,any other Federal contract with the same prime
contractor,or any other federally assisted contract that is d.Informing any other person about their rights under
subject to the Contract Work Hours and Safety Standards Act CWHSSA or this part.
and is held by the same prime contractor,regardless of
whether the other contract was awarded or assisted by the
same agency,and such funds may be used to satisfy the VI.SUBLETTING OR ASSIGNING THE CONTRACT
contractor liability for which the funds were withheld.
This provision is applicable to all Federal-aid construction
b.Priority to withheld funds.The Department has priority to contracts on the National Highway System pursuant to 23 CFR
funds withheld or to be withheld in accordance with Section IV 635.116.
paragraph 2.a.or paragraph 3.a.of this section,or both,over
claims to those funds by: 1.The contractor shall perform with its own organization
contract work amounting to not less than 30 percent(or a
(1)A contractor's surety(ies),including without limitation greater percentage if specified elsewhere in the contract)of
performance bond sureties and payment bond sureties; 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
(2)A contracting agency for its reprocurement costs; specialty items performed may be deducted from the total
original contract price before computing the amount of work
(3)A trustee(s)(either a court-appointed trustee or a U.S. required to be performed by the contractor's own organization
trustee,or both)in bankruptcy of a contractor,or a contractor's (23 CFR 635.116).
bankruptcy estate; a. The term"perform work with its own organization"in
paragraph 1 of Section VI refers to workers employed or
(4)A contractor's assignee(s); leased by the prime contractor,and equipment owned or
rented by the prime contractor,with or without operators.
(5)A contractor's successor(s);or 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
(6)A claim asserted under the Prompt Payment Act,31 payments for the costs of hiring leased employees from an
U.S.C.3901-3907. 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
4.Subcontracts.The contractor or subcontractor must insert following conditions:(based on longstanding interpretation)
in any subcontracts the clauses set forth in paragraphs 1.
through 5.of this section and a clause requiring the (1)the prime contractor maintains control over the
subcontractors to include these clauses in any lower tier supervision of the day-to-day activities of the leased
subcontracts.The prime contractor is responsible for employees;
compliance by any subcontractor or lower tier subcontractor (2)the prime contractor remains responsible for the quality
with the clauses set forth in paragraphs 1.through 5.In the of the work of the leased employees;
9
(3)the prime contractor retains all power to accept or health standards(29 CFR Part 1926)promulgated by the
exclude individual employees from work on the project;and Secretary of Labor,in accordance with Section 107 of the
(4)the prime contractor remains ultimately responsible for Contract Work Hours and Safety Standards Act(40 U.S.C.
the payment of predetermined minimum wages,the 3704). 29 CFR 1926.10.
submission of payrolls,statements of compliance and all
other Federal regulatory requirements. 3. Pursuant to 29 CFR 1926.3,it is a condition of this contract
that the Secretary of Labor or authorized representative
b."Specialty Items"shall be construed to be limited to work thereof,shall have right of entry to any site of contract
that requires highly specialized knowledge,abilities,or performance to inspect or investigate the matter of compliance
equipment not ordinarily available in the type of contracting with the construction safety and health standards and to carry
organizations qualified and expected to bid or propose on the out the duties of the Secretary under Section 107 of the
contract as a whole and in general are to be limited to minor Contract Work Hours and Safety Standards Act(40 U.S.C.
components of the overall contract. 23 CFR 635.102. 3704).
2.Pursuant to 23 CFR 635.116(a),the contract amount upon
which the requirements set forth in paragraph(1)of Section VI VIII.FALSE STATEMENTS CONCERNING HIGHWAY
is computed includes the cost of material and manufactured PROJECTS
products which are to be purchased or produced by the
contractor under the contract provisions. This provision is applicable to all Federal-aid construction
contracts and to all related subcontracts.
3.Pursuant to 23 CFR 635.116(c),the contractor shall furnish
(a)a competent superintendent or supervisor who is employed In order to assure high quality and durable construction in
by the firm,has full authority to direct performance of the work conformity with approved plans and specifications and a high
in accordance with the contract requirements,and is in charge degree of reliability on statements and representations made
of all construction operations(regardless of who performs the by engineers,contractors,suppliers,and workers on Federal-
work)and(b)such other of its own organizational resources aid highway projects,it is essential that all persons concerned
(supervision,management,and engineering services)as the with the project perform their functions as carefully,thoroughly,
contracting officer determines is necessary to assure the and honestly as possible. Willful falsification,distortion,or
performance of the contract. misrepresentation with respect to any facts related to the
project is a violation of Federal law. To prevent any
4.No portion of the contract shall be sublet,assigned or misunderstanding regarding the seriousness of these and
otherwise disposed of except with the written consent of the similar acts,Form FHWA-1022 shall be posted on each
contracting officer,or authorized representative,and such Federal-aid highway project(23 CFR Part 635)in one or more
consent when given shall not be construed to relieve the places where it is readily available to all persons concerned
contractor of any responsibility for the fulfillment of the with the project:
contract. Written consent will be given only after the
contracting agency has assured that each subcontract is
evidenced in writing and that it contains all pertinent provisions 18 U.S.C. 1020 reads as follows:
and requirements of the prime contract.(based on long-
standing interpretation of 23 CFR 635.116). "Whoever,being an officer,agent,or employee of the United
States,or of any State or Territory,or whoever,whether a
5.The 30-percent self-performance requirement of paragraph person,association,firm,or corporation,knowingly makes any
(1)is not applicable to design-build contracts;however, false statement,false representation,or false report as to the
contracting agencies may establish their own self-performance character,quality,quantity,or cost of the material used or to
requirements. 23 CFR 635.116(d). 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
VII.SAFETY:ACCIDENT PREVENTION of construction on any highway or related project submitted for
approval to the Secretary of Transportation;or
This provision is applicable to all Federal-aid construction
contracts and to all related subcontracts. Whoever knowingly makes any false statement,false
representation,false report or false claim with respect to the
1. In the performance of this contract the contractor shall character,quality,quantity,or cost of any work performed or to
comply with all applicable Federal,State,and local laws be performed,or materials furnished or to be furnished,in
governing safety,health,and sanitation(23 CFR Part 635). connection with the construction of any highway or related
The contractor shall provide all safeguards,safety devices and project approved by the Secretary of Transportation;or
protective equipment and take any other needed actions as it
determines,or as the contracting officer may determine,to be Whoever knowingly makes any false statement or false
reasonably necessary to protect the life and health of representation as to material fact in any statement,certificate,
employees on the job and the safety of the public and to or report submitted pursuant to provisions of the Federal-aid
protect property in connection with the performance of the Roads Act approved July 11, 1916,(39 Stat.355),as
work covered by the contract. 23 CFR 635.108. amended and supplemented;
2. It is a condition of this contract,and shall be made a Shall be fined under this title or imprisoned not more than 5
condition of each subcontract,which the contractor enters into years or both."
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
10
IX.IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT(42 U.S.C.7606;2 e.The terms"covered transaction,""debarred,"
CFR 200.88;EO 11738) "suspended,""ineligible,""participant,""person,""principal,"
and"voluntarily excluded,"as used in this clause,are defined
This provision is applicable to all Federal-aid construction in 2 CFR Parts 180,Subpart I, 180.900-180.1020,and 1200.
contracts in excess of$150,000 and to all related "First Tier Covered Transactions"refers to any covered
subcontracts. 48 CFR 2.101;2 CFR 200.327. transaction between a recipient or subrecipient of Federal
funds and a participant(such as the prime or general contract).
By submission of this bid/proposal or the execution of this "Lower Tier Covered Transactions"refers to any covered
contract or subcontract,as appropriate,the bidder,proposer, transaction under a First Tier Covered Transaction(such as
Federal-aid construction contractor,subcontractor,supplier,or subcontracts). "First Tier Participant"refers to the participant
vendor agrees to comply with all applicable standards,orders who has entered into a covered transaction with a recipient or
or regulations issued pursuant to the Clean Air Act(42 U.S.C. subrecipient of Federal funds(such as the prime or general
7401-7671q)and the Federal Water Pollution Control Act,as contractor). "Lower Tier Participant"refers any participant who
amended(33 U.S.C. 1251-1387).Violations must be reported has entered into a covered transaction with a First Tier
to the Federal Highway Administration and the Regional Office Participant or other Lower Tier Participants(such as
of the Environmental Protection Agency. 2 CFR Part 200, subcontractors and suppliers).
Appendix II.
f.The prospective first tier participant agrees by submitting
The contractor agrees to include or cause to be included the this proposal that,should the proposed covered transaction be
requirements of this Section in every subcontract,and further entered into,it shall not knowingly enter into any lower tier
agrees to take such action as the contracting agency may covered transaction with a person who is debarred,
direct as a means of enforcing such requirements. 2 CFR suspended,declared ineligible,or voluntarily excluded from
200.327. participation in this covered transaction, unless authorized by
the department or agency entering into this transaction. 2
CFR 180.330.
X.CERTIFICATION REGARDING DEBARMENT,
SUSPENSION,INELIGIBILITY AND VOLUNTARY g.The prospective first tier participant further agrees by
EXCLUSION submitting this proposal that it will include the clause titled
"Certification Regarding Debarment,Suspension, Ineligibility
This provision is applicable to all Federal-aid construction and Voluntary Exclusion-Lower Tier Covered Transactions,"
contracts,design-build contracts,subcontracts,lower-tier provided by the department or contracting agency,entering
subcontracts,purchase orders,lease agreements,consultant into this covered transaction,without modification,in all lower
contracts or any other covered transaction requiring FHWA tier covered transactions and in all solicitations for lower tier
approval or that is estimated to cost$25,000 or more— as covered transactions exceeding the$25,000 threshold. 2 CFR
defined in 2 CFR Parts 180 and 1200. 2 CFR 180.220 and 180.220 and 180.300.
1200.220.
h.A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
1.Instructions for Certification—First Tier Participants: transaction that is not debarred,suspended,ineligible,or
voluntarily excluded from the covered transaction,unless it
a.By signing and submitting this proposal,the prospective knows that the certification is erroneous. 2 CFR 180.300;
first tier participant is providing the certification set out below. 180.320,and 180.325. A participant is responsible for
ensuring that its principals are not suspended,debarred,or
b.The inability of a person to provide the certification set out otherwise ineligible to participate in covered transactions. 2
below will not necessarily result in denial of participation in this CFR 180.335. To verify the eligibility of its principals,as well
covered transaction.The prospective first tier participant shall as the eligibility of any lower tier prospective participants,each
submit an explanation of why it cannot provide the certification participant may,but is not required to,check the System for
set out below.The certification or explanation will be Award Management website(https://www.sam.qov/). 2 CFR
considered in connection with the department or agency's 180.300, 180.320,and 180.325.
determination whether to enter into this transaction. However,
failure of the prospective first tier participant to furnish a i. Nothing contained in the foregoing shall be construed to
certification or an explanation shall disqualify such a person require the establishment of a system of records in order to
from participation in this transaction. 2 CFR 180.320. render in good faith the certification required by this clause.
The knowledge and information of the prospective participant
c.The certification in this clause is a material representation is not required to exceed that which is normally possessed by
of fact upon which reliance was placed when the contracting a prudent person in the ordinary course of business dealings.
agency determined to enter into this transaction.If it is later
determined that the prospective participant knowingly rendered j.Except for transactions authorized under paragraph(f)of
an erroneous certification,in addition to other remedies these instructions,if a participant in a covered transaction
available to the Federal Government,the contracting agency knowingly enters into a lower tier covered transaction with a
may terminate this transaction for cause of default. 2 CFR person who is suspended,debarred,ineligible,or voluntarily
180.325. excluded from participation in this transaction,in addition to
other remedies available to the Federal Government,the
d.The prospective first tier participant shall provide department or agency may terminate this transaction for cause
immediate written notice to the contracting agency to whom or default. 2 CFR 180.325.
this proposal is submitted if any time the prospective first tier
participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed
circumstances. 2 CFR 180.345 and 180.350.
11
2. Certification Regarding Debarment,Suspension, this transaction originated may pursue available remedies,
Ineligibility and Voluntary Exclusion—First Tier including suspension and/or debarment.
Participants:
c.The prospective lower tier participant shall provide
a. The prospective first tier participant certifies to the best of immediate written notice to the person to which this proposal is
its knowledge and belief,that it and its principals: submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of
(1) Are not presently debarred,suspended,proposed for changed circumstances. 2 CFR 180.365.
debarment,declared ineligible,or voluntarily excluded from
participating in covered transactions by any Federal d.The terms"covered transaction,""debarred,"
department or agency,2 CFR 180.335;. "suspended,""ineligible,""participant,""person,""principal,"
and"voluntarily excluded,"as used in this clause,are defined
(2) Have not within a three-year period preceding this in 2 CFR Parts 180,Subpart I, 180.900—180.1020,and 1200.
proposal been convicted of or had a civil judgment rendered You may contact the person to which this proposal is
against them for commission of fraud or a criminal offense in submitted for assistance in obtaining a copy of those
connection with obtaining,attempting to obtain,or performing regulations. "First Tier Covered Transactions"refers to any
a public(Federal,State,or local)transaction or contract under covered transaction between a recipient or subrecipient of
a public transaction;violation of Federal or State antitrust Federal funds and a participant(such as the prime or general
statutes or commission of embezzlement,theft,forgery, contract). "Lower Tier Covered Transactions"refers to any
bribery,falsification or destruction of records,making false covered transaction under a First Tier Covered Transaction
statements,or receiving stolen property,2 CFR 180.800; (such as subcontracts). "First Tier Participant"refers to the
participant who has entered into a covered transaction with a
(3) Are not presently indicted for or otherwise criminally or recipient or subrecipient of Federal funds(such as the prime or
civilly charged by a governmental entity(Federal,State or general contractor). "Lower Tier Participant"refers any
local)with commission of any of the offenses enumerated in participant who has entered into a covered transaction with a
paragraph(a)(2)of this certification,2 CFR 180.700 and First Tier Participant or other Lower Tier Participants(such as
180.800;and subcontractors and suppliers).
(4) Have not within a three-year period preceding this e.The prospective lower tier participant agrees by
application/proposal had one or more public transactions submitting this proposal that,should the proposed covered
(Federal,State or local)terminated for cause or default. 2 transaction be entered into,it shall not knowingly enter into
CFR 180.335(d). any lower tier covered transaction with a person who is
debarred,suspended,declared ineligible,or voluntarily
(5)Are not a corporation that has been convicted of a felony excluded from participation in this covered transaction,unless
violation under any Federal law within the two-year period authorized by the department or agency with which this
preceding this proposal(USDOT Order 4200.6 implementing transaction originated. 2 CFR 1200.220 and 1200.332.
appropriations act requirements);and
f.The prospective lower tier participant further agrees by
(6)Are not a corporation with any unpaid Federal tax liability submitting this proposal that it will include this clause titled
that has been assessed,for which all judicial and "Certification Regarding Debarment,Suspension, Ineligibility
administrative remedies have been exhausted,or have lapsed, and Voluntary Exclusion-Lower Tier Covered Transaction,"
and that is not being paid in a timely manner pursuant to an without modification,in all lower tier covered transactions and
agreement with the authority responsible for collecting the tax in all solicitations for lower tier covered transactions exceeding
liability(USDOT Order 4200.6 implementing appropriations act the$25,000 threshold. 2 CFR 180.220 and 1200.220.
requirements).
g.A participant in a covered transaction may rely upon a
b. Where the prospective participant is unable to certify to certification of a prospective participant in a lower tier covered
any of the statements in this certification,such prospective transaction that is not debarred,suspended,ineligible,or
participant should attach an explanation to this proposal. 2 voluntarily excluded from the covered transaction,unless it
CFR 180.335 and 180.340. 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
3.Instructions for Certification-Lower Tier Participants: the eligibility of any lower tier prospective participants,each
participant may,but is not required to,check the System for
(Applicable to all subcontracts,purchase orders,and other Award Management website(https://www.sam.gov/),which is
lower tier transactions requiring prior FHWA approval or compiled by the General Services Administration. 2 CFR
estimated to cost$25,000 or more-2 CFR Parts 180 and 180.300, 180.320,180.330,and 180.335.
1200). 2 CFR 180.220 and 1200.220.
h.Nothing contained in the foregoing shall be construed to
a.By signing and submitting this proposal,the prospective require establishment of a system of records in order to render
lower tier participant is providing the certification set out below. in good faith the certification required by this clause.The
knowledge and information of participant is not required to
b.The certification in this clause is a material representation exceed that which is normally possessed by a prudent person
of fact upon which reliance was placed when this transaction in the ordinary course of business dealings.
was entered into. If it is later determined that the prospective
lower tier participant knowingly rendered an erroneous i.Except for transactions authorized under paragraph e of
certification,in addition to other remedies available to the these instructions,if a participant in a covered transaction
Federal Government,the department,or agency with which knowingly enters into a lower tier covered transaction with a
person who is suspended,debarred,ineligible,or voluntarily
12
excluded from participation in this transaction,in addition to cooperative agreement,the undersigned shall complete and
other remedies available to the Federal Government,the submit Standard Form-LLL,"Disclosure Form to Report
department or agency with which this transaction originated Lobbying,"in accordance with its instructions.
may pursue available remedies,including suspension and/or
debarment. 2 CFR 180.325. 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
4. Certification Regarding Debarment,Suspension, U.S.C. 1352. Any person who fails to file the required
Ineligibility and Voluntary Exclusion--Lower Tier certification shall be subject to a civil penalty of not less than
Participants: $10,000 and not more than$100,000 for each such failure.
a.The prospective lower tier participant certifies,by 3.The prospective participant also agrees by submitting its
submission of this proposal,that neither it nor its principals: bid or proposal that the participant shall require that the
language of this certification be included in all lower tier
(1)is presently debarred,suspended,proposed for subcontracts,which exceed$100,000 and that all such
debarment,declared ineligible,or voluntarily excluded from recipients shall certify and disclose accordingly.
participating in covered transactions by any Federal
department or agency,2 CFR 180.355;
XII. USE OF UNITED STATES-FLAG VESSELS:
(2)is a corporation that has been convicted of a felony
violation under any Federal law within the two-year period This provision is applicable to all Federal-aid construction
preceding this proposal(USDOT Order 4200.6 implementing contracts,design-build contracts,subcontracts,lower-tier
appropriations act requirements);and subcontracts,purchase orders,lease agreements,or any other
covered transaction. 46 CFR Part 381.
(3)is a corporation with any unpaid Federal tax liability that
has been assessed,for which all judicial and administrative This requirement applies to material or equipment that is
remedies have been exhausted,or have lapsed,and that is acquired for a specific Federal-aid highway project. 46 CFR
not being paid in a timely manner pursuant to an agreement 381.7. It is not applicable to goods or materials that come into
with the authority responsible for collecting the tax liability. inventories independent of an FHWA funded-contract.
(USDOT Order 4200.6 implementing appropriations act
requirements) When oceanic shipments(or shipments across the Great
Lakes)are necessary for materials or equipment acquired for a
b.Where the prospective lower tier participant is unable to specific Federal-aid construction project,the bidder,proposer,
certify to any of the statements in this certification,such contractor,subcontractor,or vendor agrees:
prospective participant should attach an explanation to this
proposal. 1.To utilize privately owned United States-flag commercial
vessels to ship at least 50 percent of the gross tonnage
(computed separately for dry bulk carriers,dry cargo liners,
and tankers)involved,whenever shipping any equipment,
material,or commodities pursuant to this contract,to the
XI.CERTIFICATION REGARDING USE OF CONTRACT extent such vessels are available at fair and reasonable rates
FUNDS FOR LOBBYING for United States-flag commercial vessels. 46 CFR 381.7.
This provision is applicable to all Federal-aid construction 2.To furnish within 20 days following the date of loading for
contracts and to all related subcontracts which exceed shipments originating within the United States or within 30
$100,000. 49 CFR Part 20,App.A. working days following the date of loading for shipments
originating outside the United States,a legible copy of a rated,
1.The prospective participant certifies,by signing and 'on-board'commercial ocean bill-of-lading in English for each
submitting this bid or proposal,to the best of his or her shipment of cargo described in paragraph(b)(1)of this section
knowledge and belief,that: to both the Contracting Officer(through the prime contractor in
the case of subcontractor bills-of-lading)and to the Office of
a.No Federal appropriated funds have been paid or will be Cargo and Commercial Sealift(MAR-620),Maritime
paid,by or on behalf of the undersigned,to any person for Administration,Washington,DC 20590.(MARAD requires
influencing or attempting to influence an officer or employee of copies of the ocean carrier's(master)bills of lading,certified
any Federal agency,a Member of Congress,an officer or onboard,dated,with rates and charges.These bills of lading
employee of Congress,or an employee of a Member of may contain business sensitive information and therefore may
Congress in connection with the awarding of any Federal be submitted directly to MARAD by the Ocean Transportation
contract,the making of any Federal grant,the making of any Intermediary on behalf of the contractor). 46 CFR 381.7.
Federal loan,the entering into of any cooperative agreement,
and the extension,continuation,renewal,amendment,or
modification of any Federal contract,grant,loan,or
cooperative agreement.
b.If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
agency,a Member of Congress,an officer or employee of
Congress,or an employee of a Member of Congress in
connection with this Federal contract,grant,loan,or
13
ATTACHMENT A-EMPLOYMENT AND MATERIALS
PREFERENCE FOR APPALACHIAN DEVELOPMENT
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS
ROAD CONTRACTS(23 CFR 633,Subpart B,Appendix B)
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(1c)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.
14