HomeMy WebLinkAboutAgenda Report - July 20, 2022 C-13. CITY OF
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CALIFORNIA
AGENDA ITEM 40/3
COUNCIL COMMUNICATION
AGENDA TITLE: Adopt Resolution Authorizing City Manager to Execute Professional Services Agreement
with Michael Baker International, Inc., of Rancho Cordova, CA, for Labor Compliance
Services, Various Projects (NTE $100,000)
MEETING DATE: July 20, 2022
PREPARED BY: Public Works Director
RECOMMENDED ACTION: Adopt resolution authorizing City Manager to execute Professional
Services Agreement with Michael Baker International, Inc., of Rancho
Cordova, for labor compliance services, various City projects, in an
amount not -to -exceed $100,000.
BACKGROUND INFORMATION: The Public Works Department manages numerous state and federally
funded public works projects requiring labor compliance oversight. An on-
call agreement allows staff to comply with these stringent requirements by
employing a third party to complete the time consuming and time sensitive tasks.
Staff requested quotes from eight companies specializing in labor compliance, and received two written quotes.
This type of service allows for performance-based selection, and Michael Baker International, Inc. was deemed
most qualified.
The scope of service includes payroll review for compliance with prevailing wage rates, contractor interviews,
and timely communication with prime contractors to obtain the correct documents from prime contractors and
subcontractors. The City has previously contracted with Michael Baker International, Inc. on numerous other
projects, some highly complex, such as the Harney Lane Grade Separation and the Lockeford Street Widening
project, and their performance was prompt, professional, and thorough. The initial term of the Professional
Services Agreement is three years, with two optional one-year extensions. The total cost for this work is not -
to -exceed $100,000, over five years, if all extensions are executed.
Staff recommends authorizing City Manager to execute the Professional Services Agreement with Michael Baker
International, Inc., of Rancho Cordova, for labor compliance services, in an amount not -to -exceed $100,000.
FISCAL IMPACT: If labor compliance requirements are not met, the City could jeopardize state and
federal funding for public works projects. This project is not anticipated to impact
the General Fund.
FUNDING AVAILABLE: The cost for this work will be allocated on a project -by -project basis.
a, n in
Charles E. Swimley, Jr.
Public Works Director
Prepared by: Julia Tyack, Transportation Manager
CES/JMT/cd
Attachment
APPROVED: Steve Schwabauer
Stephen Schwabauer, City Manager
\\cvcfilv02\pubwks$\WP\PROJECTS\0. Labor Compliance Services\2022 RFP for Payroll Review Assistance\CC_ PW Labor Compliance Service 2022.docx 6/28/2022
AGREEMENT FOR PROFESSIONAL SERVICES
ARTICLE 1
PARTIES AND PURPOSE
Section 1.1 Parties
THIS AGREEMENT is entered into on , 2022, by and between the
CITY OF LODI, a municipal corporation (hereinafter "CITY"), and MICHAEL BAKER
INTERNATIONAL, INC. a Pennsylvania corporation, qualified to do business in
California (hereinafter "CONTRACTOR").
Section 1.2 Purpose
CITY selected the CONTRACTOR to provide the services required in
accordance with attached Scope of Services, Exhibit A, attached and incorporated by
this reference.
CITY wishes to enter into an agreement with CONTRACTOR for Labor
Compliance Services (hereinafter "Project") as set forth in the Scope of Services
attached here as Exhibit A. CONTRACTOR acknowledges that it is qualified to provide
such services to CITY.
ARTICLE 2
SCOPE OF SERVICES
Section 2.1 Scope of Services
CONTRACTOR, for the benefit and at the direction of CITY, shall perform the
Scope of Services as set forth in Exhibit A. CONTRACTOR'S Scope of Services will be
performed in accordance with generally accepted professional practices and principles
and in a manner consistent with the level of care and skill ordinarily exercised by
members of the profession currently practicing under similar conditions (the "Standard of
Care").
Section 2.2 Time For Commencement and Completion of Work
CONTRACTOR shall commence work pursuant to this Agreement, upon receipt
of a written notice to proceed from CITY or on the date set forth in Section 2.6,
whichever occurs first, and shall perform all services diligently and complete work under
this Agreement based on a mutually agreed upon timeline or as otherwise designated in
the Scope of Services.
CONTRACTOR shall submit to CITY such reports, diagrams, drawings and other
work products as may be designated in the Scope of Services.
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CONTRACTOR shall not be responsible for delays caused by the failure of CITY
staff to provide required data or review documents within the appropriate time frames.
The review time by CITY and any other agencies involved in the project shall not be
counted against CONTRACTOR's contract performance period. Also, any delays due to
weather, vandalism, acts of God, and other forces outside of CONTRACTOR'S control,
etc., shall not be counted. CONTRACTOR shall remain in contact with reviewing
agencies and make all efforts to review and return all comments.
Section 2.3 Meetings
CONTRACTOR shall attend meetings as may be set forth in the Scope of
Services.
Section 2.4 Staffing
CONTRACTOR acknowledges that CITY has relied on CONTRACTOR's
capabilities and on the qualifications of CONTRACTOR's principals and staff as
identified in its proposal to CITY. The Scope of Services shall be performed by
CONTRACTOR, unless agreed to otherwise by CITY in writing. CITY shall be notified
by CONTRACTOR of any change of Project Manager and CITY is granted the right of
approval of all original, additional and replacement personnel at CITY's sole discretion
and shall be notified by CONTRACTOR of any changes of CONTRACTOR's project staff
prior to any change. Approval by CITY shall not be unreasonably withheld, delayed or
conditioned.
CONTRACTOR represents it is prepared to and can perform all services within
the Scope of Services (Exhibit A) and is prepared to and can perform all services
specified therein. CONTRACTOR represents that it has, or will have at the time this
Agreement is executed, all licenses, permits, qualifications, insurance and approvals of
whatsoever nature are legally required for CONTRACTOR to practice its profession, and
that CONTRACTOR shall, at its own cost and expense, keep in effect during the life of
this Agreement all such licenses, permits, qualifications, insurance and approvals, and
shall indemnify, defend and hold harmless CITY against any costs associated with such
licenses, permits, qualifications, insurance and approvals which may be imposed against
CITY under this Agreement.
Section 2.5 Subcontracts
Unless prior written approval of CITY is obtained, CONTRACTOR shall not enter
into any subcontract with any other party for purposes of providing any work or services
covered by this Agreement.
Section 2.6 Term
VA
The term of this Agreement commences on August 1, 2022 and terminates upon
the completion of the Scope of Services or on July 31, 2025, whichever occurs first.
Section 2.7 Option to Extend Term of Agreement
At its option, CITY may extend the terms of this Agreement for an additional two
(2) one (1) -year extensions; provided, CITY gives CONTRACTOR no less than thirty
(30) days written notice of its intent prior to expiration of the existing term. In the event
CITY exercises any option under this paragraph, all other terms and conditions of this
Agreement continue and remain in full force and effect.
The total duration of this Agreement, including the exercise of any option under
this paragraph, shall not exceed five (5) years.
ARTICLE 3
COMPENSATION
Section 3.1 Compensation
CONTRACTOR's compensation for all work under this Agreement shall conform
to the provisions of the Fee Proposal, attached hereto as Exhibit B and incorporated by
this reference.
CONTRACTOR shall not undertake any work beyond the scope of this
Agreement unless such additional work is approved in advance and in writing by CITY.
Section 3.2 Method of Payment
CONTRACTOR shall submit invoices for completed work on a monthly basis, or
as otherwise agreed, providing, without limitation, details as to amount of hours,
individual performing said work, hourly rate, and indicating to what aspect of the Scope
of Services said work is attributable. CONTRACTOR's compensation for all work under
this Agreement shall not exceed the amount of the Fee Proposal. Payment to
CONTRACTOR shall be made within thirty (30) days of a properly submitted monthly
invoice. CITY shall not withhold from payment any undisputed amounts.
Section 3.3 Costs
The Fee Proposal shall include all reimbursable costs required for the
performance of the Scope of Services. Payment of additional reimbursable costs
considered to be over and above those inherent in the original Scope of Services shall
be approved in advanced and in writing, by CITY.
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Section 3.4 Auditing
CITY reserves the right to periodically audit all charges made by CONTRACTOR
to CITY for services under this Agreement. Upon request, CONTRACTOR agrees to
furnish CITY, or a designated representative, with necessary information and assistance
needed to conduct such an audit.
CONTRACTOR agrees that CITY or its delegate will have the right to review,
obtain and copy all records pertaining to performance of this Agreement.
CONTRACTOR agrees to provide CITY or its delegate with any relevant information
requested and shall permit CITY or its delegate access to its premises, upon reasonable
notice, during normal business hours for the purpose of interviewing employees and
inspecting and copying such books, records, accounts, and other material that may be
relevant to a matter under investigation for the purpose of determining compliance with
this requirement. CONTRACTOR further agrees to maintain such records for a period of
three (3) years after final payment under this Agreement.
ARTICLE 4
MISCELLANEOUS PROVISIONS
Section 4.1 Nondiscrimination
In performing services under this Agreement, CONTRACTOR shall not
discriminate in the employment of its employees or in the engagement of any sub
CONTRACTOR on the basis of race, color, religion, sex, sexual orientation, marital
status, national origin, ancestry, age, or any other criteria prohibited by law.
Section 4.2 ADA Compliance
In performing services under this Agreement, CONTRACTOR shall comply with
the Americans with Disabilities Act (ADA) of 1990, and all amendments thereto, as well
as all applicable regulations and guidelines issued pursuant to the ADA.
Section 4.3 Indemnification and Remonsibillity for Damage
CONTRACTOR to the fullest extent permitted by law, shall indemnify and hold
harmless CITY, its elected and appointed officials, directors, officers, employees and
volunteers from and against any claims, damages, losses, and expenses (including
reasonable attorney's fees and costs), arising out of performance of the services to be
performed under this Agreement, provided that any such claim, damage, loss, or
expense is caused by the negligent acts, errors or omissions of CONTRACTOR, any
subcontractor employed directly by CONTRACTOR, anyone directly or indirectly
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employed by any of them, or anyone for whose acts they may be liable, except those
injuries or damages arising out of the active negligence, sole negligence, or sole willful
misconduct of the City of Lodi, its elected and appointed officials, directors, officers,
employees and volunteers. CITY may, at its election, conduct the defense or participate
in the defense of any claim related in any way to this indemnification. If CITY chooses at
its own election to conduct its own defense, participate in its own defense, or obtain
independent legal counsel in defense of any claim related to this indemnification,
CONTRACTOR shall pay all of the costs related thereto, including without limitation
reasonable attorney fees and costs. The defense and indemnification obligations
required by this Agreement are undertaken in addition to, and shall not in any way be
limited by the insurance obligations set forth herein.
Section 4.4 No Personal Liability
Neither the City Council, nor any other officer or authorized assistant or agent or
City employee shall be personally responsible for any liability arising under this
Agreement.
Section 4.5 Responsibility of CITY
CITY shall not be held responsible for the care or protection of any material or
parts of the work described in the Scope of Services prior to delivery to the CITY, except
as expressly provided herein.
Section 4.6 Insurance Requirements for CONTRACTOR
CONTRACTOR shall take out and maintain during the life of this Agreement,
insurance coverage as set forth in Exhibit C attached hereto and incorporated by this
reference.
Section 4.7 Successors and Assi-ns
CITY and CONTRACTOR each bind themselves, their partners, successors,
assigns, and legal representatives to this Agreement without the written consent of the
others. CONTRACTOR shall not assign or transfer any interest in this Agreement
without the prior written consent of CITY. Consent to any such transfer shall be at the
sole discretion of CITY.
Section 4.8 Notices
Any notice required to be given by the terms of this Agreement shall be in writing
signed by an authorized representative of the sender and shall be deemed to have been
given when the same is personally served or upon receipt by express or overnight
delivery, postage prepaid, or three (3) days from the time of mailing if sent by first class
or certified mail, postage prepaid, addressed to the respective parties as follows:
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To CITY: City of Lodi
221 West Pine Street
P.O. Box 3006
Lodi, CA 95241-1910
Attn: Julia Tyack
To CONTRACTOR: Michael Baker International, Inc.
2729 Prospect Drive, Suite 220
Rancho Cordova, CA 95670
Section 4.9 Cooperation of CITY
CITY shall cooperate fully and in a timely manner in providing relevant
information it has at its disposal relevant to the Scope of Services.
Section 4.10 CONTRACTOR is Not an Employee of CITY
CONTRACTOR agrees that in undertaking the duties to be performed under this
Agreement, it shall act as an independent contractor for and on behalf of CITY and not
an employee of CITY. CITY shall not direct the work and means for accomplishment of
the services and work to be performed hereunder. CITY, however, retains the right to
require that work performed by CONTRACTOR meet standard of care without regard to
the manner and means of accomplishment thereof.
Section 4.11 Termination
CITY may terminate this Agreement, with or without cause, by giving
CONTRACTOR at least ten (10) days written notice. Where phases are anticipated
within the Scope of Services, at which an intermediate decision is required concerning
whether to proceed further, CITY may terminate at the conclusion of any such phase.
Upon termination, CONTRACTOR shall be entitled to payment as set forth in the
attached Exhibit B to the extent that the work has been performed. Upon termination,
CONTRACTOR shall immediately suspend all work on the Project and deliver any
documents or work in progress to CITY. However, CITY shall assume no liability for
costs, expenses or lost profits resulting from services not completed or for contracts
entered into by CONTRACTOR with third parties in reliance upon this Agreement.
Section 4.12 Confidentiality
CONTRACTOR agrees to maintain confidentiality of all work and work products
produced under this Agreement, except to the extent otherwise required by law or
permitted in writing by CITY. CITY agrees to maintain confidentiality of any documents
owned by CONTRACTOR and clearly marked by CONTRACTOR as "Confidential' or
"Proprietary", except to the extent otherwise required by law or permitted in writing by
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CONTRACTOR. CONTRACTOR acknowledges that CITY is subject to the California
Public Records Act.
Section 4.13 Applicable Law, Jurisdiction, Severability, and Attorney_'s Fees
This Agreement shall be governed by the laws of the State of California.
Jurisdiction of litigation arising from this Agreement shall be venued with the San
Joaquin County Superior Court. If any part of this Agreement is found to conflict with
applicable laws, such part shall be inoperative, null, and void insofar as it is in conflict
with said laws, but the remainder of this Agreement shall be in force and effect. In the
event any dispute between the parties arises under or regarding this Agreement, the
prevailing party in any litigation of the dispute shall be entitled to reasonable attorney's
fees from the party who does not prevail as determined by the San Joaquin County
Superior Court.
Section 4.14 City Business License Requirement
CONTRACTOR acknowledges that Lodi Municipal Code Section 3.01.020
requires CONTRACTOR to have a city business license and CONTRACTOR agrees to
secure such license and pay the appropriate fees prior to performing any work
hereunder.
Section 4.15 Captions
The captions of the sections and subsections of this Agreement are for
convenience only and shall not be deemed to be relevant in resolving any question or
interpretation or intent hereunder.
Section 4.16 Integration and Modification
This Agreement represents the entire understanding of CITY and
CONTRACTOR as to those matters contained herein. No prior oral or written
understanding shall be of any force or effect with respect to those matters covered
hereunder. This Agreement may not be modified or altered except in writing, signed by
both parties.
Section 4.17 Contract Terms Prevail
All exhibits and this Agreement are intended to be construed as a single
document. Should any inconsistency occur between the specific terms of this
Agreement and the attached exhibits, the terms of this Agreement shall prevail.
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Section 4.18 Severability
The invalidity in whole or in part of any provision of this Agreement shall not void
or affect the validity of any other provision of this Agreement.
Section 4.19 Ownership of Documents
All documents, photographs, reports, analyses, audits, computer media, or other
material documents or data, and working papers, whether or not in final form, which
have been obtained or prepared under this Agreement, shall be deemed the property of
CITY. Upon CITY's request, CONTRACTOR shall allow CITY to inspect all such
documents during CONTRACTOR's regular business hours. Upon termination or
completion of services under this Agreement, all information collected, work product and
documents shall be delivered by CONTRACTOR to CITY within ten (10) calendar days.
CITY agrees to indemnify, defend and hold CONTRACTOR harmless from any
liability resulting from CITY's use of such documents for any purpose other than the
purpose for which they were intended.
Section 4.20 Authority
The undersigned hereby represent and warrant that they are authorized by the
parties to execute this Agreement.
Section 4.21 Federal Transit Funding Conditions
® If the box at left is checked, the Federal Transit Funding conditions attached as
Exhibit D apply to this Agreement. In the event of a conflict between the terms of this
Agreement or any of its other exhibits, and the Federal Transit Funding Conditions, the
Federal Transit Funding Conditions will control.
Section 4.22 Counterparts and Electronic Signatures
This Agreement and other documents to be delivered pursuant to this Agreement
may be executed in one or more counterparts, each of which will be deemed to be an
original copy and all of which, when taken together, will be deemed to constitute one and
the same agreement or document, and will be effective when counterparts have been
signed by each of the parties and delivered to the other parties. Each party agrees that
the electronic signatures, whether digital or encrypted, of the parties included in this
Agreement are intended to authenticate this writing and to have the same force and
effect as manual signatures. Delivery of a copy of this Agreement or any other document
contemplated hereby, bearing an original manual or electronic signature by facsimile
transmission (including a facsimile delivered via the Internet), by electronic mail in
"portable document format" (".pdf') or similar format intended to preserve the original
graphic and pictorial appearance of a document, or through the use of electronic
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signature software will have the same effect as physical delivery of the paper document
bearing an original signature.
4.23 Waiver of Consequential Damages
Neither party shall have any claim or right against the other, whether in contract,
warranty, tort (including negligence), strict liability or otherwise, for any special, indirect,
incidental, or consequential damages of any kind or nature whatsoever, such as but not
limited to loss of revenue, loss of profits on revenue, loss of customers or contracts, loss
of use of equipment or loss of data, work interruption, increased cost of work or cost of
any financing, howsoever caused, even if same were reasonably foreseeable.
IN WITNESS WHEREOF, CITY and CONTRACTOR have executed this
Agreement as of the date first above written.
ATTEST:
OLIVIA NASHED
City Clerk
APPROVED AS TO FORM:
JANICE D. MAGDICH, City Attorney
CITY OF LODI, a municipal corporation
STEPHEN SCHWABAUER
City Manager
MICHAEL BAKER INTERNATIONAL,
a Pennsylvania corporation
By: I _, . By:
Name:
Title:
Attachments:
Exhibit A — Scope of Services
Exhibit B — Fee Proposal
Exhibit C — Insurance Requirements
Exhibit D — Federal Transit Funding Conditions (if applicable)
Funding Source:
(Business Unit & Account No.)
Doc
I D:file://Mcvcfilv02\pubwks$\WP\PROJECTS\0.%20Labor%20Compliance%20Services\2022%20RFP%20fo
r%20Payroll%2OReview%2OAssistance\6. %20PSA%2ODocs\PSA%2OM ichael%2OBaker. doc
CA:Rev.06.2022.CA
9
Exhibit A/B
We Make a Difference
I N T E R N AT 1 0 N A L
March 3, 2022
Julia Tyack, Transportation Planner
City of Lodi
221 West Pine Street
Lodi, CA 95240
RE: RESPONSE TO RFP FOR LABOR COMPLIANCE REVIEW ASSISTANCE
Dear Ms. Tyack:
Michael Baker International, Inc. (Michael Baker) is pleased to submit our proposal for labor compliance review
assistance to the City of Lodi in its federally funded public works capital improvement projects. Michael Baker is
an experienced consultant that provides talented and hard-working staff to supplement local resources. Michael
Baker has supported the City's Community Development Department and Community Development Block Grant
(CDBG) program since 2006 and has provided labor compliance review and assistance to its Public Works
Department for over six years.
Michael Baker's project team has considerable experience providing labor compliance review assistance and
specializes in working closely with agency or City staff. In the last twelve months, Michael Baker has provided
labor compliance review assistance to the following public agencies:
• City of Lodi City of South San Francisco
• City of Rancho Cordova City of Norwalk
• City of Long Beach City of Monterey
• City of Union City
We appreciate the opportunity to submit our proposal for this project and look forward to answering any
questions you may have. Project Manager Susan Veazey may be contacted at (916) 517-4423, or by email at
susan.veazey@mbakerintl.com, in the event any clarification is needed regarding the contents of our proposal.
The information submitted in and with this proposal is true and accurate.
Sincerely,
MICHAEL BAKER INTERNATIONAL, INC.
Susan Salley Veazey
Project Manager
MBAKER] NTL.COM
r
Ali Seyedmadani
Vice President (authorized to bid)
2729 Prospect Park Drive, Suite 220 Rancho Cordova, CA 95670
P: (916) 361-8384 F: (916) 361-1574
CITY OF LODI LABOR COMPLIANCE REVIEW ASSISTANCE
Page 2
PROJECT UNDERSTANDING
We understand that the City needs labor compliance monitoring review assistance for the City Public Works
capital improvement projects. We understand tasks will include, but not be limited to, payroll review for
compliance with Section 3 requirements, prevailing wage rates, contractor interviews, timely communication
with prime contractors to obtain the correct documents from prime contractors and subcontractors, and
attendance at pre -construction meetings to prepare prime contractors with labor compliance requirements.
Based on services previously provided to the City of Lodi and other clients, the specific tasks to be performed by
Michael Baker in monitoring the proposed construction activities for compliance with applicable federal and
state prevailing wage requirements are as follows:
• Attendance at the pre -construction meeting to prepare prime contractors with labor compliance
requirements
• Monitor compliance with labor, subcontracting (if applicable), and apprenticeship laws.
• Verify posting of required labor information and posters; provide photographic evidence.
• Conduct contractor interviews at the job sites at a frequency and quantity as required by applicable
regulations using the questions on the HUD -11 employee interview form; investigate any discrepancies
between interview and submitted payrolls.
• Weekly payroll review of forms and related documentation submitted by the contractor and
subcontractors (if applicable) for compliance with state prevailing wage and/or federal Davis -Bacon
requirements; procure all payroll certification forms.
• Check wage compliance in formats showing the method and calculations of verification to be filed with
payrolls.
• Check and verify apprentice classifications and use, as well as equivalent service classifications and
actual activity.
• Provide Disadvantaged Business Enterprise (DBE) compliance assistance, as needed.
• Prepare and maintain individual files for each contractor and subcontractor (if applicable) containing all
the necessary labor compliance documentation, interview results, and wage rate processing calculation
sheets.
• Investigate and pursue wage discrepancies as they are discovered.
• Receive and document all labor compliance complaints and actions taken.
• Ensure that all labor compliance complaints, supplemental wage payments, and other labor standards
enforcement documentation are placed in contractor files.
• Maintain timely communication between the City and the prime contractor regarding compliance with
applicable regulations, including all delinquent items, using "certified mail' letters, and coordinate with
City staff for withholding payments.
• Request and compare inspection logs against submitted certified payrolls for consistency.
• Prepare all forms required by the City for file review.
• Conduct file review with City staff at conclusion of project.
M B A K E R I N T L C O M 2729 Prospect Park Drive, Suite 220 Rancho Cordova, CA 95670
P: (916) 361-8384 F: (916) 361-1574
CITY OF LODI LABOR COMPLIANCE REVIEW ASSISTANCE Page 3
PROJECT TEAM
The project team will be led by Susan Veazey, our Northern California Planning Department Manager. Day-to-
day operations will be overseen by Labor Compliance Officer Sandra Lee.
Susan Veazey, Project Manager
Ms. Veazey has over two decades of housing and community development experience spanning the public and
private sectors, providing her with the ability to understand a wide variety of perspectives and goals. Ms. Veazey
began her career as a Presidential Management Fellow with HUD, where she participated in the promulgation
of regulations and the development of impactful housing programs including the HOME program. As a land use
economics consultant, she managed complex feasibility and development impact studies as well as housing
element updates, inclusionary zoning, and market studies. Her local government experience includes
implementation of affordable housing and community development programs for both single-family ownership
and multifamily rental housing using HUD entitlement and non -entitlement funds, i.e., HOME, CDBG, Emergency
Solutions Grants, and Housing Opportunities for Persons With AIDS. In addition, she has both policy and
implementation experience with locally generated resources via local housing trust funds, inclusionary zoning.
Sandra Lee, Principal Analyst
Ms. Lee has successfully enforced Labor Compliance requirements for various Public Works Projects throughout
California, monitored Local Jobs Programs for City of Los Angeles projects and Local and Targeted Worker Hiring
Programs for County of Los Angeles projects. She has assisted contractors to meet their Section 3 contractual
goals with federally funded Public Works Projects. Ms. Lee has achieved timely compliance close-outs for all the
projects that she monitored.
FEE SCHEDULE
Given that the City has not yet identified specific projects, Michael Baker can only provide hourly rates for our
staff. As assistance is required, we can provide services authorizations for the City's consideration and approval.
Current rates are provided below and are subject to 5% annual increases, effective on January 1 of successive
years.
Susan Salley Veazey, Project Manager
Sandra Lee, Principal Analyst
$240 Not to Exceed $100,000
$110
CONTRACTING WITH MICHAEL BAKER
Michael Baker appreciates the opportunity to review and provide any comments to the sample professional
services agreement. We respectfully request consideration of the following comments, due to insurance
commercially available, the professional standard of care required by be observed, terms which can be outside
the parties' control to effect, and professional experience. Michael Baker will work with the City to come to
agreement on final contractual terms.
Section 2.1 (Scope of Services) — Due to the professional standard of care required for the provision of planning
services, modification of this clause is requested to include the common-law professional standard of care as
follows: "Contractor shall perform the Scope of Services as set out in Exhibit A. Contractor's Scope of Services
will be performed in accordance with generally accepted professional practices and principles and in a manner
consistent with the level of care and skill ordinarily exercised by members of the profession currently practicing
under similar conditions (the "Standard of Care")."
M B A K E R I N T L C O M 2729 Prospect Park Drive, Suite 220 Rancho Cordova, CA 95670
P: (916) 361-8384 F: (916) 361-1574
CITY OF LODI LABOR COMPLIANCE REVIEW ASSISTANCE Page 4
Section 2.2 (Time for Commencement and Completion of Work), Paragraph three — The inclusion of the force
majeure clause is appreciated, and if possible, it is requested that the phrase "and other forces outside of
Contractor's control" be added after "acts of God".
Section 2.4 (Staffing) — Addition of the following sentence is requested as regards the City's sole discretion
rights: "Approval by City shall not be unreasonably withheld, delayed or conditioned."
Section 3.2 (Method of Payment) — Addition of a reasonably timeline for payment of invoices is requested as
follows: "Payment to Contractor shall be made within thirty (30) days of a properly submitted monthly
invoice. City shall not withhold from payment any undisputed amounts."
Section 4.5 (Responsibility of City) — Modification of the phrase "final acceptance by City" is requested to
"delivery to the City". We cannot be responsible for the care and protection of documents delivered to the City
prior to written acceptance by the City.
Section 4.10 (Contractor is Not an Employee of City) — Modification of the term "specific standards" is requested
to "Standard of Care" for the same reason as stated under Section 2.1 above.
New Section 4.23 —Addition of the following clause is requested to address circumstances which are outside the
control of the contracting parties to effect: "Waiver of Consequential Damages. Neither party shall have any
claim or right against the other, whether in contract, warranty, tort (including negligence), strict liability or
otherwise, for any special, indirect, incidental, or consequential damages of any kind or nature whatsoever, such
as but not limited to loss of revenue, loss of profits on revenue, loss of customers or contracts, loss of use of
equipment or loss of data, work interruption, increased cost of work or cost of any financing, howsoever caused,
even if same were reasonably foreseeable."
Finally, although the insurance requirements of the City were not included with the sample PSA, Michael Baker
has been able to meet the City's requirements as to types and limits in the past, and anticipate being able to do
the same for this Labor Compliance project.
Michael Baker appreciates review and consideration of the City of the above, and again will work with the City
to come to agreement on terms.
ATTACHMENTS
Signed Federal Certifications and Forms
M B A K E R I N T L C O M 2729 Prospect Park Drive, Suite 220 Rancho Cordova, CA 95670
P: (916) 361-8384 F: (916) 361-1574
DEPARTMENT MANAGER - PLANNING
Susan S. Veazey
INTERNATIONAL
RELEVANT EXPERIENCE
Previous Work History
Sacramento Housing and Redevelopment Agency, California. 2016 - 2021. Responsible for the allocation of grant resources for the
development of affordable multifamily rental housing in the City and County of Sacramento. Oversaw a team of professionals who collectively
carry out all aspects of single and multifamily lending, loan servicing, and long-term compliance. Coordinated with a wide variety of stakeholders
including developers, government staff and elected officials. Also served as the liaison with the State Housing and Community Development
Department on SB2 (PLHA) funds. Is experienced working with all sources of affordable housing funding including HOME, CDBG, local housing
trust funds, Mortgage Revenue Bonds, Low Income Housing Tax Credits, MHSA, Project -based Vouchers, and AHSC. Worked with City and
County staff on Housing Element updates and annual reports. As Acting Assistant Director, oversaw the preparation of a successful
Transformative Climate Communities grant to support the redevelopment of a public housing site and install a new light rail station.
Department of Defense, Office of Local Defense Community Cooperation (formerly Office of Economic Adjustment), Sacramento,
California, 2015 - 2016. Provided technical supportto states and local governments whose members are impacted by funding levels and actions
taken by the Department of Defense. Worked with public sector and academic officials to design programs of assistance using federal grant
funding in compliance with 2 CFR 200. Grantees included Coconino County, the University of Utah, the City of Seal Beach, and the City of San
Diego.
U.S. Dept. of Housing and Urban Development, Field and Regional Offices, San Francisco, California, 2009 - 2013. Worked for the San
Francisco Multifamily Hub overseeing a team of asset managers who collectively handled the servicing and compliance associated with a portfolio
of over 500 federally financed or subsidized apartment communities.
Economic and Planning Systems, Inc., Sacramento, California, 2005.2009. Worked as a land use economics consultant for a variety of
public and private -sector clients. Representative works include the Housing Element Update for the City of Winters, a housing fee study for the
City of Goleta, and a comprehensive redevelopment study for Placer County's Kings Beach. Conducted financial feasibility studies for market -
rate developers and oversaw the firm's affordable housing practice area.
County of Santa Barbara, California. 1994 -1997. Established the County of Santa Barbara's HOME Program consortium including the cities
of Lompoc, Santa Maria, and Carpinteria. In addition, designed and implemented the County's first homebuyer loan program for low-income
households.
U.S. Dept. of Housing and Urban Development, Headquarters, Washington D.C., 1990 -1994. Participated in drafting regulations for
major housing programs including the Low -Income Housing Preservation and Resident Homeownership Act, mortgage insurance risk sharing,
and HOME Investment Partnerships Program. Developed technical assistance documents for HOME Program participants including the
Environmental Review and Manufactured Housing Notices. As a Presidential Management Fellow, held rotational assignments with the
California State Department of Housing and Community Development, GinnieMae, and the Local Initiatives Support Corporation.
Ms. Veazey has over two decades of housing and community
years with Michael Baker
development experience spanning the public and private
.1
sectors. Her breadth of experience provides her the ability to
understand a wide variety of perspectives and goals. Ms.
24 ars of Experience
Veazey began her career as a Presidential Management
Education
Fellow with the U.S. Department of Housing and Urban Development (HUD) where
M.A. 1990, Urban Planning, University of California,
she participated in the promulgation of regulations and the development of impactful
Los Angeles
housing programs including the HOME Investment Partnerships Program. As a land
B.A. 1987, International Relations, University of
use economics consultant, she managed complex feasibility and development
1
Davis
impact studies as well as Housing Element Updates, inclusionary zoning and market
;California,
studies. Her local government experience includes implementation of affordable
housing and community development programs for both single family ownership and
multifamily rental housing using HUD entitlement and non -
entitlement funds - HOME, CDBG, ESG, and HOPWA. In addition, she has both policy and implementation experience with locally -generated
resources via local housing trust funds, inclusionary zoning programs, and competitive funding mechanisms.
RELEVANT EXPERIENCE
Previous Work History
Sacramento Housing and Redevelopment Agency, California. 2016 - 2021. Responsible for the allocation of grant resources for the
development of affordable multifamily rental housing in the City and County of Sacramento. Oversaw a team of professionals who collectively
carry out all aspects of single and multifamily lending, loan servicing, and long-term compliance. Coordinated with a wide variety of stakeholders
including developers, government staff and elected officials. Also served as the liaison with the State Housing and Community Development
Department on SB2 (PLHA) funds. Is experienced working with all sources of affordable housing funding including HOME, CDBG, local housing
trust funds, Mortgage Revenue Bonds, Low Income Housing Tax Credits, MHSA, Project -based Vouchers, and AHSC. Worked with City and
County staff on Housing Element updates and annual reports. As Acting Assistant Director, oversaw the preparation of a successful
Transformative Climate Communities grant to support the redevelopment of a public housing site and install a new light rail station.
Department of Defense, Office of Local Defense Community Cooperation (formerly Office of Economic Adjustment), Sacramento,
California, 2015 - 2016. Provided technical supportto states and local governments whose members are impacted by funding levels and actions
taken by the Department of Defense. Worked with public sector and academic officials to design programs of assistance using federal grant
funding in compliance with 2 CFR 200. Grantees included Coconino County, the University of Utah, the City of Seal Beach, and the City of San
Diego.
U.S. Dept. of Housing and Urban Development, Field and Regional Offices, San Francisco, California, 2009 - 2013. Worked for the San
Francisco Multifamily Hub overseeing a team of asset managers who collectively handled the servicing and compliance associated with a portfolio
of over 500 federally financed or subsidized apartment communities.
Economic and Planning Systems, Inc., Sacramento, California, 2005.2009. Worked as a land use economics consultant for a variety of
public and private -sector clients. Representative works include the Housing Element Update for the City of Winters, a housing fee study for the
City of Goleta, and a comprehensive redevelopment study for Placer County's Kings Beach. Conducted financial feasibility studies for market -
rate developers and oversaw the firm's affordable housing practice area.
County of Santa Barbara, California. 1994 -1997. Established the County of Santa Barbara's HOME Program consortium including the cities
of Lompoc, Santa Maria, and Carpinteria. In addition, designed and implemented the County's first homebuyer loan program for low-income
households.
U.S. Dept. of Housing and Urban Development, Headquarters, Washington D.C., 1990 -1994. Participated in drafting regulations for
major housing programs including the Low -Income Housing Preservation and Resident Homeownership Act, mortgage insurance risk sharing,
and HOME Investment Partnerships Program. Developed technical assistance documents for HOME Program participants including the
Environmental Review and Manufactured Housing Notices. As a Presidential Management Fellow, held rotational assignments with the
California State Department of Housing and Community Development, GinnieMae, and the Local Initiatives Support Corporation.
Team Member since 2019
RELEVANT EXPERIENCE
Sandra Lee
Labor Compliance Officer
INTERNATIONAL
Ms. Lee will serve as the Labor Compliance Officer for the Project. She will provide daily monitoring of each
contractor's compliance requirements with the project. She has successfully enforced Labor Compliance
requirements for various Public Works Projects throughout Southern California, monitored Local Jobs
Programs for City of Los Angeles projects and Local and Targeted Worker Hiring Programs for County of Los
Angeles projects. She has assisted contractors to meet their Section 3 contractual goals with federally funded
Public Works Projects. Ms. Lee has achieved timely compliance close-outs for all the projects that she
monitored.
Education
Business Administration, Contract Compliance, Morgan State University, Baltimore, MD
Berths 167-169 Oil Terminal, Port of Los Angeles. Jobs Coordinator — Enforce and monitoring of the Port of Los Angeles Project Labor
Agreement. Develop and provide effective Local and Targeted Worker hiring strategies to contractors so that they may meet/exceed their
contractual goals. Responsible of monthly and project -end reporting of contractor -specific and project -wide PLA requirements and goals.
City of Culver City. Served as the Labor Compliance Officer for the State -funded Realignment of Streets and Stormwater Treatment Pipes
Project. Monitored compliance requirements of a total of 28 contractors.
City of EI Monte. Serving as the Labor Compliance Officer for the State -funded Water Main Replacement Project. Monitoring labor standards
and Continuity Workforce Agreement requirments of contractors.
City of Lawndale. Serving as the Labor Compliance Officer for the CDBG -funded projects. Monitoring Labor Compliance and Section 3
requirments of all contractors. Update and submit semi-annual and annual New Hire reporting to HUD on behalf of City. Respresenting the City
at Los Angeles Community Development Authority file review.
City of Torrance. Serving as the Labor Compliance Officer for the CDBG- funded projects. Monitoring labor compliance and Section 3
requirments of all contractors. Reporting to the County of Los Angeles County Development Authority on behalf of the City.
City of Union City. Serving as the Labor Compliance Officer for the CDBG -funded Contempo Park Improvements Project. Monitoring Section
3 requirments for all contractors. Update and submit semi-annual and annual New Hire reporting to HUD on behalf of City.
Housing Authority of City of Benicia. Served as the Labor Compliance Officer for the CDBG -funded Casa de la Vilarrasa I & II Reroofing
Project. Monitored Labor Compliance and Section 3 requirments of all contractors. Represented the Housing Authority at HUD Audit.
City of Redondo Beach. Serving as the Labor Compliance Officer for the CDBG-funded project. Responsibilities in conducting employee
interviews, reviewing certified payroll reports, and monitoring Section 3 and apprentice requirements. To represent the City at HUD Audit.
City of Rosemead. Served as the Labor Compliance Officer for the CDBG- funded Garvey Park Restroom Renovation Project. Monitoring
Section 3 requirments for all contractors. Completed HUD Audit on behalf of the City.
City of Norwalk. Served as the Labor Compliance Officer for the CDBG Local Streets Rehbilitation Project. Monitored Section 3 requirments of
applicable contractors.
City of Fresno. Served as the Labor Compliance Officer for the CDBG-funded WestCare MILK Fire Alarm Systems Replacement Project.
Provided Labor Compliance training to the City of Fresno Housing and Community Development Division.
Mount McDill Communications Center Replacement Project, County of Los Angeles. As Labor Compliance Officer, monitored and enforced
Local and Targeted Worker Hiring Program (LTWHP) for the project. Facilitated Pre -Construction meetings with prime and subcontractors of all
tiers. Responsible for all LTWHP monthly and project -end reporting, craftworker interviews, apprentice hiring process and ratio, and prevailing
wages.
SSRP H31 Hollywood Hills Beachwood Drive & Scenic Avenue Project, City of Los Angeles. Jobs Coordinator — Enforced City of Los
Angeles' Project Labor Agreement (PLA) requirements and monitoring of contractors' PLA requirements and status of mandatory goals.
Developed and provided contractors effective hiring strategies to meet/exceed project goals. Responsible of monthly and project -end
reporting of contractor -specific and project -wide PLA requirements and goal.
2022 Labor Compliance Services RFP FEDERAL CERTIFICATIONS AND FORMS
(THE BIDDER'S EXECUTION ON THE SIGNATURE PORTION OF THIS BID
SHALL ALSO CONSTITUTE AN ENDORSEMENT AND EXECUTION OF
THOSE CERTIFICATIONS WHICH AREA PART OF THIS BID)
EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION
The bidder Michael Baker International Inc. , proposed
subcontractor N/A hereby certifies that he
has X— , has not , participated in a previous contract or subcontract subject to the equal
opportunity clauses, as required by Executive Orders 10925, 11114, or 11246, and that, where required,
he has filed with the Joint Reporting Committee, the Director of the Office of Federal Contract
Compliance, a Federal Government contracting or administering agency, or the former President's
Committee on Equal Employment Opportunity, all reports due under the applicable filling requirements.
Note: The above certification is required by the Equal Employment Opportunity Regulations of the
Secretary of Labor (41 CFR 60-1.7(b) (1)), and must be submitted by bidders and proposed
subcontractors only in connection with contracts and subcontracts which are subject to the equal
opportunity clause. Contracts and subcontracts which are exempt from the equal opportunity
clause are set forth in 41 CFR 60-1.5. (Generally only contracts or subcontracts of $10,000 or
under are exempt.)
Currently, Standard Form 100 (EEO -1) is the only report required by the Executive Orders or their
implementing regulations.
Proposed prime contractors and subcontractors who have participated in a previous contract or
subcontract subject to the Executive Orders and have not filed the required reports should note
that 41 CFR 60-1.7(b) (1) prevents the award of contracts and subcontracts unless such
contractor submits a report covering the delinquent period or such other period specified by the
Federal Highway Administration or by the Director, Office of Federal Contract Compliance, U.S.
Department of Labor.
PUBLIC CONTRACT CODE
PUBLIC CONTRACT CODE SECTION 10285.1 STATEMENT
In conformance with Public Contract Code Section 10285.1 (Chapter 376, Stats. 1985), the bidder hereby
declares under -e Ihi r t i C• f Cauls.. � ♦ w
a s ,..,na.of perjury under he laws o the .gate o. �a�l���n�a 'that the �I�u�� has _ , has
not X been convicted within the preceding three years of any offenses referred to in that section,
including any charge of fraud, bribery, collusion, conspiracy, or any other act in violation of any state or
Federal antitrust law in connection with the bidding upon, award of, or performance of, any public works
contract, as defined in Public Contract Code Section 1101, with any public entity, as defined in Public
Contract Code Section 1100, including the Regents of the University of California or the Trustees of the
California State University. The term "bidder" is understood to include any partner, member, officer,
director, responsible managing officer, or responsible managing employee thereof, as referred to in
Section 10285.1.
Note: The bidder must place a check mark after "has" or "has not" in one of the blank spaces provided.
The above Statement is part of the Bid. Signing this Bid on the signature portion thereof shall
also constitute signature of this Statement. Bidders are cautioned that making a false certification
may subject the certifier to criminal prosecution.
Public Contract Code Section 10162 Questionnaire
In conformance with Public Contract Code Section 10162, the Bidder shall complete, under
penalty of perjury, the following questionnaire:
Has the bidder, any officer of the bidder, or any employee of the bidder who has a
proprietary interest in the bidder, ever been disqualified, removed, or otherwise
prevented from bidding on, or completing a federal, state, or local government project
because of a violation of law or a safety regulation?
Yes No X
If the answer is yes, explain the circumstances in the following space.
Public Contract Code 10232 Statement
In conformance with Public Contract Code Section 10232, the Contractor, hereby states under
penalty of perjury, that no more than one final unappealable finding of contempt of court by a
federal court has been issued against the Contractor within the immediately preceding two year
period because of the Contractors failure to comply with an order of a federal court which
orders the Contractor to comply with an order of the National Labor Relations Board.
Note: The above Statement and Questionnaire are part of the Bid. Signing this Bid on
the signature portion thereof shall also constitute signature of this Statement and
Questionnaire.
Bidders are cautioned that making a false certification may subject the certifier to
criminal prosecution.
NONCOLLUSION AFFIDAVIT
(California Public Contract Code, Section 7106)
TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID
State of California
County of Sacramento , being first duly sworn, deposes and says that he/she is
Vice President of Michael Baker International, Inc. , the
party making the foregoing bid that the bid is not made in the interest of, or on behalf of, any undisclosed
person, partnership, company, association, organization, or corporation; that the bid is genuine and not
collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put
in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any
bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the bidder has
not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone
to fix the bid price of the bidder or any other bidder, or to fix any overhead, profit, or cost element of the
bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the
contract of anyone interested in the proposed contract; that all statements contained in the bid are true;
and, further, that the bidder has not, directly or indirectly, submitted his/her or her bid price or any
breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and
will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or
to any member or agent thereof to effectuate a collusive or sham bid.
By
❑ onaliy known to me OR ❑ proved to me on the basis of satisfactory evidence to be the
person(s) wh name(s) is/are subscribed to the within instrument and acknowledged to me that
he/she/they executed same in his/her/their authorized capacity(ies), and that by his/her/their
signature(s) on the instrument fhe on(s), or entity upon behalf of which the person(s) acted, executed
this instrument. ,, ff
Subscribed and sworn to before me on
Notary Public
CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202
pt•"-Y_.�,Z:f•�:r._.i�. : n�.y'. - �n� .- . - - - - - - .f'Sse?R•'i
See Attached Document (Notary to cross out lines 1-6 below)
See Statement Below (Lines 1-6 to be completed only by document signer[s], not Notary)
Signature of Document Signer No. 1 Signature of Document Signer No. 2 (rf any)
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the
document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. i
State of Califomia
County of ramp
a. PAMELA V. WARflELD
Notary Public -California
Sacramento County i
_ Commission N 2242345
My Comm. EVIres Jun 9, 2022
Subscribed and swom to (or affirmed) before me
on this l S+ day of AA 0. CC, t - .20 -22 --
by
20 -22 --by Date /j Month Year
(1)_L64 SSP ,^ ?'} 1 SE
Name(s) of Signer(s)
proved to me on the basis of satisfactory evidence
to be the person)k who appeared before me.
V. r
Signature_ ti V
Signature of Notary fic
Seat
Place Notary Seal Above
OPTIONAL
Though this section is optional, completing this information can deter alteration of the document or
fraudulent reattachment of this form to an unintended document.
Description of Attached Document p / A
Title or Type of Document: - fl�'[5 �`� a+Fo ✓ Document Date: I v L 'i e -
Number of Pages: I Sig auk - .
02014 National Notary Association - www.NationalNotary.org • 1 -800 -US NOTARY (1-800-876-6827) Item #5910
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS
1. By signing and submitting this bid or proposal, the prospective lower tier participant is
providing the signed certification set out below.
2. The certification in this clause is a material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the prospective
lower tier participant knowingly rendered an erroneous certification, in addition to other
remedies available to the Federal Government, City of Lodi may pursue available remedies,
including suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to City of Lodi if
at any time the prospective lower tier participant learns that its certification was erroneous
when submitted or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," 'lower tier covered
transaction," "participant," "persons," 'lower tier covered transaction," "principal," "proposal,"
and "voluntarily excluded," as used in this clause, have the meanings set out in the
Definitions and Coverage sections of rules implementing Executive Order 12549 [49 CFR
Part 29]. You may contact City of Lodi for assistance in obtaining a copy of those
regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction, unless authorized in
writing by City of Lodi.
6. The prospective lower tier participant further agrees by submitting this proposal that it will
include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion - Lower Tier Covered Transaction", without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it knows that the certification is
erroneous. A participant may decide the method and frequency by which it determines the
eligibility of its principals. Each participant may, but is not required to, check the
Nonprocurement List issued by U.S. General Service Administration.
S. Nothing contained in the foregoing shall be construed to require establishment of system of
records in order to render in good faith the certification required by this clause. The
knowledge and information of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in
a covered transaction knowingly enters into a lower tier covered transaction with a person
who is suspended, debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to all remedies available to the Federal Government, City of Lodi
may pursue available remedies including suspension and/or debarment.
10. The prospective lower tier participant certifies, by submission of this bid or proposal, that
neither it nor its "principals" [as defined at 49 C.F.R. § 29.105(p)] is presently debarred,
suspended, proposed for debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any Federal department or agency.
Debarment, Suspension, and Other Responsibility Matters
Page 2
11. When the prospective lower tier participant is unable to certify to the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
I certify (or declare) under penalty of perjury, that the foregoing is true and correct.
SIGNATURE _ DATE
March 1, 2022
TITLE Vice President COMPANY NAME Michael Baker International, Inc.
CERTIFICATION OF RESTRICTIONS ON LOBBYING FOR FEDERAL -AID CONTRACTS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee
of an agency, a Member of Congress, an officer or employee of Congress, or an employee
of a Member of Congress in connection with the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for making lobbying contacts to an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form—LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions [as amended by "Government wide Guidance
for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1119/96). Note: Language in
paragraph (2) herein has been modified in accordance with Section 10 of the Lobbying
Disclosure Act of 1995 (P.L. 10465, to be codified at 2 U.S.C. 1601, et seq.))
(3) The undersigned shall require that the language of this certification 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 SUBCONTRACTORs shall
certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by 31, U.S.C. § 1352 (as amended by the
Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such
failure.
[Note: Pursuant to 31 U.S.C. § 1352(c)(1) -(2)(A), any person who makes a prohibited
expenditure or fails to file or amend a required certification or disclosure form shall be subject to
a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure
or failure.]
The CONTRACTOR'�ichaei Baker international, Ery -certifies or affirms the truthfulness and accuracy
of each statement of its certification and disclosure, if any. In addition, the CONTRACTOR
understands and agrees that the provisions of 31 U.S.C. A 3801, et seq., apply to this
certification and kL7a �disci sure, if any.
�9 _
Signature of CONTRACTOR'S Authorized Official
Ali Seyedmadani, Vice President
Name and Title of CONTRACTOR'S Authorized Official
March 1, 2022 Date
BIDDER TO SIGN ONLY IF REPORTING LOBBYING ACTIVITY
Local Assistance Procedures Manual
EXHBIT 10-Q
Disclosure of Lobbying Activities
EXHIBIT 1O -Q DISCLOSURE OF LOBBYING ACTIVITIES
COMPLETE THIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
a. contract a. bid/offer/application ❑ a, initial
b. grant b. initial award b. material change
c. cooperative agreement c, post -award
d. loan For Material Change Only:
c. loan guarantee year_ quarter_
f. loan insurance date of last report
4. 'Name and Address of Reporting Entity 5. If Reporting Entity in No. 4 is Subawardee,
Enter Name and Address of Prime:
Prime ❑ Subawardee
Tier if known
Congressional District, if known
6. Federal Department/Agency:
S. Federal Action Number, if known:
Congressional District, if known
7. Federal Program Name/Description.
CFDA Number, if applicable
9. Award Amount, if known:
10. Name and Address of Lobby Entity
11. Individuals Performing Services
(If individual, last name, first name, Ml)
(including address if different from No. 10)
(last name, first name, MI)
(attach Continuation Sheet(s) if necessary)
12. Amount of Payment (check all that apply)
14. Type of Payment (check all that apply)
S L1 actual ❑ planned
a. retainer
1352. This information will be reported to Congress
b_ one-time fee
13. Form of Payment (check all that apply):
c. commission
ea. cash
d. contingent fee
b. in-kind; specify: nature —�
a deferred
Value
f. other, specify
15. Brief Description of Services Performed or to be performed and Date(s) of Service, including
officer(s), employee(s), or member(s) contacted, for Payment Indicated in Item 12:
(attach Continuation Sheet(s) if necessary)
16. Continuation Sheet(s) attached: Yes ❑
No ❑ No lobbying activities to report
17, Information requested through this form is authorized by Title
31 U.S.C. Section 1352. This disclosure of lobbying reliance
Signature:
was placed by the tier above when his transaction was made or
entered into. This disclosure is required pursuant to 31 U.S.C.
'Print Name:
1352. This information will be reported to Congress
semiannually and will be available for public inspection. Any
person who fails to file the required disclosure shall be subject
Title:
to a civil penalty of not less than $10,000 and not more than
5100;000 for each such failure.
Telephone No.: _ Date:
Federal Use Only:
Distribution: Orig- Local Agency Project Files
Authorized for Local Reproduction
Standard Form - LLL
Page 1
LPP 13-01 May 8, 2013
Acknowledgement of Applicable Federal Clauses
By signing below, I hereby acknowledge that I have read, understand and agree to the
terms of the Federal Clause document provided in "FTA Federal Clauses _2022 Labor
Compliance Services RFP" and THWA 1273 Federal Aid Provisions"
Date March 1, 2022
Signature
Company Name
Michael Baker International, Inc.
Title Vice President
EXHIBIT C
NOTE., The City of Lodi is now using the online insurance program PINS Advantage. Once you have been awarded a
contract you will receive an email from the City's online insurance program requesting you to forward the email to your
insurance provider(s) to submit the required insurance documentation electronically
Insurance Requirements for Professional Services
Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages
to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the
Contractor, his agents, representatives, employees or subcontractors.
MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including
products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than
$1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this
project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: ISO Form Number CA 00 01 covering any auto or if Contractor has no owned autos, then hired, and non -
owned autos with limit no less than $1,000,000 per accident for bodily injury and property damage.
3. Workers' Compensation: as required by the State of California, with Statutory Limits, and Employers Liability Insurance with limit
of no less than $1,000,000 per accident for bodily injury or disease.
4. Professional Liability (Errors and Omissions) Insurance appropriate to the Consultant's profession, with limits not less than
$1,000,000 per occurrence or claim, $2,000,000 aggregate. May be waived by Risk Manager depending on the scope of services.
Other Insurance Provisions:
(a) Additional Named Insured Status
The City of Lodi, its elected and appointed boards, commissions, officers, agents, employees, and volunteers are to be covered
as additional insureds on the CGL and auto policy with respect to liability arising out of work or operations performed by or on
behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General
liability coverage can be provided in the form of an endorsement to the Contractor's insurance (at least as broad as ISO Form
CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a
later edition is used
(b) Primary and Non -Contribute Insurance Endorsement
The limits of insurance coverage required may be satisfied by a combination of primary and umbrella or excess insurance. For
any claims related to this contract, the Contractor's insurance coverage shall be primary coverage at least as broad as ISO CG
20 01 04 13 as respects the Entity, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained
by the Entity, its officers, officials, employees, or volunteers shall be excess of the Contractor's insurance and shall not contribute
with it.
(c) Waiver of Subrogation Contractor hereby grants to City of Lodi a waiver of any right to subrogation which any insurer of said
Contractor may acquire against the City of Lodi by virtue of the payment of any loss under such insurance. Contractor agrees to
obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether
or not the City of Lodi has received a waiver of subrogation endorsement from the insurer
NOTE: (1) The street address of the CITY OF LODI must be shown along with (a) and (b) and (c) above: 221 West Pine Street,
Lodi, California, 95240; (2) The insurance certificate must state, on its face or as an endorsement, a description of therp oiect
that it is insuring.
(d) Severability of Interest Clause
The term "insured" is used severally and not collectively, but the inclusion herein of more than one insured shall not operate
to increase the limit of the company's liability under the Contractors commercial general liability and automobile liability policies.
(e) Notice of Cancellation or Change in Coverage Endorsement
This policy may not be canceled without 30 days' prior written
Lodi. 221 West Pine St.. Lodi. CA 95240.
SPage 1 1 of 2 pages��i---- - ---- �-- _ --
notice of such cancellation to the Risk Manager, City of
Risk: rev. 3/6/2019- accept
redlines
(f) Continuity of Coverage
All policies shall be in effect on or before the first day of the Term of this Agreement. At least thirty (30) days prior to the expiration
of each insurance policy, Contractor shall furnish a certificate(s) showing that a new or extended policy has been obtained which
meets the minimum requirements of this Agreement. Contractor shall provide proof of continuing insurance on at least an annual
basis during the Term. If Contractor's insurance lapses or is discontinued for any reason, Contractor shall immediately notify the
City and immediately obtain replacement insurance. Contractor agrees and stipulates that any insurance coverage provided to the
City of Lodi shall provide for a claims period following termination of coverage which is at least consistent with the claims period or
statutes of limitations found in the California Tort Claims Act (California Government Code Section 810 et seq.).
(g) Failure to Comply Notwithstanding any other provision of this Agreement, if Contractor fails or refuses to obtain or maintain
insurance as required by this agreement, or fails to provide proof of insurance, the City may terminate this Agreement upon such
breach. Upon such termination, Contractor shall immediately cease use of the Site or facilities and commence and diligently
pursue the removal of any and all of its personal property from the site or facilities.
(h) Verification of Coverage
Consultant shall furnish the City with a copy of the insurance certificates and amendatory endorsements or copies of the applicable
policy language effecting coverage required by this clause. All certificates and endorsements are to be received and approved by
the City before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the
Consultant's obligation to provide them.
(i) Self -Insured Retentions
Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to provide proof of ability
to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall
provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City.
(j) Insurance Limits
The limits of insurance described herein shall not limit the liability of the Contractor and Contractor's officers, employees, agents,
representatives or subcontractors. Contractor's obligation to defend, indemnify and hold the City and its officers, officials,
employees, agents and volunteers harmless under the provisions of this paragraph is not limited to or restricted by any requirement
in the Agreement for Contractor to procure and maintain a policy of insurance.
(k) Subcontractors
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and
Consultant shall ensure that City is an additional insured on insurance required from subcontractors
(1) Claims Made Policies
If any of the required policies provide coverage on a claims -made basis:
1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work.
2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the
contract of work.
3. If coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a Retroactive Date prior
to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of five (5) years after
completion of contract work.
(m) Qualified Insurer(s]
All insurance required by the terms of this Agreement must be provided by insurers licensed to do business in the State of
California which are rated at least "A-, VI" by the AM Best Ratings Guide, and which are acceptable to the City. Non -admitted
surplus lines carriers may be accepted provided they are included on the most recent list of California eligible surplus lines insurers
(LESLI list) and otherwise meet City requirements.
Page 2 1 of 2 pages I Risk: rev. 3/1/2018
City of Lodi
Federal Clauses for
1
a Federal Transit Administration (FTA) Funded
Procurements
2022 Labor Compliance Services RFP
ALL CLAUSES & CERTIFICATIONS HEREINAFTER ARE PROVIDED FOR
PROCUREMENTS (AS APPLICABLE) INVOLVING FTA ASSISTANCE, IN COMPLIANCE
WITH FTA REGULATIONS, AND MAINTAINED FOR FTA REVIEWS
Revised: August 2020
5A_01
5A.02
5A_03
5A_04
5A_05
5AAB
5A_07
5A.08
5A.10
5A.11
5A_12
5A.13
5A.14
5A.15
5A.16
AMIN
5A_18
2022 Labor Compliance Services RFP
FTA C 4220.1F
FEDERAL REQUIREMENTS
Appendix D-4
11,01-2009
Rev. 1, 04j'14f2004
Rev_ 2, 07,x01/2010
Rev. 3, 02,ei5/2021
Rev. 4, 03/18/2013
PROVISIONS, CERTIITCAIIONS REPORTS, FORMS, ztND 41HER-]MTRICES
B. APPLIC-BILITI OF THIRD PARTY C:ON-TRACT PROVISIONS
(excluding micro purchases, except Dais -Bacon requuements apply to contracts exceeding $2 090)
TYPE OF PROCUREMENT
Professional
Operations
RoWnd
1I3terials &
PROVISION
Serrtices: i&F
Management
Stock
Construction
Supplies
Purchase
No Federal Government
Oblieations to Third Parties
All
All
All
All
All
(by Use of a Disclaimer)
False Statements or Claims Civil
and Criminal Fraud
All
All
All
All
All
Access to Third Paxt_v Contract
All
All
All
All
All
Records
Changes to Federal Requirements
All
All
All
All
All
Termination
>310,000 if
->$10.000 if
--$10,004 if
>$10,000 if
410JIN if
49 CPR part 18
49 CFR Part 18
49 CFR Part 18
49 CFR Par; 18
49 CFR Pan
applies.
applies.
applies.
applies.
18 apples.
Civil Rights (Title VI, ADA, EEO
All
All
All $10,000
All
All
except Special DOL EEO clause
for construction projects)
Special DOL EEO clause for
?$10,000
construction projects
Disadvantaged Busluess
All
All
All
All
All
Enterpnses (DBEs)
Incorporation of FTA Terms
All
All
All
All
All
Debarment and Suspension
}$25,000
>$25,000
>$25,000
>$25,000
>$25,000
Buy America
>$100,000
>$100,000
>$100,000
As of Feb. 2011,
As o
Of Feb. 201 1
As of Feb. 2011,
FTA has not
FTA has mt
FTA has not
adapted the FAR
adopted the FAR
adapted the FAR
2.101$150,000
2.101$150,000
?.101$150.0m
standard.
Standard.
smndard.
Resolution of Disputes, Breaches,
}$100,000
--$100,000
>$100,000
>$100,000
>$100,000
or Other Litigation
Lobbying
>$100,000
>$100,000
>$100,000
>$100,000
>$100,000
Clean Air
-$100,000
--$100,000
>$100,000
>$100,000
>$100,000
Clean Water
>$100,000
>$100,000
>$100,000
}$100,000
--$100,000
Cargo Preference
Transport by
Transport by
Transportby
ocean vessel
ocean vessel_
ocean vessel-
Flv America
Foreign air
Foreign air
Foreign air
Foreign air
Foreign air
tray sp. -travel_
trap. -p.
transp.
t--Pl
transp.
ftraveL
-taatiel.
ItraveL
(travel.
1 1 Page
5A_19
5A_20
5A.18
5A_21
5A_22
5A_22
5A.24
5A.25
5A.28
5A.2f
5A_27
5A.27
5A.28
5A_29
BA -3C
5A.31
2022 Labor Compliance Services RFP
FTA C 4220.1F
FEDERAL REQUIREMENTS
Appendix D-5
11 01:2008
Rev. 1, 041014/2009
Rev. 2, 071'01102010
Rev. 3,02,03.V2011
Rev. 4, 0311a,2023
PROVISION -S, CERTIFICATIONS REPORTS FOR_AIS AND OTHER—AXTRICES
B. APPLIC ABTLIT Y OF THIRD PARTY C'4ti•TR.XCT" PRONTSIOn SC'onrinued
(excluding rnicro-purckases, escepr Da: -is -Bacon requirements apply to construction contract; exceeding S2,060',
I1 -PE OF PRDCUR.EIIENT
Professional
Operations!
Rolling Stock
Constractioa
Materials &
PROVISION
5errices.-A&E
Management
Purchase
supplies
Davis -Bacon Act
>S2,000 (also
ferries).
Contract Work Hour and Safety
=.S100,000
=3$100,000
-4100,000
Standards Act
(aa-portawn
(also ferries).
services
egepted)-
Copeland Anti -Kickback Act
Section 1
All
Section 2
} $2,000 (aka
ferries).
Bonding
$100,000
Seismic Safety
A&E for new
New
buildings &
buildings &
additions-
additions -
Transit Employee Protective
Transit
Arrangements
operations.
Charter Service Operations
All
School Bus Operations
All
Drug Use and 'Testing
Transit
operation -
Alcohol Misuse and Testing
Transit
operations -
Patent Rights
R & D
Rights in Data and Copyrights
R & D
Energy Consen-ation
All
All
All
All
All
Recycled Products
EPA -Selected
EPA-selecred
EPA -Selected
items $10,000
items $10,000
items SK000
or mon:
or male
or more
annually.
annually-
mnuaUy.
ConfDrmanco with ITS National
ITS project.
ITS projects.
ITS projects.
TTS prajecLs.
ITS projects.
Architecture
ADA Access
A&E
All
All
All
All
Notification of Federal
Limited to
Limited to
Limited to
Limited to
Limited. to
Participation for States
States.
States.
States.
States.
States,
Veteran's Hiring Preference
5A_32
Privacy Act
5A.33
2 1 Page
2022 Labor Compliance Services RFP FEDERAL REQUIREMENTS
FEDERAL CLAUSES
5A.01- NO FEDERAL GOVERNMENT OBLIGATION TO THIRD PARTIES
(1) The City of Lodi and Contractor acknowledge and agree that, notwithstanding any concurrence by the
Federal Government in or approval of the solicitation or award of the underlying contract, absent the express
written consent by the Federal Government, the Federal Government is not a party to this contract and shall
not be subject to any obligations or liabilities to The City of Lodi, Contractor, or any other party (whether or
not a party to that contract) pertaining to any matter resulting from the underlying contract.
(2) The Contractor agrees to include the above clause in each subcontract financed in whole or in part with
Federal assistance provided by FTA. It is further agreed that the clause shall not be modified, except to
identify the subcontractor who will be subject to its provisions.
5A.02- PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS
AND RELATED ACTS
31 U.S.C. 3801 et seq.
49 CFR Part 31 18 U.S.C. 1001
49 U.S.C. 5307
(1) The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as
amended, 31 U.S.C. § § 3801 et seq . and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R.
Part 31, apply to its actions pertaining to this Project. Upon execution of the underlying contract, the
Contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may
make, or causes to be made, pertaining to the underlying contract or the FTA assisted project for which this
contract work is being performed. In addition to other penalties that may be applicable, the Contractor further
acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement,
submission, or certification, the Federal Government reserves the right to impose the penalties of the Program
Fraud Civil Remedies Act of 1986 on the Contractor to the extent the Federal Government deems appropriate.
(2) The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent
claim, statement, submission, or certification to the Federal Government under a contract connected with a
project that is financed in whole or in part with Federal assistance originally awarded by FTA under the
authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001
and 49 U.S.C. § 5307(n)(1) on the Contractor, to the extent the Federal Government deems appropriate.
(3) The Contractor agrees to include the above two clauses in each subcontract financed in whole or in part
with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to
identify the subcontractor who will be subject to the provisions.
3 1 Page
2022 Labor Compliance Services RFP
FEDERAL REQUIREMENTS
5A.03 -ACCESS TO THIRD PARTY CONTRACT RECORDS AND REPORTS
49 U.S.C. 5325
18 CFR 18.36 (i)
49 CFR 633.17
The following access to records requirements apply to this Contract:
(1) Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of the
FTA Recipient in accordance with 49 C. F. R. 18.36(i), the Contractor agrees to provide the Purchaser, the
FTA Administrator, the Comptroller General of the United States or any of their authorized representatives
access to any books, documents, papers and records of the Contractor which are directly pertinent to this
contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees,
pursuant to 49 C. F. R. 633.17 to provide the FTA Administrator or his authorized representatives including
any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital
project, defined at 49 U.S.C. 5302(a)l, which is receiving federal financial assistance through the programs
described at 49 U.S.C. 5307, 5309 or 5311.
(2) Where the Purchaser is a State and is the FTA Recipient or a subgrantee of the FTA Recipient in
accordance with 49 C.F.R. 633.17, Contractor agrees to provide The City of Lodi, the FTA Administrator or
his authorized representatives, including any PMO Contractor, access to the Contractor's records and
construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)l, which is receiving
federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. By definition, a
major capital project excludes contracts of less than the simplified acquisition threshold currently set at
$100,000.
(3) Where the Purchaser enters into a negotiated contract for other than a small purchase or under the
simplified acquisition threshold and is an institution of higher education, a hospital or other non-profit
organization and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R.
19.48, Contractor agrees to provide The City of Lodi, FTA Administrator, the Comptroller General of the
United States or any of their duly authorized representatives with access to any books, documents, papers and
record of the Contractor which are directly pertinent to this contract for the purposes of making audits,
examinations, excerpts and transcriptions.
(4) Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance
with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C.
5302(a)l) through other than competitive bidding, the Contractor shall make available records related to the
contract to The City of Lodi, the Secretary of Transportation and the Comptroller General or any authorized
officer or employee of any of them for the purposes of conducting an audit and inspection.
(5) The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to
copy excerpts and transcriptions as reasonably needed.
(6) The Contractor agrees to maintain all books, records, accounts and reports required under this contract for
a period of not less than three years after the date of termination or expiration of this contract, except in the
event of litigation or settlement of claims arising from the performance of this contract, in which case
Contractor agrees to maintain same until The City of Lodi, the FTA Administrator, the Comptroller General,
4 1 Page
2022 Labor Compliance Services RFP
FEDERAL REQUIREMENTS
or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or
exceptions related thereto. Reference 49 CFR 18.39(i)(11).
(7) FTA does not require the inclusion of these requirements in subcontracts.
5A.04- CHANGES TO FEDERAL REQUIREMENTS
49 CFR Part 18
Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives,
including without limitation those listed directly or by reference in the Master Agreement between The City
of Lodi and FTA, as they may be amended or promulgated from time to time during the term of this contract.
Contractor's failure to so comply shall constitute a material breach of this contract.
5A.05 -TERMINATION
49 U.S.C.Part 18
FTA Circular 4220.1 F
a. Termination for Convenience (General Provision)
The City of Lodi may terminate this contract, in whole or in part, at any time by written notice to the
Contractor when it is in the Government's best interest. The Contractor shall be paid its costs, including
contract close-out costs, and profit on work performed up to the time of termination. The Contractor shall
promptly submit its termination claim to The City of Lodi. If the Contractor has any property in its possession
belonging to The City of Lodi, the Contractor will account for the same, and dispose of it in the manner The
City of Lodi directs.
b. Termination for Default [Breach or Cause] (General Provision)
If the Contractor does not deliver supplies in accordance with the contract delivery schedule, or, if the
contract is for services, the Contractor fails to perform in the manner called for in the contract, or if the
Contractor fails to comply with any other provisions of the contract, The City of Lodi may terminate this
contract for default. Termination shall be effected by serving a notice of termination on the contractor setting
forth the manner in which the Contractor is in default. The contractor will only be paid the contract price for
supplies delivered and accepted, or services performed in accordance with the manner of performance set
forth in the contract.
If it is later determined by The City of Lodi that the Contractor had an excusable reason for not performing,
such as a strike, fire, or flood, events which are not the fault of or are beyond the control of the Contractor,
The City of Lodi, after setting up a new delivery of performance schedule, may allow the Contractor to
continue work, or treat the termination as a termination for convenience.
c. Opportunity to Cure (General Provision)
The City of Lodi in its sole discretion may, in the case of a termination for breach or default, allow the
Contractor 10 days in which to cure the defect. In such case, the notice of termination will state the time
period in which cure is permitted and other appropriate conditions.
5 1 Page
2022 Labor Compliance Services RFP
FEDERAL REQUIREMENTS
If Contractor fails to remedy to The City of Lodi's satisfaction the breach or default of any of the terms,
covenants, or conditions of this Contract within ten (10) days after receipt by Contractor of written notice
from The City of Lodi setting forth the nature of said breach or default, The City of Lodi shall have the right
to terminate the Contract without any further obligation to Contractor. Any such termination for default shall
not in any way operate to preclude The City of Lodi from also pursuing all available remedies against
Contractor and its sureties for said breach or default.
d. Waiver of Remedies for any Breach
In the event The City of Lodi elects to waive its remedies for any breach by Contractor of any covenant, term
or condition of this Contract, such waiver by The City of Lodi shall not limit The City of Lodi's remedies for
any succeeding breach of that or of any other term, covenant, or condition of this Contract.
e. Termination for Default (Construction)
If the Contractor refuses or fails to prosecute the work or any separable part, with the diligence that will insure
its completion within the time specified in this contract or any extension or fails to complete the work within
this time, or if the Contractor fails to comply with any other provisions of this contract, The City of Lodi may
terminate this contract for default. The City of Lodi shall terminate by delivering to the Contractor a Notice of
Termination specifying the nature of the default. In this event, The City of Lodi may take over the work and
complete it by contract or otherwise, and may take possession of and use any materials, appliances, and plant
on the work site necessary for completing the work. The Contractor and its sureties shall be liable for any
damage to the Recipient resulting from the Contractor's refusal or failure to complete the work within specified
time, whether or not the Contractor's right to proceed with the work is terminated. This liability includes any
increased costs incurred by the Recipient in completing the work.
The Contractor's right to proceed shall not be terminated nor the Contractor charged with damages under this
clause if -
1. the delay in completing the work arises from unforeseeable causes beyond the control and without
the fault or negligence of the Contractor. Examples of such causes include: acts of God, acts of The
City of Lodi, acts of another Contractor in the performance of a contract with The City of Lodi,
epidemics, quarantine restrictions, strikes, freight embargoes; and
2. the contractor, within [10] days from the beginning of any delay, notifies The City of Lodi in writing
of the causes of delay. If in the judgment of The City of Lodi, the delay is excusable, the time for
completing the work shall be extended. The judgment of The City of Lodi shall be final and
conclusive on the parties, but subject to appeal under the Disputes clauses.
If, after termination of the Contractor's right to proceed, it is determined that the Contractor was not in default,
or that the delay was excusable, the rights and obligations of the parties will be the same as if the termination
had been issued for the convenience of The City of Lodi.
f. Termination for Convenience or Default (Architect and Engineering)
The City of Lodi may terminate this contract in whole or in part, for The City of Lodi's convenience or because
of the failure of the Contractor to fulfill the contract obligations. The City of Lodi shall terminate by delivering
6 1 Page
2022 Labor Compliance Services RFP FEDERAL REQUIREMENTS
to the Contractor a Notice of Termination specifying the nature, extent, and effective date of the termination.
Upon receipt of the notice, the Contractor shall
1. immediately discontinue all services affected (unless the notice directs otherwise), and
2. deliver to the Contracting Officer all data, drawings, specifications, reports, estimates, summaries,
and other information and materials accumulated in performing this contract, whether completed
or in process.
If the termination is for the convenience of The City of Lodi, the Contracting Officer shall make an equitable
adjustment in the contract price but shall allow no anticipated profit on unperformed services.
If the termination is for failure of the Contractor to fulfill the contract obligations, The City of Lodi may
complete the work by contract or otherwise and the Contractor shall be liable for any additional cost incurred
by The City of Lodi.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor was not in
default, the rights and obligations of the parties shall be the same as if the termination had been issued for the
convenience of The City of Lodi.
g. Termination for Convenience of Default (Cost -Type Contracts)
The City of Lodi may terminate this contract, or any portion of it, by serving a notice or termination on the
Contractor. The notice shall state whether the termination is for convenience of The City of Lodi or for the
default of the Contractor. If the termination is for default, the notice shall state the manner in which the
contractor has failed to perform the requirements of the contract. The Contractor shall account for any property
in its possession paid for from funds received from The City of Lodi, or property supplied to the Contractor by
The City of Lodi. If the termination is for default, The City of Lodi may fix the fee, if the contract provides for
a fee, to be paid the contractor in proportion to the value, if any, of work performed up to the time of termination.
The Contractor shall promptly submit its termination claim to The City of Lodi and the parties shall negotiate
the termination settlement to be paid the Contractor.
If the termination is for the convenience of The City of Lodi, the Contractor shall be paid its contract close-out
costs, and a fee, if the contract provided for payment of a fee, in proportion to the work performed up to the
time of termination.
If, after serving a notice of termination for default, The City of Lodi determines that the Contractor has an
excusable reason for not performing, such as strike, fire, flood, events which are not the fault of and are beyond
the control of the contractor, The City of Lodi, after setting up a new work schedule, may allow the Contractor
to continue work, or treat the termination as a termination for convenience.
h. Termination for Convenience (Professional or Transit Service Contracts)
The City of Lodi by written notice, may terminate this contract, in whole or in part, when it is in the
Government's interest. If this contract is terminated, the City of Lodi shall be liable only for payment under
the payment provisions of this contract for services rendered before the effective date of termination.
7 1 Page
2022 Labor Compliance Services RFP FEDERAL REQUIREMENTS
i. Termination for Default (Supplies and Service)
If the Contractor fails to deliver supplies or to perform the services within the time specified in this contract
or any extension or if the Contractor fails to comply with any other provisions of this contract, the City of
Lodi may terminate this contract for default. The City of Lodi shall terminate by delivering to the Contractor
a Notice of Termination specifying the nature of the default. The Contractor will only be paid the contract
price for supplies delivered and accepted, or services performed in accordance with the manner or
performance set forth in this contract.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor was not in
default, the rights and obligations of the parties shall be the same as if the termination had been issued for the
convenience of the City of Lodi.
5A.06 -CIVIL RIGHTS REQUIREMENTS (TITLE VL ADA, EEO)
29 U.S.C. § 623, 42 U.S.C. § 2000
42 U.S.C. § 6102,42 U.S.C. § 12112
42 U.S.C. § 12132, 49 U.S.C. § 5332
29 CFR Part 1630, 41 CFR Parts 60 et seq.
(1) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. §
2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section 202
of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and Federal transit law at 49 U.S.C.
§ 5332, the Contractor agrees that it will not discriminate against any employee or applicant for
employment because of race, color, creed, national origin, sex, age, or disability. In addition, the
Contractor agrees to comply with applicable Federal implementing regulations and other implementing
requirements FTA may issue.
(2) E uaI Employment Opportuni1y - The following equal employment opportunity requirements apply to
the underlying contract:
(a) Race Color Creed National Origin, Sex - In accordance with Title VII of the Civil Rights
Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332, the Contractor
agrees to comply with all applicable equal employment opportunity requirements of U.S.
Department of Labor (U.S. DOL) regulations, "Office of Federal Contract Compliance Programs,
Equal Employment Opportunity, Department of Labor," 41 C.F.R. Parts 60 et seq ., (which
implement Executive Order No. 11246, "Equal Employment Opportunity," as amended by
Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal Employment
Opportunity," 42 U.S.C. § 2000e note), and with any applicable Federal statutes, executive orders,
regulations, and Federal policies that may in the future affect construction activities undertaken in
the course of the Project. The Contractor agrees to take affirmative action to ensure that applicants
are employed, and that employees are treated during employment, without regard to their race,
color, creed, national origin, sex, or age. Such action shall include, but not be limited to, the
following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising,
layoff or termination; rates of pay or other forms of compensation; and selection for training,
8 1 Page
2022 Labor Compliance Services RFP
FEDERAL REQUIREMENTS
including apprenticeship. In addition, the Contractor agrees to comply with any implementing
requirements FTA may issue.
(b) Age - In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as
amended, 29 U.S.C. § § 623 and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees to
refrain from discrimination against present and prospective employees for reason of age. In
addition, the Contractor agrees to comply with any implementing requirements FTA may issue.
(c) Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as
amended, 42 U.S.C. § 12112, the Contractor agrees that it will comply with the requirements of
U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal
Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining
to employment of persons with disabilities. In addition, the Contractor agrees to comply with any
implementing requirements FTA may issue.
(3) The Contractor also agrees to include these requirements in each subcontract financed in whole or in part
with Federal assistance provided by FTA, modified only if necessary to identify the affected parties.
5A.08 -DISADVANTAGED BUSINESS ENTERPRISE (DBE)
49 CFR Part 26
This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, Participation by
Disadvantaged Enterprises in Department of Transportation Financial Assistance Programs. The agency's
overall Anticipated DBE Level of Participation is 3.36%. A separate contract goal has not been established
for this procurement.
Contract Assurance:
The contractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of
this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and
administration of this DOT -assisted contract. Failure by the contractor to carry out these requirements is a
material breach of this contract, which may result in the termination of this contract or such other remedy as
CITY OF LODI deems appropriate. Each subcontract the contractor signs with a subcontractor must include
the assurance in this paragraph (see 49 CFR 26.13(b)).
DBE Substitution:
The contractor must promptly notify the City of Lodi, whenever a DBE subcontractor performing work
related to this contract is terminated or fails to complete its work, and must make good faith efforts to engage
another DBE subcontractor to perform at least the same amount of work. The contractor may not terminate
any DBE subcontractor and perform that work through its own forces or those of an affiliate without prior
written consent of the City of Lodi.
Small Business Enterprise (SSE):
The City of Lodi has adopted a policy to strongly encourage Small Business Enterprise (SBE) participation in
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FEDERAL REQUIREMENTS
Federal Transit Administration (FTA) -funded contracts of estimated cost greater than $200,000. Bidder's
attention is directed to the following provisions relating to this policy:
a. Bidders are to complete the "Bidder Small Business Enterprise (SBE) Information Form &
Checklist". With respect to application of the SBE Program, bidders' attention is directed to the
following:
1. Bidders will be required to complete a "SBE Information Form" to be submitted with bids
in excess of $200,000, which indicates the bidder's effort to employ SBEs.
2. In the event that two or more bids are the same and the lowest, the City shall award the
contract in accordance with the best intended effort of the bidder to employ SBEs as indicated
on the "Bidder SBE Information Form".
a. Contracts estimated by the City to be less than $200,000 do not have a SBE
requirement.
b. Contacts estimated by the City to cost $200,000 or more require the successful
bidder to demonstrate their attempts to employ SBEs.
A. Definition of Small Business Enterprise:
To participate as an eligible small business in projects administered by the City of Lodi, a firm must
meet both of the following requirements:
a. A firm (including affiliates) must be an existing small business as defined by Small
Business Administration (SBA) regulations, 13 CFR Part 121, for the appropriate type(s) of
work that a firm performs. The firm must hold one of the acceptable certifications listed in
Section B below.
b. Even if a firm meets the above requirement, the firm's (including affiliates') average annual
gross receipts over the previous three years cannot exceed a maximum cap of $22.41 million
(or as adjusted for inflation by the Secretary of U.S. DOT). SBA size standards vary by
industry, and for certain industries may be higher than the $22.41 million cap. For example,
the SBA standard for a general construction contractor is $33.5 million. If a general
construction contractor's average annual gross receipts over the previous three years is $25
million, while it is below $33.5 million and meets the SBA size standard, it would be
ineligible to participate as a small business for the City of Lodi's purposes as it exceeds
$22.41 million.
For information on SBA size standards, visit: http://www.sba.gov/content/table-small-
business-size-standards.
Affiliates are defined in SBA regulations 13 CFR Part 121.103.
B. Acceptable Com arable Small Business Enterprise Certifications
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FEDERAL REQUIREMENTS
The City of Lodi will accept the small business enterprise certifications performed by other agencies,
provided that the size standards described in Section Ala and Alb above are met.
If a firm is certified in one or more of the following programs, and meets City of Lodi size standards, the firm
is automatically deemed a small business for City of Lodi purposes. The term "SBE" will be used collectively
for qualified SBEs, WBEs, MBEs and other approved certifications. As indicated below, the City of Lodi
may require an affidavit of size for each SBE prime contractor or subcontractor. Certifications from self -
certification programs are not acceptable. City of Lodi may request and review financial data provided by
SBE firms on a case-by-case basis to confirm eligibility. Firms must be certified as of the time of bid
submittal.
1. Disadvantaged Business Enterprise (DBE) certification pursuant to U.S. Department of
Transportation regulations, 49 CFR Part 26. This includes DBE certifications performed by the
California Unified Certification Program (CUCP) or by the Unified Certification Program of any
other state.
2. State Minority Business Enterprise (SMBE) and State Woman Business Enterprise (SWBE)
certification by the State of California or by any other state provided that their certification complies
with Section Ala or Alb above. In addition to copies of SMBE/SWBE certifications, bidders certified
out-of-state must submit an affidavit of size for each SMBE/SWBE prime contractor or subcontractor
at the time of bid submittal.
3. Small Business (SB) certification by the California Department of General Services (DGS)
provided that their certification complies with Section Ala and Alb above. In addition to copies of
SB certifications, bidders must submit an affidavit of size for each SB prime contractor or
subcontractor at the time of bid submittal.
4. Microbusiness (MB) certification by the California Department of General Services for ALL
industries.
5. SBA 8(a) by the Small Business Administration provided that their certification complies with
Section Ala and Alb above. In addition to copies of SBA 8(a) certifications, bidders must submit an
affidavit of size for each SBA 8(a) prime contractor or SBA 8(a) subcontractor at the time of bid
submittal.
6. SBE/MBE/WBE certification from other state, county, or local government -certifying agency
provided that their certification complies with Section Ala and Alb above. In addition to copies of
certifications, bidders must submit an affidavit of size for each certified prime contractor or
subcontractor at the time of bid submittal.
5A.09 -PROMPT PAYMENT
49 CFR 26.29
Prompt, Progress Payment to Subcontractors
Attention is directed to the provisions in Federal Regulations 49 CFR 26.29 concerning payment to
subcontractors. The contractor shall make prompt and regular incremental acceptances of portions, as
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determined by The City of Lodi, of the contract work and shall pay retainage to the prime contractor based on
these acceptances.
The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance
of its contract no later than thirty (30) days from the receipt of each payment the prime contractor receives
from The City of Lodi. Any delay or postponement of payment from the above referenced time frame may
occur only for good cause following written approval of The City of Lodi. This clause applies to both DBE
and non -DBE subcontracts.
Prownt Pavment of Withheld Funds to Subcontractors
The prime contractor agrees to return retainage payments to each subcontractor within thirty (30) days after
the subcontractor's work is satisfactorily completed and accepted including incremental acceptances of
portions of the contract work by The City of Lodi. Federal Regulation 49 CFR 26.29 requires that any delay
or postponement of payment from the above referenced time frame may occur only for good cause following
written approval of The City of Lodi. This clause applies to both DBE and non -DBE subcontracts.
Monitoring and Enforcement
Violation of The City of Lodi's prompt payment and retainage provisions shall subject the violating prime
contractor to the penalties, sanctions, and other remedies specified in Section 7108.5 of the California
Business Professions Code. This requirement shall not be construed to limit or impair any contractual,
administrative, or judicial remedies, otherwise available to the contractor or subcontractor in the event of. a
dispute involving late payment or nonpayment by the contractor; deficient subcontractor performance; and/or
noncompliance by a subcontractor. This clause applies to both DBE and non -DBE subcontractors.
5A.10 -INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION FTA TERMS
FTA Circular 4220.1F
The preceding provisions include, in part, certain Standard Terms and Conditions required by DOT, whether
or not expressly set forth in the preceding contract provisions. All contractual provisions required by DOT, as
set forth in FTA Circular 4220.1F are hereby incorporated by reference. Anything to the contrary herein
notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other
provisions contained in this Agreement. The Contractor shall not perform any act, fail to perform any act, or
refuse to comply with any City of Lodi requests which would cause City of Lodi to be in violation of the FTA
terms and conditions.
5A.11 -GOVERNMENT -WIDE DEBARMENT AND SUSPENSION
2 CFR part 180
2 CFR part 1200
2 CFR § 200.213
2 CFR part 200 Appendix II (1) Executive Order 12549
Executive Order 12689
The Contractor shall comply and facilitate compliance with U.S. DOT regulations, "Nonprocurement
Suspension and Debarment," 2 C.F.R. part 1200, which adopts and supplements the U.S. Office of
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Management and Budget (U.S. OMB) "Guidelines to Agencies on Government wide Debarment and
Suspension (Nonprocurement)," 2 C.F.R. part 180. These provisions apply to each contract at any tier of
$25,000 or more, and to each contract at any tier for a federally required audit (irrespective of the contract
amount), and to each contract at any tier that must be approved by an FTA official irrespective of the contract
amount. As such, the Contractor shall verify that its principals, affiliates, and subcontractors are eligible to
participate in this federally funded contract and are not presently declared by any Federal department or
agency to be:
a) Debarred from participation in any federally assisted Award;
b) Suspended from participation in any federally assisted Award;
c) Proposed for debarment from participation in any federally assisted Award;
d) Declared ineligible to participate in any federally assisted Award;
e) Voluntarily excluded from participation in any federally assisted Award; or
f) Disqualified from participation in ay federally assisted Award.
By signing and submitting its bid or proposal, the bidder or proposer certifies as follows:
The certification in this clause is a material representation of fact relied upon by The City of Lodi. If it is later
determined by The City of Lodi that the bidder or proposer knowingly rendered an erroneous certification, in
addition to remedies available to The City of Lodi, the Federal Government may pursue available remedies,
including but not limited to suspension and/or debarment. The bidder or proposer agrees to comply with the
requirements of 2 C.F.R. part 180, subpart C, as supplemented by 2 C.F.R. part 1200, while this offer is valid
and throughout the period of any contract that may arise from this offer. The bidder or proposer further agrees
to include a provision requiring such compliance in its lower tier covered transactions.
5A.13 -BREACHES AND DISPUTE RESOLUTION
49 CFR Part 18
FTA Circular 4220.1F
a. Disputes
Disputes arising in the performance of this Contract which are not resolved by agreement of the parties shall
be decided in writing by the authorized representative of The City of Lodi. This decision shall be final and
conclusive unless within ten (10) days from the date of receipt of its copy, the Contractor mails or otherwise
furnishes a written appeal to The City of Lodi. In connection with any such appeal, the Contractor shall be
afforded an opportunity to be heard and to offer evidence in support of its position. The decision of The City
of Lodi shall be binding upon the Contractor and the Contractor shall abide be the decision.
b. Performance During Dispute
Unless otherwise directed by The City of Lodi, Contractor shall continue performance under this Contract
while matters in dispute are being resolved.
c. Claims for Damages
Should either party to the Contract suffer injury or damage to person or property because of any act or
omission of the party or of any of his employees, agents or others for whose acts he is legally liable, a claim
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FEDERAL REQUIREMENTS
for damages therefor shall be made in writing to such other party within a reasonable time after the first
observance of such injury of damage.
d. Remedies
Unless this contract provides otherwise, all claims, counterclaims, disputes and other matters in question
between The City of Lodi and the Contractor arising out of or relating to this agreement or its breach will be
decided by arbitration if the parties mutually agree, or in a court of competent jurisdiction within the State of
California.
e. Rights and Remedies
The duties and obligations imposed by the Contract Documents and the rights and remedies available
thereunder shall be in addition to and not a limitation of any duties, obligations, rights and remedies otherwise
imposed or available by law. No action or failure to act by The City of Lodi, Architect, or Contractor shall
constitute a waiver of any right or duty afforded any of them under the Contract, nor shall any such action or
failure to act constitute an approval of or acquiescence in any breach thereunder, except as may be
specifically agreed in writing.
5A.14 -LOBBYING RESTRICTIONS
31 U.S.C. 1352
49 CFR Part 19
49 CFR Part 20
Byrd Anti -Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying
Disclosure Act of 1995, P.L. 104-65 [to be codified at 2 U.S.C. § 1601, et seq.] -
Contractors who apply or bid for an award of $100,000 or more shall file the certification required by 49 CFR
part 20, "New Restrictions on Lobbying." Each tier certifies to the tier above that it will not and has not used
Federal appropriated funds to pay any person or organization for influencing or attempting to influence an
officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee
of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered
by 31 U.S.C. 1352. Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act
of 1995 who has made lobbying contacts on its behalf with non -Federal funds with respect to that Federal
contract, grant or award covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier up to the
recipient.
5A.15 -CLEAN AIR
42 U.S.C. 7401 et seq
40 CFR 15.61
49 CFR Part 18
(1) The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the
Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq . The Contractor agrees to report each violation to The
City of Lodi and understands and agrees that The City of Lodi will, in turn, report each violation as required
to assure notification to FTA and the appropriate EPA Regional Office.
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FEDERAL REQUIREMENTS
(2) The Contractor also agrees to include these requirements in each subcontract exceeding $100,000
financed in whole or in part with Federal assistance provided by FTA
5A.16 -CLEAN WATER REQUIREMENTS
33 U.S.C. 1251
(1) The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the
Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq . The Contractor agrees to report
each violation to The City of Lodi and understands and agrees that The City of Lodi will, in turn, report each
violation as required to assure notification to FTA and the appropriate EPA Regional Office.
(2) The Contractor also agrees to include these requirements in each subcontract exceeding $100,000
financed in whole or in part with Federal assistance provided by FTA.
5A.18 -FLY AMERICA REQUIREMENTS
49 U.S.C. §40118
41 CFR Part 30 1 -10
The Contractor agrees to comply with 49 U.S.C. 40118 (the "Fly America" Act) in accordance with the
General Services Administration's regulations at 41 CFR Part 301-10, which provide that recipients and
subrecipients of Federal funds and their contractors are required to use U.S. Flag air carriers for U.S
Government -financed international air travel and transportation of their personal effects or property, to the
extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined by the
Fly America Act. The Contractor shall submit, if a foreign air carrier was used, an appropriate certification or
memorandum adequately explaining why service by a U.S. flag air carrier was not available or why it was
necessary to use a foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly
America requirements. The Contractor agrees to include the requirements of this section in all subcontracts
that may involve international air transportation.
5A.28 -ENERGY CONSERVATION REQUIREMENTS
42 U.S.C. 6321 et seq.
49 CFR Part 18
The contractor agrees to comply with mandatory standards and policies relating to energy efficiency which
are contained in the state energy conservation plan issued in compliance with the Energy Policy and
Conservation Act.
5A.31 -ADA ACCESS
49 USC 531 (d)
The contractor agrees to comply with 49 U.S.0 5301 (d), which states the Federal policy that elderly individuals
and individuals with disabilities have the same right as other individuals to use public transportation services
and facilities, and that special efforts shall be made in planning and designing those services and facilities to
implement transportation accessibility rights for elderly individuals and individuals with disabilities. The
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contractor also agrees to comply with all applicable provisions of section 504 of the Rehabilitation Act of 1973,
as amended, 29 U.S.C. § 794, which prohibits discrimination on the basis of disability in the administration of
programs or activities receiving Federal financial assistance; with the Americans with Disabilities Act of 1990
(ADA), as amended, 42 U.S.C. §§ 12101 et seq., which requires that accessible facilities and services be made
available to individuals with disabilities; with the Architectural Barriers Act of 1968, as amended, 42 U.S.C.
§§ 4151 et seq., which requires that buildings and public accommodations be accessible to individuals with
disabilities; and with other laws and amendments thereto pertaining to access for individuals with disabilities
that may be applicable. In addition, the contractor agrees to comply with applicable implementing Federal
regulations, and any later amendments thereto, and agrees to follow applicable Federal implementing directives,
except to the extent FTA approves otherwise in writing. Among those regulations and directives are:
(1) U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," 49 C.F.R. Part
37;
(2) U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving
or Benefiting from Federal Financial Assistance," 49 C.F.R. Part 27;
(3) Join U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB)/U.S. DOT
regulations, "Americans With Disabilities (ADA) Accessibility Specifications for Transportation Vehicles," 36
C.F.R. Part 1192 and 49 C.F.R. Part 38;
(4) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in State and Local Government
Services," 28 C.F.R. Part 35;
(5) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability by Public Accommodations and in
Commercial Facilities," 28 C.F.R. Part 36;
(6) U.S. General Services Administration (U.S. GSA) regulations, "Accommodations for the Physically
Handicapped," 41 C.F.R. Subpart 101-19;
(7) U.S. EEOC, "Regulations to Implement the Equal Employment Provisions of the Americans with
Disabilities Act," 29 C.F.R. Part 1630;
(8) U.S. Federal Communications Commission regulations, "Telecommunications Relay Services and Related
Customer Premises Equipment for the Hearing and Speech Disabled," 47 C.F.R. Part 64, Subpart F;
(9) U.S. ATBCB regulations, "Electronic and Information Technology Accessibility Standards," 36 C.F.R. Part
1194;
(10) FTA regulations, "Transportation for Elderly and Handicapped Person," 49 C.F.R. Part 609; and
(11) Federal civil rights and nondiscrimination directives implementing the foregoing Federal laws and
regulations, except to the extent the Federal Government determines otherwise in writing.
5A.32 -VETERAN'S HIRING PREFERENCE
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49 U.S.C. 5325 (k)
To the extent practicable, Contractor agrees that it:
FEDERAL REQUIREMENTS
1. Will give a hiring preference to veterans (as defined in 5 U.S.C. § 2108), who have the skills and
abilities required to perform construction work required under a third party contract in connection
with a capital project supported with funds made available or appropriated for 49 U.S.C. chapter 53,
and
2. Will not require an employer to give a preference to any veteran over any equally qualified applicant
who is a member of any racial or ethnic minority, female, an individual with a disability, or a former
employee, and
Contractor also assures that its sub -recipients:
1. Will give a hiring preference to veterans (as defined in 5 U.S.C. § 2108), who have the skills and
abilities required to perform construction work required under a third party contract in connection
with a capital project supported with funds made available or appropriated for 49 U.S.C. chapter 53,
to the extent practicable, and
2. Will not require an employer to give a preference to any veteran over any equally qualified applicant
who is a member of any racial or ethnic minority, female, an individual with a disability, or a former
employee.
5A.33 -PRIVACY ACT
5 U.S.C. 552
Contracts Involving Federal Privacy Act Requirements - The following requirements apply to the
Contractor and its employees that administer any system of records on behalf of the Federal Government
under any contract:
(1) The Contractor agrees to comply with, and assures the compliance of its employees with, the information
restrictions and other applicable requirements of the Privacy Act of 1974, 5 U.S.C. § 552a. Among other
things, the Contractor agrees to obtain the express consent of the Federal Government before the Contractor
or its employees operate a system of records on behalf of the Federal Government. The Contractor
understands that the requirements of the Privacy Act, including the civil and criminal penalties for violation
of that Act, apply to those individuals involved, and that failure to comply with the terms of the Privacy Act
may result in termination of the underlying contract.
(2) The Contractor also agrees to include these requirements in each subcontract to administer any system of
records on behalf of the Federal Government financed in whole or in part with Federal assistance provided by
FTA.
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REQUIRED CONTRACT PROVISIONS
FEDERAL -AID CONSTRUCTION CONTRACTS
I. General
Il. Nondiscrimination
III. Nonsegregated Facilities
IV. Davis -Bacon and Related Act Provisions
V. Contract Work Hours and Safety Standards Act
Provisions
VI. Subletting or Assigning the Contract
VII, Safety: Accident Prevention
VIII False Statements Concerning Highway Projects
IX. Implementation of Clean Air Act and Federal Water
Pollution Control Act
X. Compliance with Governmentwide Suspension and
Debarment Requirements
X. Certification Regarding Use of Contract Funds for
Lobbying
ATTACHMENTS
A. Employment and Materials Preference for Appalachian
Development Highway System or Appalachian Local Access
Road Contracts (included in Appalachian contracts only)
I. GENERAL
1. Form FHWA-1273 must be physically incorporated in each
construction contract funded under Title 23 (excluding
emergency contracts solely intended for debris removal). The
contractor (or subcontractor) must insert this form in each
subcontract and further require its inclusion in all lower tier
subcontracts (excluding purchase orders, rental agreements
and other agreements for supplies or services).
The applicable requirements of Form FHWA-1273 are
incorporated by reference for work done under any purchase
order, rental agreement or agreement for other services. The
prime contractor shall be responsible for compliance by any
subcontractor, lower -tier subcontractor or service provider.
Form FHWA-1273 must be included in all Federal -aid design -
build contracts, in all subcontracts and in lower tier
subcontracts (excluding subcontracts for design services,
purchase orders, rental agreements and other agreements for
supplies or services). The design -builder shall be responsible
for compliance by any subcontractor, lower -tier subcontractor
or service provider.
Contracting agencies may reference Form FHWA-1273 in bid
proposal or request for proposal documents, however, the
Form FHWA-1273 must be physically incorporated (not
referenced) in all contracts, subcontracts and lower -tier
subcontracts (excluding purchase orders, rental agreements
and other agreements for supplies or services related to a
construction contract).
2. Subject to the applicability criteria noted in the following
sections, these contract provisions shall apply to all work
performed on the contract by the contractor's own organization
and with the assistance of workers under the contractor's
immediate superintendence and to all work performed on the
contract by piecework, station work, or by subcontract.
FHWA-1273 -- Revised May 1, 2012
3. A breach of any of the stipulations contained in these
Required Contract Provisions may be sufficient grounds for
withholding of progress payments, withholding of final
payment, termination of the contract, suspension / debarment
or any other action determined to be appropriate by the
contracting agency and FHWA.
4. Selection of Labor: During the performance of this contract,
the contractor shall not use convict labor for any purpose
within the limits of a construction project on a Federal -aid
highway unless it is labor performed by convicts who are on
parole, supervised release, or probation. The term Federal -aid
highway does not include roadways functionally classified as
local roads or rural minor collectors.
It. NONDISCRIMINATION
The provisions of this section related to 23 CFR Part 230 are
applicable to all Federal -aid construction contracts and to all
related construction subcontracts of $10,000 or more. The
provisions of 23 CFR Part 230 are not applicable to material
supply, engineering, or architectural service contracts.
In addition, the contractor and all subcontractors must comply
with the following policies: Executive Order 11246, 41 CFR 60,
29 CFR 1625-1627, Title 23 USC Section 140, the
Rehabilitation Act of 1973, as amended (29 USC 794), Title VI
of the Civil Rights Act of 1964, as amended, and related
regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR
Parts 200, 230, and 633.
The contractor and all subcontractors must comply with: the
requirements of the Equal Opportunity Clause in 41 CFR 60-
1.4(b) and, for all construction contracts exceeding $10,000,
the Standard Federal Equal Employment Opportunity
Construction Contract Specifications in 41 CFR 60-4.3.
Note: The U.S. Department of Labor has exclusive authority to
determine compliance with Executive Order 11246 and the
policies of the Secretary of Labor including 41 CFR 60, and 29
CFR 1625-1627. The contracting agency and the FHWA have
the authority and the responsibility to ensure compliance with
Title 23 USC Section 140, the Rehabilitation Act of 1973, as
amended (29 USC 794), and Title VI of the Civil Rights Act of
1964, as amended, and related regulations including 49 CFR
Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and 633.
The following provision is adopted from 23 CFR 230, Appendix
A, with appropriate revisions to conform to the U.S.
Department of Labor (US DOL) and FHWA requirements.
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth
under laws, executive orders, rules, regulations (28 CFR 35,
29 CFR 1630, 29 CFR 1625-1627, 41 CFR 60 and 49 CFR 27)
and orders of the Secretary of Labor as modified by the
provisions prescribed herein, and imposed pursuant to 23
U.S.C. 140 shall constitute the EEO and specific affirmative
action standards for the contractor's project activities under
this contract. The provisions of the Americans with Disabilities
Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR
35 and 29 CFR 1630 are incorporated by reference in this
contract. In the execution of this contract, the contractor
agrees to comply with the following minimum specific
requirement activities of EEO:
a. The contractor will work with the contracting agency and
the Federal Government to ensure that it has made every
good faith effort to provide equal opportunity with respect to all
of its terms and conditions of employment and in their review
of activities under the contract.
b. The contractor will accept as its operating policy the
following statement:
"It is the policy of this Company to assure that applicants
are employed, and that employees are treated during
employment, without regard to their race, religion, sex, color,
national origin, age or disability. Such action shall include:
employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay or
other forms of compensation; and selection for training,
including apprenticeship, pre -apprenticeship, and/or on-the-
job training."
2. EEO Officer: The contractor will designate and make
known to the contracting officers an EEO Officer who will have
the responsibility for and must be capable of effectively
administering and promoting an active EEO program and who
must be assigned adequate authority and responsibility to do
so.
3. Dissemination of Policy: All members of the contractor's
staff who are authorized to hire, supervise, promote, and
discharge employees, or who recommend such action, or who
are substantially involved in such action, will be made fully
cognizant of, and will implement, the contractor's EEO policy
and contractual responsibilities to provide EEO in each grade
and classification of employment. To ensure that the above
agreement will be met, the following actions will be taken as a
minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then
not less often than once every six months, at which time the
contractor's EEO policy and its implementation will be
reviewed and explained. The meetings will be conducted by
the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Officer, covering
all major aspects of the contractor's EEO obligations within
thirty days following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the
contractor's procedures for locating and hiring minorities and
women.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention of
employees by means of meetings, employee handbooks, or
other appropriate means.
4. Recruitment: When advertising for employees, the
contractor will include in all advertisements for employees the
notation: "An Equal Opportunity Employer." All such
advertisements will be placed in publications having a large
circulation among minorities and women in the area from
which the project work force would normally be derived.
a. The contractor will, unless precluded by a valid
bargaining agreement, conduct systematic and direct
recruitment through public and private employee referral
sources likely to yield qualified minorities and women. To
meet this requirement, the contractor will identify sources of
potential minority group employees, and establish with such
identified sources procedures whereby minority and women
applicants may be referred to the contractor for employment
consideration.
b. In the event the contractor has a valid bargaining
agreement providing for exclusive hiring hall referrals, the
contractor is expected to observe the provisions of that
agreement to the extent that the system meets the contractor's
compliance with EEO contract provisions. Where
implementation of such an agreement has the effect of
discriminating against minorities or women, or obligates the
contractor to do the same, such implementation violates
Federal nondiscrimination provisions.
c. The contractor will encourage its present employees to
refer minorities and women as applicants for employment.
Information and procedures with regard to referring such
applicants will be discussed with employees.
5. Personnel Actions: Wages, working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, national
origin, age or disability. The following procedures shall be
followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facilities
do not indicate discriminatory treatment of project site
personnel.
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any
evidence of discriminatory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take corrective action. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection
with its obligations under this contract, will attempt to resolve
such complaints, and will take appropriate corrective action
within a reasonable time. If the investigation indicates that the
discrimination may affect persons other than the complainant,
such corrective action shall include such other persons. Upon
completion of each investigation, the contractor will inform
every complainant of all of their avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minorities and women who are
applicants for employment or current employees. Such efforts
should be aimed at developing full journey level status
employees in the type of trade or job classification involved.
b. Consistent with the contractor's work force requirements
and as permissible under Federal and State regulations, the
contractor shall make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for the
geographical area of contract performance. In the event a
special provision for training is provided under this contract,
this subparagraph will be superseded as indicated in the
special provision. The contracting agency may reserve
training positions for persons who receive welfare assistance
in accordance with 23 U.S.C. 140(a).
c. The contractor will advise employees and applicants for
employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of employees who are minorities and
women and will encourage eligible employees to apply for
such training and promotion.
7. Unions: If the contractor relies in whole or in part upon
unions as a source of employees, the contractor will use good
faith efforts to obtain the cooperation of such unions to
increase opportunities for minorities and women. Actions by
the contractor, either directly or through a contractor's
association acting as agent, will include the procedures set
forth below:
a. The contractor will use good faith efforts to develop, in
cooperation with the unions, joint training programs aimed
toward qualifying more minorities and women for membership
in the unions and increasing the skills of minorities and women
so that they may qualify for higher paying employment.
b. The contractor will use good faith efforts to incorporate an
EEO clause into each union agreement to the end that such
union will be contractually bound to refer applicants without
regard to their race, color, religion, sex, national origin, age or
disability.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the
extent such information is within the exclusive possession of
the labor union and such labor union refuses to furnish such
information to the contractor, the contractor shall so certify to
the contracting agency and shall set forth what efforts have
been made to obtain such information.
d. In the event the union is unable to provide the contractor
with a reasonable flow of referrals within the time limit set forth
in the collective bargaining agreement, the contractor will,
through independent recruitment efforts, fill the employment
vacancies without regard to race, color, religion, sex, national
origin, age or disability; making full efforts to obtain qualified
and/or qualifiable minorities and women. The failure of a union
to provide sufficient referrals (even though it is obligated to
provide exclusive referrals under the terms of a collective
bargaining agreement) does not relieve the contractor from the
requirements of this paragraph. In the event the union referral
practice prevents the contractor from meeting the obligations
pursuant to Executive Order 11246, as amended, and these
special provisions, such contractor shall immediately notify the
contracting agency.
8. Reasonable Accommodation for Applicants /
Employees with Disabilities: The contractor must be familiar
with the requirements for and comply with the Americans with
Disabilities Act and all rules and regulations established there
under. Employers must provide reasonable accommodation in
all employment activities unless to do so would cause an
undue hardship.
9. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall not
discriminate on the grounds of race, color, religion, sex,
national origin, age or disability in the selection and retention
of subcontractors, including procurement of materials and
leases of equipment. The contractor shall take all necessary
and reasonable steps to ensure nondiscrimination in the
administration of this contract.
a. The contractor shall notify all potential subcontractors and
suppliers and lessors of their EEO obligations under this
contract.
b. The contractor will use good faith efforts to ensure
subcontractor compliance with their EEO obligations.
10. Assurance Required by 49 CFR 26.13(b):
a. The requirements of 49 CFR Part 26 and the State
DOT's U.S. DOT -approved DBE program are incorporated by
reference.
b. The contractor or subcontractor shall not discriminate on
the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out
applicable requirements of 49 CFR Part 26 in the award and
administration of DOT -assisted contracts. Failure by the
contractor to carry out these requirements is a material breach
of this contract, which may result in the termination of this
contract or such other remedy as the contracting agency
deems appropriate.
11. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of
three years following the date of the final payment to the
contractor for all contract work and shall be available at
reasonable times and places for inspection by authorized
representatives of the contracting agency and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number and work hours of minority and non -
minority group members and women employed in each work
classification on the project;
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment
opportunities for minorities and women; and
(3) The progress and efforts being made in locating, hiring,
training, qualifying, and upgrading minorities and women;
b. The contractors and subcontractors will submit an annual
report to the contracting agency each July for the duration of
the project, indicating the number of minority, women, and
non -minority group employees currently engaged in each work
classification required by the contract work. This information is
to be reported on Form FHWA-1391. The staffing data should
represent the project work force on board in all or any part of
the last payroll period preceding the end of July. If on-the-job
training is being required by special provision, the contractor
will be required to collect and report training data. The
employment data should reflect the work force on board during
all or any part of the last payroll period preceding the end of
July.
III. NONSEGREGATED FACILITIES
This provision is applicable to all Federal -aid construction
contracts and to all related construction subcontracts of
$10,000 or more.
The contractor must ensure that facilities provided for
employees are provided in such a manner that segregation on
the basis of race, color, religion, sex, or national origin cannot
result. The contractor may neither require such segregated
use by written or oral policies nor tolerate such use by
employee custom. The contractor's obligation extends further
to ensure that its employees are not assigned to perform their
services at any location, under the contractor's control, where
the facilities are segregated. The term "facilities" includes
waiting rooms, work areas, restaurants and other eating areas,
time clocks, restrooms, washrooms, locker rooms, and other
storage or dressing areas, parking lots, drinking fountains,
recreation or entertainment areas, transportation, and housing
provided for employees. The contractor shall provide separate
or single -user restrooms and necessary dressing or sleeping
areas to assure privacy between sexes.
IV. DAVIS-BACON AND RELATED ACT PROVISIONS
This section is applicable to all Federal -aid construction
projects exceeding $2,000 and to all related subcontracts and
lower -tier subcontracts (regardless of subcontract size). The
requirements apply to all projects located within the right-of-
way of a roadway that is functionally classified as Federal -aid
highway. This excludes roadways functionally classified as
local roads or rural minor collectors, which are exempt.
Contracting agencies may elect to apply these requirements to
other projects.
The following provisions are from the U.S. Department of
Labor regulations in 29 CFR 5.5 "Contract provisions and
related matters" with minor revisions to conform to the FHWA-
1273 format and FHWA program requirements.
1. Minimum wages
a. All laborers and mechanics employed or working upon
the site of the work, will be paid unconditionally and not less
often than once a week, and without subsequent deduction or
rebate on any account (except such payroll deductions as are
permitted by regulations issued by the Secretary of Labor
under the Copeland Act (29 CFR part 3)), the full amount of
wages and bona fide fringe benefits (or cash equivalents
thereof) due at time of payment computed at rates not less
than those contained in the wage determination of the
Secretary of Labor which is attached hereto and made a part
hereof, regardless of any contractual relationship which may
be alleged to exist between the contractor and such laborers
and mechanics.
Contributions made or costs reasonably anticipated for bona
fide fringe benefits under section 1(b)(2) of the Davis -Bacon
Act on behalf of laborers or mechanics are considered wages
paid to such laborers or mechanics, subject to the provisions
of paragraph 1.d. of this section; also, regular contributions
made or costs incurred for more than a weekly period (but not
less often than quarterly) under plans, funds, or programs
which cover the particular weekly period, are deemed to be
constructively made or incurred during such weekly period.
Such laborers and mechanics shall be paid the appropriate
wage rate and fringe benefits on the wage determination for
the classification of work actually performed, without regard to
skill, except as provided in 29 CFR 5.5(a)(4). Laborers or
mechanics performing work in more than one classification
may be compensated at the rate specified for each
classification for the time actually worked therein: Provided,
That the employer's payroll records accurately set forth the
time spent in each classification in which work is performed.
The wage determination (including any additional classification
and wage rates conformed under paragraph 1. b. of this
section) and the Davis -Bacon poster (WH -1321) shall be
posted at all times by the contractor and its subcontractors at
the site of the work in a prominent and accessible place where
it can be easily seen by the workers.
b.(1) The contracting officer shall require that any class of
laborers or mechanics, including helpers, which is not listed in
the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage
determination. The contracting officer shall approve an
additional classification and wage rate and fringe benefits
therefore only when the following criteria have been met:
(i) The work to be performed by the classification
requested is not performed by a classification in the wage
determination; and
(ii) The classification is utilized in the area by the
construction industry; and
(iii) The proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the
wage rates contained in the wage determination.
(2) If the contractor and the laborers and mechanics to be
employed in the classification (if known), or their
representatives, and the contracting officer agree on the
classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of
the action taken shall be sent by the contracting officer to the
Administrator of the Wage and Hour Division, Employment
Standards Administration, U.S. Department of Labor,
Washington, DC 20210. The Administrator, or an authorized
representative, will approve, modify, or disapprove every
additional classification action within 30 days of receipt and
so advise the contracting officer or will notify the contracting
officer within the 30 -day period that additional time is
necessary.
(3) In the event the contractor, the laborers or mechanics
to be employed in the classification or their representatives,
and the contracting officer do not agree on the proposed
classification and wage rate (including the amount
designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the
views of all interested parties and the recommendation of the
contracting officer, to the Wage and Hour Administrator for
determination. The Wage and Hour Administrator, or an
authorized representative, will issue a determination within
30 days of receipt and so advise the contracting officer or
will notify the contracting officer within the 30 -day period that
additional time is necessary.
(4) The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraphs 1.b.(2) or
1.b.(3) of this section, shall be paid to all workers performing
work in the classification under this contract from the first
day on which work is performed in the classification.
c. Whenever the minimum wage rate prescribed in the
contract for a class of laborers or mechanics includes a fringe
benefit which is not expressed as an hourly rate, the contractor
shall either pay the benefit as stated in the wage determination
or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
d. If the contractor does not make payments to a trustee or
other third person, the contractor may consider as part of the
wages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing bona fide fringe benefits
under a plan or program, Provided, That the Secretary of
Labor has found, upon the written request of the contractor,
that the applicable standards of the Davis -Bacon Act have
been met. The Secretary of Labor may require the contractor
to set aside in a separate account assets for the meeting of
obligations under the plan or program.
2. Withholding
The contracting agency shall upon its own action or upon
written request of an authorized representative of the
Department of Labor, withhold or cause to be withheld from
the contractor under this contract, or any other Federal
contract with the same prime contractor, or any other federally -
assisted contract subject to Davis -Bacon prevailing wage
requirements, which is held by the same prime contractor, so
much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics,
including apprentices, trainees, and helpers, employed by the
contractor or any subcontractor the full amount of wages
required by the contract. In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or
helper, employed or working on the site of the work, all or part
of the wages required by the contract, the contracting agency
may, after written notice to the contractor, take such action as
may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds until such violations
have ceased.
3. Payrolls and basic records
a. Payrolls and basic records relating thereto shall be
maintained by the contractor during the course of the work and
preserved for a period of three years thereafter for all laborers
and mechanics working at the site of the work. Such records
shall contain the name, address, and social security number of
each such worker, his or her correct classification, hourly rates
of wages paid (including rates of contributions or costs
anticipated for bona fide fringe benefits or cash equivalents
thereof of the types described in section 1(b)(2)(B) of the
Davis -Bacon Act), daily and weekly number of hours worked,
deductions made and actual wages paid. Whenever the
Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that
the wages of any laborer or mechanic include the amount of
any costs reasonably anticipated in providing benefits under a
plan or program described in section 1(b)(2)(B) of the Davis -
Bacon Act, the contractor shall maintain records which show
that the commitment to provide such benefits is enforceable,
that the plan or program is financially responsible, and that the
plan or program has been communicated in writing to the
laborers or mechanics affected, and records which show the
costs anticipated or the actual cost incurred in providing such
benefits. Contractors employing apprentices or trainees under
approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of
trainee programs, the registration of the apprentices and
trainees, and the ratios and wage rates prescribed in the
applicable programs.
b. (1) The contractor shall submit weekly for each week in
which any contract work is performed a copy of all payrolls to
the contracting agency. The payrolls submitted shall set out
accurately and completely all of the information required to be
maintained under 29 CFR 5.5(a)(3)(i), except that full social
security numbers and home addresses shall not be included
on weekly transmittals. Instead the payrolls shall only need to
include an individually identifying number for each employee
e.g. , the last four digits of the employee's social security
number). The required weekly payroll information may be
submitted in any form desired. Optional Form WH -347 is
available for this purpose from the Wage and Hour Division
Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm
or its successor site. The prime contractor is responsible for
the submission of copies of payrolls by all subcontractors.
Contractors and subcontractors shall maintain the full social
security number and current address of each covered worker,
and shall provide them upon request to the contracting agency
for transmission to the State DOT, the FHWA or the Wage and
Hour Division of the Department of Labor for purposes of an
investigation or audit of compliance with prevailing wage
requirements. It is not a violation of this section for a prime
contractor to require a subcontractor to provide addresses and
social security numbers to the prime contractor for its own
records, without weekly submission to the contracting agency..
(2) Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or_
subcontractor or his or her agent who pays or supervises the
payment of the persons employed under the contract and shall
certify the following:
(i) That the payroll for the payroll period contains the
information required to be provided under §5.5 (a)(3)(ii) of
Regulations, 29 CFR part 5, the appropriate information is
being maintained under §5.5 (a)(3)(i) of Regulations, 29
CFR part 5, and that such information is correct and
complete;
(ii) That each laborer or mechanic (including each
helper, apprentice, and trainee) employed on the contract
during the payroll period has been paid the full weekly
wages earned, without rebate, either directly or indirectly,
and that no deductions have been made either directly or
indirectly from the full wages earned, other than
permissible deductions as set forth in Regulations, 29 CFR
part 3;
(iii) That each laborer or mechanic has been paid not
less than the applicable wage rates and fringe benefits or
cash equivalents for the classification of work performed,
as specified in the applicable wage determination
incorporated into the contract.
(3) The weekly submission of a properly executed
certification set forth on the reverse side of Optional Form
WH -347 shall satisfy the requirement for submission of the
"Statement of Compliance" required by paragraph 3.b.(2) of
this section.
(4) The falsification of any of the above certifications may
subject the contractor or subcontractor to civil or criminal
prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code.
c. The contractor or subcontractor shall make the records
required under paragraph 3.a. of this section available for
inspection, copying, or transcription by authorized
representatives of the contracting agency, the State DOT, the
FHWA, or the Department of Labor, and shall permit such
representatives to interview employees during working hours
on the job. If the contractor or subcontractor fails to submit the
required records or to make them available, the FHWA may,
after written notice to the contractor, the contracting agency or
the State DOT, take such action as may be necessary to
cause the suspension of any further payment, advance, or
guarantee of funds. Furthermore, failure to submit the required
records upon request or to make such records available may
be grounds for debarment action pursuant to 29 CFR 5.12.
4. Apprentices and trainees
a. Apprentices (programs of the USDOL).
Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the U.S. Department of
Labor, Employment and Training Administration, Office of
Apprenticeship Training, Employer and Labor Services, or with
a State Apprenticeship Agency recognized by the Office, or if a
person is employed in his or her first 90 days of probationary
employment as an apprentice in such an apprenticeship
program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship
Training, Employer and Labor Services or a State
Apprenticeship Agency (where appropriate) to be eligible for
probationary employment as an apprentice.
The allowable ratio of apprentices to journeymen on the job
site in any craft classification shall not be greater than the ratio
permitted to the contractor as to the entire work force under
the registered program. Any worker listed on a payroll at an
apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not less than the
applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any
apprentice performing work on the job site in excess of the
ratio permitted under the registered program shall be paid not
less than the applicable wage rate on the wage determination
for the work actually performed. Where a contractor is
performing construction on a project in a locality other than
that in which its program is registered, the ratios and wage
rates (expressed in percentages of the journeyman's hourly
rate) specified in the contractor's or subcontractor's registered
program shall be observed.
Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of
progress, expressed as a percentage of the journeymen hourly
rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with
the provisions of the apprenticeship program. If the
apprenticeship program does not specify fringe benefits,
apprentices must be paid the full amount of fringe benefits
listed on the wage determination for the applicable
classification. If the Administrator determines that a different
practice prevails for the applicable apprentice classification,
fringes shall be paid in accordance with that determination.
In the event the Office of Apprenticeship Training, Employer
and Labor Services, or a State Apprenticeship Agency
recognized by the Office, withdraws approval of an
apprenticeship program, the contractor will no longer be
permitted to utilize apprentices at less than the applicable
predetermined rate for the work performed until an acceptable
program is approved.
b. Trainees (programs of the USDOL).
Except as provided in 29 CFR 5.16, trainees will not be
permitted to work at less than the predetermined rate for the
work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval, evidenced by formal certification by the U.S.
Department of Labor, Employment and Training
Administration.
The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the
Employment and Training Administration.
Every trainee must be paid at not less than the rate specified
in the approved program for the trainee's level of progress,
expressed as a percentage of the journeyman hourly rate
specified in the applicable wage determination. Trainees shall
be paid fringe benefits in accordance with the provisions of the
trainee program. If the trainee program does not mention
fringe benefits, trainees shall be paid the full amount of fringe
benefits listed on the wage determination unless the
Administrator of the Wage and Hour Division determines that
there is an apprenticeship program associated with the
corresponding journeyman wage rate on the wage
determination which provides for less than full fringe benefits
for apprentices. Any employee listed on the payroll at a trainee
rate who is not registered and participating in a training plan
approved by the Employment and Training Administration shall
be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed.
In addition, any trainee performing work on the job site in
excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed.
In the event the Employment and Training Administration
withdraws approval of a training program, the contractor will no
longer be permitted to utilize trainees at less than the
applicable predetermined rate for the work performed until an
acceptable program is approved.
c. Equal employment opportunity. The utilization of
apprentices, trainees and journeymen under this part shall be
in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and 29
CFR part 30.
d. Apprentices and Trainees (programs of the U.S. DOT).
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the
Secretary of Transportation as promoting EEO in connection
with Federal -aid highway construction programs are not
subject to the requirements of paragraph 4 of this Section IV.
The straight time hourly wage rates for apprentices and
trainees under such programs will be established by the
particular programs. The ratio of apprentices and trainees to
journeymen shall not be greater than permitted by the terms of
the particular program.
5. Compliance with Copeland Act requirements. The
contractor shall comply with the requirements of 29 CFR part
3, which are incorporated by reference in this contract.
6. Subcontracts. The contractor or subcontractor shall insert
Form FHWA-1273 in any subcontracts and also require the
subcontractors to include Form FHWA-1273 in any lower tier
subcontracts. The prime contractor shall be responsible for the
compliance by any subcontractor or lower tier subcontractor
with all the contract clauses in 29 CFR 5.5.
7. Contract termination: debarment. A breach of the
contract clauses in 29 CFR 5.5 may be grounds for termination
of the contract, and for debarment as a contractor and a
subcontractor as provided in 29 CFR 5.12.
8. Compliance with Davis -Bacon and Related Act
requirements. All rulings and interpretations of the Davis -
Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5
are herein incorporated by reference in this contract.
9. Disputes concerning labor standards. Disputes arising
out of the labor standards provisions of this contract shall not
be subject to the general disputes clause of this contract. Such
disputes shall be resolved in accordance with the procedures
of the Department of Labor set forth in 29 CFR parts 5, 6, and
7. Disputes within the meaning of this clause include disputes
between the contractor (or any of its subcontractors) and the
contracting agency, the U.S. Department of Labor, or the
employees or their representatives.
10. Certification of eligibility.
a. By entering into this contract, the contractor certifies that
neither it (nor he or she) nor any person or firm who has an
interest in the contractor's firm is a person or firm ineligible to
be awarded Government contracts by virtue of section 3(a) of
the Davis -Bacon Act or 29 CFR 5.12(a)(1).
b. No part of this contract shall be subcontracted to any person
or firm ineligible for award of a Government contract by virtue
of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
c. The penalty for making false statements is prescribed in the
U.S. Criminal Code, 18 U.S.C. 1001.
V. CONTRACT WORK HOURS AND SAFETY
STANDARDS ACT
The following clauses apply to any Federal -aid construction
contract in an amount in excess of $100,000 and subject to the
overtime provisions of the Contract Work Hours and Safety
Standards Act. These clauses shall be inserted in addition to
the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As
used in this paragraph, the terms laborers and mechanics
include watchmen and guards.
1. Overtime requirements. No contractor or subcontractor
contracting for any part of the contract work which may require
or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any
workweek in which he or she is employed on such work to
work in excess of forty hours in such workweek unless such
laborer or mechanic receives compensation at a rate not less
than one and one-half times the basic rate of pay for all hours
worked in excess of forty hours in such workweek.
2. Violation; liability for unpaid wages; liquidated
damages. In the event of any violation of the clause set forth
in paragraph (1.) of this section, the contractor and any
subcontractor responsible therefor shall be liable for the
unpaid wages. In addition, such contractor and subcontractor
shall be liable to the United States (in the case of work done
under contract for the District of Columbia or a territory, to such
District or to such territory), for liquidated damages. Such
liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and
guards, employed in violation of the clause set forth in
paragraph (1.) of this section, in the sum of $10 for each
calendar day on which such individual was required or
permitted to work in excess of the standard workweek of forty
hours without payment of the overtime wages required by the
clause set forth in paragraph (1.) of this section.
3. Withholding for unpaid wages and liquidated damages.
The FHWA or the contacting agency shall upon its own action
or upon written request of an authorized representative of the
Department of Labor withhold or cause to be withheld, from
any moneys payable on account of work performed by the
contractor or subcontractor under any such contract or any
other Federal contract with the same prime contractor, or any
other federally -assisted contract subject to the Contract Work
Hours and Safety Standards Act, which is held by the same
prime contractor, such sums as may be determined to be
necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated damages as
provided in the clause set forth in paragraph (2.) of this
section.
4. Subcontracts. The contractor or subcontractor shall insert
in any subcontracts the clauses set forth in paragraph (1.)
through (4.) of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier
subcontracts. The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor
with the clauses set forth in paragraphs (1.) through (4.) of this
section.
VI. SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal -aid construction
contracts on the National Highway System.
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent (or a
greater percentage if specified elsewhere in the contract) of
the total original contract price, excluding any specialty items
designated by the contracting agency. Specialty items may be
performed by subcontract and the amount of any such
specialty items performed may be deducted from the total
original contract price before computing the amount of work
required to be performed by the contractor's own organization
(23 CFR 635.116).
a. The term "perform work with its own organization" refers
to workers employed or leased by the prime contractor, and
equipment owned or rented by the prime contractor, with or
without operators. Such term does not include employees or
equipment of a subcontractor or lower tier subcontractor,
agents of the prime contractor, or any other assignees. The
term may include payments for the costs of hiring leased
employees from an employee leasing firm meeting all relevant
Federal and State regulatory requirements. Leased
employees may only be included in this term if the prime
contractor meets all of the following conditions:
(1) the prime contractor maintains control over the
supervision of the day-to-day activities of the leased
employees;
(2) the prime contractor remains responsible for the quality
of the work of the leased employees;
(3) the prime contractor retains all power to accept or
exclude individual employees from work on the project; and
(4) the prime contractor remains ultimately responsible for
the payment of predetermined minimum wages, the
submission of payrolls, statements of compliance and all
other Federal regulatory requirements.
b. "Specialty Items" shall be construed to be limited to work
that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid or propose on the
contract as a whole and in general are to be limited to minor
components of the overall contract.
2. The contract amount upon which the requirements set forth
in paragraph (1) of Section VI is computed includes the cost of
material and manufactured products which are to be
purchased or produced by the contractor under the contract
provisions.
3. The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the firm, has full authority to
direct performance of the work in accordance with the contract
requirements, and is in charge of all construction operations
(regardless of who performs the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the contracting officer determines is
necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the
contracting officer, or authorized representative, and such
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment of the
contract. Written consent will be given only after the
contracting agency has assured that each subcontract is
evidenced in writing and that it contains all pertinent provisions
and requirements of the prime contract.
5. The 30% self -performance requirement of paragraph (1) is
not applicable to design -build contracts; however, contracting
agencies may establish their own self -performance
requirements.
VII. SAFETY: ACCIDENT PREVENTION
T h i s p r o v i s i o n i s applicable to all Federal -aid
construction contracts and to all related subcontracts.
1. In the performance of this contract the contractor shall
comply with all applicable Federal, State, and local laws
governing safety, health, and sanitation (23 CFR 635). The
contractor shall provide all safeguards, safety devices and
protective equipment and take any other needed actions as it
determines, or as the contracting officer may determine, to be
reasonably necessary to protect the life and health of
employees on the job and the safety of the public and to
protect property in connection with the performance of the
work covered by the contract.
2. It is a condition of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and any
subcontractor shall not permit any employee, in performance
of the contract, to work in surroundings or under conditions
which are unsanitary, hazardous or dangerous to his/her
health or safety, as determined under construction safety and
health standards (29 CFR 1926) promulgated by the Secretary
of Labor, in accordance with Section 107 of the Contract Work
Hours and Safety Standards Act (40 U.S.C. 3704).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract
that the Secretary of Labor or authorized representative
thereof, shall have right of entry to any site of contract
performance to inspect or investigate the matter of compliance
with the construction safety and health standards and to carry
out the duties of the Secretary under Section 107 of the
Contract Work Hours and Safety Standards Act (40
U.S.C.3704).
VIII. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
T h i s p r o v i s i o n i s applicable to all Federal -aid
construction contracts and to all related subcontracts.
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made
by engineers, contractors, suppliers, and workers on Federal -
aid highway projects, it is essential that all persons concerned
with the project perform their functions as carefully, thoroughly,
and honestly as possible. Willful falsification, distortion, or
misrepresentation with respect to any facts related to the
project is a violation of Federal law. To prevent any
misunderstanding regarding the seriousness of these and
similar acts, Form FHWA-1022 shall be posted on each
Federal -aid highway project (23 CFR 635) in one or more
places where it is readily available to all persons concerned
with the project:
18 U. S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or employee of the United
States, or of any State or Territory, or whoever, whether a
person, association, firm, or corporation, knowingly makes any
false statement, false representation, or false report as to the
character, quality, quantity, or cost of the material used or to
be used, or the quantity or quality of the work performed or to
be performed, or the cost thereof in connection with the
submission of plans, maps, specifications, contracts, or costs
of construction on any highway or related project submitted for
approval to the Secretary of Transportation; or
Whoever knowingly makes any false statement, false
representation, false report or false claim with respect to the
character, quality, quantity, or cost of any work performed or to
be performed, or materials furnished or to be furnished, in
connection with the construction of any highway or related
project approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate,
or report submitted pursuant to provisions of the Federal -aid
Roads Act approved July 1, 1916, (39 Stat. 355), as amended
and supplemented;
Shall be fined under this title or imprisoned not more than 5
years or both."
IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts.
By submission of this bid/proposal or the execution of this
contract, or subcontract, as appropriate, the bidder, proposer
Federal -aid construction contractor, or subcontractor, as
appropriate, will be deemed to have stipulated as follows:
1. That any person who is or will be utilized in the
performance of this contract is not prohibited from receiving an
award due to a violation of Section 508 of the Clean Water Act
or Section 306 of the Clean Air Act.
2. That the contractor agrees to include or cause to be
included the requirements of paragraph (1) of this Section X in
every subcontract, and further agrees to take such action as
the contracting agency may direct as a means of enforcing
such requirements.
X. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
This provision is applicable to all Federal -aid construction
contracts, design -build contracts, subcontracts, lower -tier
subcontracts, purchase orders, lease agreements, consultant
contracts or any other covered transaction requiring FHWA
approval or that is estimated to cost $25,000 or more — as
defined in 2 CFR Parts 180 and 1200.
1. Instructions for Certification — First Tier Participants:
a. By signing and submitting this proposal, the prospective
first tier participant is providing the certification set out below.
b. The inability of a person to provide the certification set out
below will not necessarily result in denial of participation in this
covered transaction. The prospective first tier participant shall
submit an explanation of why it cannot provide the certification
set out below. The certification or explanation will be
considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective first tier participant to furnish a
certification or an explanation shall disqualify such a person
from participation in this transaction.
c. The certification in this clause is a material representation
of fact upon which reliance was placed when the contracting
agency determined to enter into this transaction. If it is later
determined that the prospective participant knowingly rendered
an erroneous certification, in addition to other remedies
available to the Federal Government, the contracting agency
may terminate this transaction for cause of default.
d. The prospective first tier participant shall provide
immediate written notice to the contracting agency to whom
this proposal is submitted if any time the prospective first tier
participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed
circumstances.
e. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "participant," "person," "principal,"
and "voluntarily excluded," as used in this clause, are defined
in 2 CFR Parts 180 and 1200. "First Tier Covered
Transactions" refers to any covered transaction between a
grantee or subgrantee of Federal funds and a participant (such
as the prime or general contract). "Lower Tier Covered
Transactions" refers to any covered transaction under a First
Tier Covered Transaction (such as subcontracts). "First Tier
Participant" refers to the participant who has entered into a
covered transaction with a grantee or subgrantee of Federal
funds (such as the prime or general contractor). "Lower Tier
Participant" refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
Tier Participants (such as subcontractors and suppliers).
f. The prospective first tier participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by
the department or agency entering into this transaction.
g. The prospective first tier participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transactions,"
provided by the department or contracting agency, entering
into this covered transaction, without modification, in all lower
tier covered transactions and in all solicitations for lower tier
covered transactions exceeding the $25,000 threshold.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as
the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded
Parties List System website (httos:/Iv.nw w.eols..g ), which is
compiled by the General Services Administration.
I. Nothing contained in the foregoing shall be construed to
require the establishment of a system of records in order to
render in good faith the certification required by this clause.
The knowledge and information of the prospective participant
is not required to exceed that which is normally possessed by
a prudent person in the ordinary course of business dealings.
j. Except for transactions authorized under paragraph (f) of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause
or default.
2. Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion — First Tier
Participants:
a. The prospective first tier participant certifies to the best of
its knowledge and belief, that it and its principals:
(1) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participating in covered transactions by any Federal
department or agency;
(2) Have not within a three-year period preceding this
proposal been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing
a public (Federal, State or local) transaction or contract under
a public transaction; violation of Federal or State antitrust
statutes or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false
statements, or receiving stolen property;
(3) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or
local) with commission of any of the offenses enumerated in
paragraph (a)(2) of this certification; and
(4) Have not within a three-year period preceding this
application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
b. Where the prospective participant is unable to certify to
any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
2. Instructions for Certification - Lower Tier Participants:
(Applicable to all subcontracts, purchase orders and other
lower tier transactions requiring prior FHWA approval or
estimated to cost $25,000 or more - 2 CFR Parts 180 and
1200)
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction
was entered into. If it is later determined that the prospective
lower tier participant knowingly rendered an erroneous
certification, in addition to other remedies available to the
Federal Government, the department, or agency with which
10
this transaction originated may pursue available remedies,
including suspension and/or debarment.
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of
changed circumstances.
d. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "participant," "person," "principal,"
and "voluntarily excluded," as used in this clause, are defined
in 2 CFR Parts 180 and 1200. You may contact the person to
which this proposal is submitted for assistance in obtaining a
copy of those regulations. "First Tier Covered Transactions"
refers to any covered transaction between a grantee or
subgrantee of Federal funds and a participant (such as the
prime or general contract). "Lower Tier Covered Transactions"
refers to any covered transaction under a First Tier Covered
Transaction (such as subcontracts). "First Tier Participant"
refers to the participant who has entered into a covered
transaction with a grantee or subgrantee of Federal funds
(such as the prime or general contractor). "Lower Tier
Participant" refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
Tier Participants (such as subcontractors and suppliers).
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into
any lower tier covered transaction with a person who is
debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless
authorized by the department or agency with which this
transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transaction,"
without modification, in all lower tier covered transactions and
in all solicitations for lower tier covered transactions exceeding
the $25,000 threshold.
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as
the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded
Parties List System website (htt s:1Am&w.e Is. ou , which is
compiled by the General Services Administration.
h. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render
in good faith the certification required by this clause. The
knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person
in the ordinary course of business dealings.
i. Except for transactions authorized under paragraph a of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
department or agency with which this transaction originated
may pursue available remedies, including suspension and/or
debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion --Lower Tier
Participants:
1. The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participating in
covered transactions by any Federal department or agency.
2. Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
XI. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS FOR LOBBYING
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts which exceed
$100,000 (49 CFR 20).
1. The prospective participant certifies, by signing and
submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any
Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or
cooperative agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and
submit Standard Form -LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
2. This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31
U.S.C. 1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
3. The prospective participant also agrees by submitting its
bid or proposal that the participant shall require that the
language of this certification be included in all lower tier
subcontracts, which exceed $100,000 and that all such
recipients shall certify and disclose accordingly.
ATTACHMENT A - EMPLOYMENT AND MATERIALS
PREFERENCE FOR APPALACHIAN DEVELOPMENT
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS
ROAD CONTRACTS
This provision is applicable to all Federal -aid projects funded
under the Appalachian Regional Development Act of 1965.
1. During the performance of this contract, the contractor
undertaking to do work which is, or reasonably may be, done
as on-site work, shall give preference to qualified persons who
regularly reside in the labor area as designated by the DOL
wherein the contract work is situated, or the subregion, or the
Appalachian counties of the State wherein the contract work is
situated, except:
a. To the extent that qualified persons regularly residing in
the area are not available.
b. For the reasonable needs of the contractor to employ
supervisory or specially experienced personnel necessary to
assure an efficient execution of the contract work.
c. For the obligation of the contractor to offer employment to
present or former employees as the result of a lawful collective
bargaining contract, provided that the number of nonresident
persons employed under this subparagraph (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.
12
6. The contractor shall include the provisions of Sections 1
through 4 of this Attachment A in every subcontract for work
which is, or reasonably may be, done as on-site work.
RESOLUTION NO. 2022-175
A RESOLUTION OF THE LODI CITY COUNCIL AUTHORIZING THE
CITY MANAGER TO EXECUTE A PROFESSIONAL SERVICES AGREEMENT
WITH MICHAEL BAKER INTERNATIONAL, INC., OF RANCHO CORDOVA,
FOR LABOR COMPLIANCE SERVICES FOR VARIOUS PROJECTS
WHEREAS, the Public Works Department manages numerous State- and federally -
funded public works projects requiring labor compliance oversight; and
WHEREAS, an on-call agreement allows staff to comply with these stringent
requirements by employing a third -party to complete the time-consuming and time -sensitive
tasks; and
WHEREAS, staff requested quotes from eight companies specializing in labor
compliance, receiving two written quotes. This type of service allows for performance-based
selection, and Michael Baker International, Inc., was deemed most qualified; and
WHEREAS, the scope of service includes payroll review for compliance with prevailing
wage rates, contractor interviews, and timely communication with prime contractors to obtain
the correct documents from prime contractors and subcontractors; and
WHEREAS, staff recommends authorizing the City Manager to execute a Professional
Services Agreement with Michael Baker International, Inc., of Rancho Cordova, for labor
compliance services, in an amount not to exceed $100,000.
NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council does hereby
authorize the City Manager to execute a Professional Services Agreement with Michael Baker
International, Inc., of Rancho Cordova, California, for labor compliance services for various
projects, for the term of three years, with two optional one-year extensions, in an amount not to
exceed $100,000 over the five-year term; and
BE IT FURTHER RESOLVED, pursuant to Section 6.3q of the City Council Protocol
Manual (Res. No. 2019-223), the City Attorney is hereby authorized to make minor revisions to
the above -referenced document(s) that do not alter the compensation or term, and to make
clerical corrections as necessary.
Dated: July 20, 2022
I hereby certify that Resolution No. 2022-175 was passed and adopted by the City
Council of the City of Lodi in a regular meeting held July 20, 2022, by the following vote:
AYES: COUNCIL MEMBERS — Khan, Kuehne, Nakanishi, and Mayor Chandler
NOES: COUNCIL MEMBERS — None
ABSENT: COUNCIL MEMBERS — Hothi
ABSTAIN: COUNCIL MEMBERS — None
CCLU�4w"
OLIVIA NASHED
City Clerk
2022-175