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c4`'F°RN,P. City Council Staff Report
DATE: January21, 2015 NEW BUSINESS
SUBJECT: AWARD A CONSTRUCTION CONTRACT TO AEGIS ITS, INC., A
CALIFORNIA CORPORATION, IN THE AMOUNT OF $2,078,080.40,
AND APPROVE AMENDMENT NO. 1 IN THE AMOUNT OF $276,738 TO
THE PROFESSIONAL SERVICES AGREEMENT WITH RBF
CONSULTING FOR CONSTRUCTION MANAGEMENT SERVICES FOR
THE TRAFFIC MANAGEMENT CENTER AND CITYWIDE TRAFFIC
SIGNAL INTERCONNECT/SYNCHRONIZATION PROJECT, CITY
PROJECT 08-04, FEDERAL AID PROJECT NO. CML 5282 (031)
FROM: David H. Ready, City Manager
BY: Public Works & Engineering Department
SUMMARY:
Award of this contract will allow the City to proceed with construction of a new Traffic
Management Center ("TMC") and traffic signal interconnect and synchronization
improvements at traffic signals located throughout the City. An amendment to the
professional services agreement with RBF Consulting is recommended to include
turnkey construction management services (contract administration, materials testing,
and inspection).
RECOMMENDATION:
1. Award a construction contract (Agreement No. ) to Aegis ITS, Inc., a California
corporation, in the amount of $2,078,080.40 for the Traffic Management Center and
Citywide Traffic Signal Interconnect Project, City Project No. 08-04, Federal Aid
Project No. CML 5282 (031);
2. Approve and Authorize the City Manager to approve and execute construction
contract change orders up to a cumulative amount of 5% of the contract amount
($103,940);
3. Approve Amendment No. 1 to Agreement No. 5985 with RBF Consulting, in the
amount of $276,738, for a total contract amount of $524,259 for the Traffic
Management Center and Citywide Traffic Signal Interconnect Project, City Project
No. 08-04, Federal Aid Project No. CML 5282 (031); and
ITEM NO.
City Council Staff Report
January 21, 2015 -- Page 2
TMC and Traffic Signal Interconnect/Synchronization (CP 08-04)
4. Authorize the City Manager to execute all necessary documents.
BACKGROUND:
The Coachella Valley Association of Governments ("CVAG") Executive Committee
approved a Call for Projects for CVAG and its member jurisdictions using CVAG's
allocation of Congestion Mitigation and Air Quality ("CMAQ") funds made available
through the prior highway funding bill, the Safe, Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for Users ("SAFETEA-LU"). The Public Works and
Engineering Department responded to CVAG's Call for Projects for CMAQ funding,
requesting consideration of funding to analyze all of the City's arterial corridors to
upgrade the traffic signal interconnect systems with current technology, and to create a
modern traffic management center at City Hall. The purpose of the City's request is to
repair and improve all of the existing traffic signal interconnect systems with modern
systems that are capable of being remotely monitored and have greater reliability.
Associated with the project was traffic engineering analysis to obtain existing traffic
volume turning counts at key major intersections along the interconnected corridors
from which new updated traffic signal interconnect timing plans were prepared and
implemented.
The Public Works Department's request to CVAG was for $1,843,000 in CMAQ federal
funds for an estimated $2,082,000 project, consistent with the CMAQ federal program
reimbursement rate of 88.53% of project costs. CVAG received 28 requests for CMAQ
funding from its member jurisdictions, requesting a total of $30,610,112 in funding. The
requests were evaluated by a Review Panel, and the City's request was ranked in 8th
place of the 28 requests received. The CVAG Executive Committee subsequently
approved the list of projects to receive CMAQ funding, and the projects were later
added to the Regional Transportation Improvement Plan.
On June 2, 2010, the City Council approved an agreement with RBF Consulting, in the
amount of $247,521 for environmental and traffic engineering design services for the
Traffic Management Center and Citywide Traffic Signal Interconnect Project (City
Project 08-04), Federal Aid Project No. CML-5282(031), (the "Project"). The Project is
made possible by the federal CMAQ funds awarded to the City by CVAG. The City's
consultant, RBF Consulting, previously completed the environmental studies,
construction plans, specifications and estimates, and the Project was ready for
advertising and bidding. The Project includes modifications and upgrades to 80
signalized intersections, importing video and data from signalized intersections within
the City to a new TMC to be located at the Public Works and Engineering Department,
and installation of three thermal/daylight color cameras to monitor the Whitewater River
crossings on Vista Chino, Indian Canyon Drive, and Gene Autry Trail with real-time data
streaming to the new TMC.
Although the federal CMAQ funds were awarded by CVAG, all federal highway funds,
including CMAQ funds, are ultimately administered by the California Department of
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City Council Staff Report
January 21, 2015 -- Page 3
TMC and Traffic Signal Interconnect/Synchronization (CP 08-04)
Transportation ("Caltrans") after they are allocated to local agencies. On April 4, 2014,
the Public Works and Engineering Department received authorization from Caltrans to
proceed with construction of the Project. On September 3, 2014, the City Council
reviewed and approved the plans, specifications, and estimates and authorized staff to
proceed with bidding. On September 5 and 12, 2014, the Project was advertised for
bids, and at 3:00 p.m. on October 7, 2014, the Procurement and Contracting Division
received four construction bids from the following contractors:
Company Location Bid Amount
Flatiron Electric Group, Inc. Chino, CA $2,080,525.00
Aegis ITS, Inc. Anaheim, CA $2,094,872.23
CS Construction, Inc. Phoenix, AZ $2,269,420.00
DBX, Inc. Temecula, CA $2,636,818.00
RBF Consulting's final engineer's estimate was $1 ,480,000. Given that the original four
bids exceeded the engineer's estimate, on November 5, 2014, the City Council rejected
all four bids and directed staff to re-advertise for new bidding; it was RBF Consulting's
opinion that modifying the bid specifications to allow Contractors with C-10 (general
electrical contractors) and C-7 (low-voltage electrical contractors) licenses to bid would
facilitate lower overall bid prices.
Pursuant to the direction given by City Council, the Project was re-advertised for bidding
on November 8 and 15, 2014, and at 3:00 p.m. on December 9, 2014, the Procurement
and Contracting Division received three construction bids from the following contractors:
Company Location Bid Amount
Aegis ITS, Inc. Anaheim, CA $2,078,080.40
Flatiron Electric Group, Inc. Chino, CA $2,079,915.00
DBX, Inc. Temecula, CA $2,354,242.00
A full bid summary is included as Attachment 1. As shown, the bids received are in
excess of the final engineer's estimate prepared by RBF Consulting, despite efforts to
allow for bidding by Contractors with C-7 and C-10 licenses.
Aegis ITS, Inc., of Anaheim, California submitted the lowest responsive bid. Staff
reviewed the bid, references, and contractor's licenses, and found the Contractor to be
properly licensed and qualified. A construction contract with Aegis ITS, Inc., for the
Project is included as Attachment 2.
Local Business Preference Compliance
Section 7.09.030 of the Palm Springs Municipal Code, "Local Business Preference
Program," requires prime contractors to use good faith efforts to sub-contract the supply
of materials and equipment to local business enterprises and to sub-contract services to
businesses whose work force resides within the Coachella Valley; submission of good
03
City Council Staff Report
January 21, 2015-- Page 4
TMC and Traffic Signal Interconnect/Synchronization (CP 08-04)
faith efforts is required. However, Section 7.09.030 does not apply to projects that
receive state or federal funding which preclude the application of local preferences.
City Council Approval of Contingency Funds
Given the size and scope of the Project, staff recommends that the City Council
delegate authority to the City Manager to approve and execute construction contract
change orders up to a cumulative amount of 5% of the contract amount equivalent to
$103,904. The Assistant City Manager/City Engineer will carefully evaluate any
additional or extra work claims represented by Aegis ITS, Inc., and if valid, submit to the
City Manager for his approval. In this way, work can proceed uninterrupted as the City
Manager and Assistant City Manager/City Engineer administratively process
construction contract change orders up to the authority specifically delegated herein by
the City Council.
Construction Management/Administration
The Project requires highly technical traffic signal and electrical inspections, in addition
to the full contract oversight and administration required given the federal funding
allocated to it; with limited staff resources currently available it is recommended that the
City Council amend the professional services agreement with RBF Consulting to include
"Phase 3 — Construction Administration Services." The original scope of the agreement
was intended to allow for these additional services to be added at the discretion of the
City Council; staff has negotiated with RBF Consulting on the required scope of
services, and prepared an amendment to the agreement on the basis of a 160 working
day construction schedule. The total budget for the construction phase services is
$276,738 which represents 13% of the construction contract amount; construction
phase services generally vary between 10% to 15% of the construction cost depending
upon the technical requirements and the duration of the contract. A copy of the
proposed amendment is included as Attachment 3.
ENVIRONMENTAL IMPACT:
Section 21084 of the California Public Resources Code requires Guidelines for
Implementation of the California Environmental Quality Act ("CEQA"). The Guidelines
are required to include a list of classes of projects which have been determined not to
have a significant effect on the environment and which are exempt from the provisions
of CEQA. In response to that mandate, the Secretary for Resources identified classes
of projects that do not have a significant effect on the environment, and are declared to
be categorically exempt from the requirement for the preparation of environmental
documents. In accordance with Section 15301 "Existing Facilities," Class 1 projects
consist of the maintenance of existing highways and streets and allows for
implementation of traffic signal modifications and installation of facilities for health and
safety reasons, therefore the Project is considered categorically exempt from CEQA. A
copy of the CEQA Notice of Exemption is included as Attachment 4.
On July 26, 2012, Caltrans, acting as the lead agency pursuant to the National
Environmental Policy Act ("NEPA"), made an environmental determination that the
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City Council Staff Report
January 21, 2015-- Page 5
TMC and Traffic Signal Interconnect/Synchronization (CP 08-04)
Project does not individually or cumulatively have a significant impact on the
environment as defined by NEPA and is excluded from the requirements to prepare an
Environmental Assessment ("EA") or Environmental Impact Statement ("EIS"), and has
considered unusual circumstances pursuant to 23 CFR 771.117(b). On the basis of this
determination under federal delegation pursuant to Chapter 3 of Title 23, United States
Code, Section 326 and a Memorandum of Understanding ("MOU") dated June 7, 2010,
executed between the Federal Highway Administration ("FHWA") and the state of
California, Caltrans has determined that the Project qualifies for a Categorical Exclusion
in accordance with 23 CFR 771.117(d) pursuant to activity (d)(2). A copy of the NEPA
Categorical Exclusion is included as Attachment 5.
FISCAL IMPACT:
The City has received a federal CMAQ grant of $1,843,000 for the Project, with
$199,000 allocated to the design phase and $1,644,000 allocated to the construction
phase. Previously, the City budgeted $201,652 from Fund 133 (Special Gas Tax
Improvement), and $54,295 from Fund 134 (Measure A Improvements) for the Project.
The Project's overall budget, and incurred expenditures, is identified in Table 1:
Table of Project Costs Amount
CMAQ Federal Aid Grant $1,843,000
Gas Tax Fund Prior Year Allocation $201 ,652
Measure A Fund Prior Year Allocation $54,295
Measure A Fund New Allocation $672,567
Design Services $247,521
Project Administration (through 1/12/15 $45,271
Project Administration Estimated $20,000
Construction Management $276,738
Construction Contract $2,078,080
Construction Contingency $103,904
Remaining Balance $0
Table 1
The Project has not, and will not, require any General Fund (Fund 001) or Measure J
Fund (Fund 260) budget. As shown in Table 1, an additional allocation of $672,567
from Fund 134 (Measure A Improvements) will be required to facilitate the final cost of
the Project. The additional Measure A funds are available with existing Fund 134
balance previously appropriated to other projects that have been completed, and does
not require a separate appropriation by the City Council; an internal off-setting balance
adjustment will be processed administratively to accommodate the City Council's award
of contract.
Funds to encumber for award of the construction contract in the amount of
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City Council Staff Report
January 21, 2015 -- Page 6
TMC and Traffic Signal Interconnect/Synchronization (CP 08-04)
$2,078,080.40 with Aegis ITS, Inc., are available from the following accounts:
• 261-4491-50266; $1,644,000
• 133-4298-50266; $152,736.97
• 134-4498-50272; $281,343.43
Funds to encumber for approval of the amendment to the professional services
agreement with RFB Consulting in the amount of $276,738 are available from the
following account:
0 134-4498-50272; $276,738
Sufficient funds remain available in Measure A account 134-4498-50272 to facilitate the
City Council's delegation of authority to the City Manager to approve and execute
construction contract change orders up to a cumulative amount of 5% of the contract
amount equivalent to $103,904.
SUBMITTED
Prepared by:
Marcus L. Fuller, MPA, P.E., P.L.S.
Assistant City Manager/City Engineer
Approved by:
David H. Ready,
City Manager
Attachments:
1. Bid Summary
2. Construction Contract
3. CEQA Clearance: Notice of Exemption
4. NEPA Clearance: Categorical Exclusion
5. Amendment No. 1 to Agreement 5985
06
Attachment 1
07
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Attachment 2
09
AGREEMENT
(CONSTRUCTION CONTRACT)
THIS AGREEMENT made this 21st day of January. 2015, by and between the City of
Palm Springs, a charter city, organized and existing in the County of Riverside, under and
by virtue of the laws of the State of California, hereinafter designated as the City, and
Aegis ITS. Inc., a California corporation, hereinafter designated as the Contractor. The
City and the Contractor, in consideration of the mutual covenants hereinafter set forth,
agree as follows:
ARTICLE 1 -- THE WORK
For and in consideration of the payments and agreements to be made and performed by
City, Contractor agrees to furnish all materials and perform all work required to complete
the Work as specified in the Contract Documents, and as generally indicated under the
Bid Schedule(s) for the Project entitled:
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO. 08-04
FEDERAL AID PROJECT NO. CIVIL 5282 (031)
The work to be done includes, but not limited to, the installation of conduit, pull boxes,
splice boxes/vaults, splice closures/splice trays, wireless subscriber unit modules,
wireless base station unit modules, Point-to-Point (PtP) radios, fiber distribution units
(FDU), singlemode fiber optic cable, closed circuit television (CCTV) internet protocol
(IP) camera systems, thermal/daylight color camera IP systems, Ethernet switches, a
layer 3 switch, and traffic signal controllers and cabinets; removing/salvaging/modifying
existing traffic signal controllers, video detection equipment, wireless communication
equipment, and cabinets; relocating and providing additional equipment for the City's
new Traffic Management Center (TMC); performing splicing and termination operations,
system integration, testing, and training; installing miscellaneous cables, connectors
and all the necessary appurtenances to provide a complete communication and video
surveillance system from the field elements to the City of Palm Spring's new Traffic
Management Center (TMC).
ARTICLE 2 -- COMMENCEMENT AND COMPLETION
The Work to be performed under this Contract shall commence on the date specified in
the Notice to Proceed by the City, and the Work shall be fully completed within the time
specified in the Notice to Proceed.
The City and the Contractor recognize that time is of the essence of this Agreement, and
that the City will suffer financial loss if the Work is not completed within the time specified
in Article 2, herein, plus any extensions thereof allowed in accordance with applicable
provisions of the Standard Specifications, as modified herein. They also recognize the
delays, expense, and difficulties involved in proving in a legal proceeding the actual loss
suffered by the City if the Work is not completed on time. Accordingly, instead of
requiring any such proof, the City and the Contractor agree that as liquidated damages or
delay (but not as a penalty), the Contractor shall pay the City the sum of $3,000 for each
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM
NOVEMBER 2014 AGREEMENT AND BONDS-PAGE 1
10
Calendar day that expires after the time specified in Article 2, herein. In executing the
Agreement, the Contractor acknowledges it has reviewed the provisions of the Standard
Specifications, as modified herein, related to liquidated damages, and has made itself
aware of the actual loss incurred by the City due to the inability to complete the Work
within the time specified in the Notice to Proceed.
ARTICLE 3 -- CONTRACT PRICE
The City shall pay the Contractor for the completion of the Work, in accordance with the
Contract Documents, in current funds the Contract Price(s) named in the Contractor's Bid
Proposal and Bid Schedule(s), and any duly authorized Construction Contract Change
Orders approved by the City. The amount of the initial contract award in accordance with
the Contractor's Bid Proposal is Two Million Seventy-Eight Thousand Eighty Dollars
and Forty Cents ($2,078,080.40).
Contractor agrees to receive and accept the prices set forth herein, as full compensation
for furnishing all materials, performing all work, and fulfilling all obligations hereunder.
Said compensation shall cover all expenses, losses, damages, and consequences arising
out of the nature of the Work during its progress or prior to its acceptance including those
for well and faithfully completing the Work and the whole thereof in the manner and time
specified in the Contract Documents; and, also including those arising from actions of the
elements, unforeseen difficulties or obstructions encountered in the prosecution of the
Work, suspension of discontinuance of the Work, and all other unknowns or risks of any
description connected with the Work.
ARTICLE 4-- THE CONTRACT DOCUMENTS
The Contract Documents consist of the Notice Inviting Bids, Instructions to Bidders, the
prevailing rate of per diem wages as determined by the Director of the California
Department of Industrial Relations, Federal Labor Standards Provisions, Federal Rates of
Prevailing Wages, the accepted Bid and Bid Schedule(s), List of Subcontractors, Non-
collusion Declaration, Equal Employment Opportunity Certification, Debarment and
Suspension Certification, Non-Lobbying Certification for Federal-Aid Contracts,
Disclosure of Lobbying Activities, Bid Security or Bid Bond, Bidder's General Information,
Exhibit 15G Local Agency Bidder DBE Commitment, Exhibit 15H DBE Information —
Good Faith Efforts, Public Contract Code Section 10285.1 Statement, Public Contract
Code Section 10162 Questionnaire, Public Contract Code Section 10232 Statement, this
Agreement, Worker's Compensation Certificate, Performance Bond, Payment Bond,
Standard Specifications, Special Provisions, the Drawings, Addendum Number 01, and
all Change Orders and Work Change Directives which may be delivered or issued after
the Effective Date of the Agreement and are not attached hereto.
The Contract Documents shall also incorporate those certain Federal Requirements for
Federal-Aid Construction Projects (Form FHWA 1273), included in Exhibit "A" attached
hereto and made a part hereof.
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM
NOVEMBER 2014 AGREEMENT AND BONDS-PAGE 2
11
ARTICLE 5 -- MUTUAL OBLIGATIONS
For and in consideration of the payments and agreements to be made and performed by
the City, the Contractor agrees to furnish all materials and perform all work required for
the above stated project, and to fulfill all other obligations as set forth in the aforesaid
Contract Documents.
City hereby agrees to employ, and does hereby employ, Contractor to provide the
materials, complete the Work, and fulfill the obligations according to the terms and
conditions herein contained and referred to, for the Contract Price herein identified, and
hereby contracts to pay the same at the time, in the manner, and upon the conditions set
forth in the Contract Documents.
Contractor specifically acknowledges and agrees to be bound by the Wage Rates and
Labor Code requirements specified in the Contract Documents, including the requirement
to furnish electronic certified payroll records directly to the Labor Commissioner (via the
Division of Labor Standards Enforcement), and shall pay the general prevailing rate of per
diem wages as determined by the Director of the Department of Industrial Relations of the
State of California.
ARTICLE 6 -- PAYMENT PROCEDURES
The Contractor shall submit Applications for Payment in accordance with the Standard
Specifications as amended by the Special Provisions. Applications for Payment will be
processed by the City Engineer as provided in the Contract Documents.
ARTICLE 7 -- NOTICES
Whenever any provision of the Contract Documents requires the giving of a written Notice
between the parties, it shall be deemed to have been validly given if delivered in person
to the individual or to a member of the firm or to an officer of the corporation for whom it is
intended, or if delivered at or sent by registered or certified mail, postage prepaid, to the
last business address known to the giver of the Notice.
ARTICLE 8 -- INDEMNIFICATION
To the fullest extent permitted by law, Contractor shall defend (at Contractor's sole cost
and expense), indemnify, protect, and hold harmless City, its elected officials, officers,
employees, agents, and volunteers (collectively the "Indemnified Parties"), from and
against any and all liabilities, actions, suits, claims, demands, losses, costs, judgments,
arbitration awards, settlements, damages, demands, orders, penalties, and expenses
including legal costs and attorney fees (collectively "Claims"), including but not limited to
Claims arising from injuries to or death of persons (Contractor's employees included), for
damage to property, including property owned by City, from any violation of any federal,
state, or local law or ordinance, and from errors and omissions committed by Contractor,
its officers, employees, representatives, and agents, that arise out of or relate to
Contractor's performance under the contract. This indemnification clause excludes Claims
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM
NOVEMBER 2014 AGREEMENT AND BONDS-PAGE 3
12
arising from the sole negligence or willful misconduct of the City, its elected officials,
officers, employees, agents, and volunteers. Under no circumstances shall the insurance
requirements and limits set forth in the Special Provisions be construed to limit
Contractor's indemnification obligation or other liability under the contract. Contractor's
indemnification obligation shall survive the completion of the Work or earlier termination of
the contract until all actions against the Indemnified Parties for such matters indemnified
are fully and finally barred by the applicable statute of limitations or, if an action is timely
filed, until such action is final. This provision is intended for the benefit of third party
Indemnified Parties not otherwise a party to the contract.
ARTICLE 9 -- NON-DISCRIMINATION
The Contractor represents and agrees that it does not and will not discriminate against
any subcontractor, consultant, employee, or applicant for employment because of race,
religion, color, sex, or national origin in any matter including without limitation employment
upgrading, demotion, transfers, recruitment, recruitment advertising, layoff, termination,
rates of pay, or other forms of compensation and selection for training, including
apprenticeship.
ARTICLE 10 -- MISCELLANEOUS
Terms used in this Agreement which are defined in the Standard Specifications and the
Special Provisions will have the meanings indicated in said Standard Specifications and
the Special Provisions. No assignment by a party hereto of any rights under or interests
in the Contract Documents will be binding on another party hereto without the written
consent of the party sought to be bound; and specifically, but without limitation, monies
that may become due and monies that are due may not be assigned without such
consent (except to the extent that the effect of this restriction may be limited by law), and
unless specifically stated to the contrary in any written consent to an assignment, no
assignment will release or discharge the assignor from any duty or responsibility under
the Contract Documents.
The City and the Contractor each binds itself, its partners, successors, assigns, and legal
representatives, to the other party hereto, its partners, successors, assigns, and legal
representatives, in respect of all covenants, agreements, and obligations contained in the
Contract Documents.
SIGNATURES ON NEXT PAGE
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM
NOVEMBER 2014 AGREEMENT AND BONDS-PAGE 4
13
IN WITNESS WHEREOF, the City and the Contractor have caused this Agreement to be
executed the day and year first above written.
CITY OF PALM SPRINGS, CONTRACTOR
CALIFORNIA
By: Aegis ITS, Inc., a California corporation
Firm/Company Name
By
David H. Ready
City Manager
By:
ATTEST: Signature (notarized)
Name:
By
James Thompson
City Clerk Title:
APPROVED AS TO FORM:
By:
By Signature (notarized)
Douglas Holland
City Attorney
Name:
RECOMMENDED:
Title:
By
Marcus L. Fuller,
Assistant City Manager/City Engineer
APPROVED BY THE CITY COUNCIL:
Date
Agreement No.
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.OM4 AGREEMENT FORM
NOVEMBER 2014 AGREEMENT AND BONDS-PAGE 5
14
EXHIBIT "A"
Federal Requirements
for
Federal-Aid Construction Projects
(Form FHWA 1273),
Female and Minority Goals,
Federal Trainee Program,
Title IV Assurances
FOLLOWS THIS PAGE
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM-EXHIBIT"A"
NOVEMBER 2014
15
FHWA-1273-- Revised May 1, 2012
REQUIRED CONTRACT PROVISIONS
FEDERAL-AID CONSTRUCTION CONTRACTS
I. General II. NONDISCRIMINATION
II. Nondiscrimination
III. Nonsegregated Facilities The provisions of this section related to 23 CFR Part 230 are applicable
IV. Davis-Bacon and Related Act Provisions to all Federal-aid construction contracts and to all related construction
V. Contract Work Hours and Safety Standards Act Provisions subcontracts of$10,000 or more. The provisions of 23 CFR Part 230 are
VI. Subletting or Assigning the Contract not applicable to material supply, engineering, or architectural service
VII. Safety:Accident Prevention contracts.
Vill. False Statements Concerning Highway Projects
IX. Implementation of Clean Air Act and Federal Water Pollution In addition, the contractor and all subcontractors must comply with the
Control Act following policies: Executive Order 11246, 41 CFR 60, 29 CFR 1625-
X. Compliance with Governmentwde Suspension and Debarment 1627, Title 23 USC Section 140, the Rehabilitation Act of 1973, as
Requirements amended (29 USC 794), Title VI of the Civil Rights Act of 1964, as
XI. Certification Regarding Use of Contract Funds for Lobbying amended,and related regulations including 49 CFR Parts 21,26 and 27;
and 23 CFR Parts 200,230,and 633.
ATTACHMENTS
The contractor and all subcontractors must comply with: the
A. Employment and Materials Preference for Appalachian Development requirements of the Equal Opportunity Clause in 41 CFR 60-1.4(b)and,
Highway System or Appalachian Local Access Road Contracts(included for all construction contracts exceeding $10.000, the Standard Federal
in Appalachian contracts only) Equal Employment Opportunity Construction Contract Specifications in
41 CFR 60-4.3.
I. GENERAL
Note:The U.S.Department of Labor has exclusive authority to determine
1. Form FHWA-1273 must be physically incorporated in each compliance with Executive Order 11246 and the policies of the Secretary
construction contract funded under Title 23 (excluding emergency of Labor including 41 CFR 60,and 29 CFR 1625-1627. The contracting
contracts solely intended for debris removal). The contractor (or agency and the FHWA have the authority and the responsibility to
subcontractor) must insert this form in each subcontract and further ensure compliance with Title 23 USC Section 140,the Rehabilitation Act
require its inclusion in all lower tier subcontracts (excluding purchase of 1973,as amended(29 USC 794),and Title VI of the Civil Rights Act of
orders, rental agreements and other agreements for supplies or 1964, as amended, and related regulations including 49 CFR Parts 21,
services). 26 and 27;and 23 CFR Parts 200,230,and 633.
The applicable requirements of Form FHWA-1273 are incorporated by The following provision is adopted from 23 CFR 230, Appendix A, with
reference for work done under any purchase order, rental agreement or appropriate revisions to conform to the U.S. Department of Labor (US
agreement for other services. The prime contractor shall be responsible DOL)and FHWA requirements.
for compliance by any subcontractor, lower-tier subcontractor or service
provider. 1. Equal Employment Opportunity: Equal employment opportunity
(EEO) requirements not to discriminate and to take affirmative action to
Form FHWA-1273 must be included in all Federal-aid design-build assure equal opportunity as set forth under laws,executive orders,rules,
contracts, in all subcontracts and in lower tier subcontracts (excluding regulations (28 CFR 35. 29 CFR 1630, 29 CFR 1625-1627,41 CFR 60
subcontracts for design services, purchase orders, rental agreements and 49 CFR 27)and orders of the Secretary of Labor as modified by the
and other agreements for supplies or services). The design-builder shall provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140
be responsible for compliance by any subcontractor, lower-tier shall constitute the EEO and specific affrnative action standards for the
subcontractor or service provider. contractors project activities under this contract. The provisions of the
Americans with Disabilities Act of 1990 (42 U.S.C. 12101 at seq.) set
Contracting agencies may reference Form FHWA-1273 in bid proposal forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference
or request for proposal documents,however,the Form FHWA-1273 must in this contract. In the execution of this contract,the contractor agrees to
be physically incorporated(not referenced)in all contracts, subcontracts comply w,th the following minimum specific requirement activities of
and lower-tier subcontracts (excluding purchase orders, rental EEO:
agreements and other agreements for supplies or services related to a
construction contract). 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
2. Subject to the applicability criteria noted in the following sections, equal opportunity with respect to all of its terms and conditions of
these contract provisions shall apply to all work performed on the employment and in their review of activities under the contract.
contract by the contractor's own organization and with the assistance of
workers under the contractor's immediate superintendence and to all b. The contractor will accept as its operating policy the following
work performed on the contract by piecework, station work, or by statement:
subcontract.
"It is the policy of this Company to assure that applicants are
3. A breach of any of the stipulations contained in these Required employed,and that employees are treated during employment,without
Contract Provisions may be sufficient grounds for withholding of progress regard to their race, religion, sex, color, national origin, age or
payments, withholding of final payment, temnination of the contract, disability. Such action shall include: employment, upgrading,
suspension/debarment or any other action determined to be appropriate demotion, or transfer; recruitment or recruitment advertising; layoff or
by the contracting agency and FHWA. termination;rates of pay or other fortes of compensation;and selection
for training, including apprenticeship, pre-apprenticeship, andlor on-
4. Selection of Labor: During the performance of this contract, the the-job training."
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 2. EEO Officer: The contractor will designate and make known to the
performed by convicts who are on parole, supervised release, or contracting officers an EEO Officer who will have the responsibility for
probation. The term Federal-aid highway does not include roadways and must be capable of effectively administering and promoting an
functionally classified as local roads or rural minor collectors. active EEO program and who must be assigned adequate authority and
responsibility to do so.
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3. Dissemination of Policy: All members of the contractor's staff b.The contractor will periodically evaluate the spread of wages paid
who are authorized to hire, supervise, promote, and discharge within each classification to determine any evidence of
employees,or who recommend such action,or who are substantially discriminatory wage practices.
involved in such action, will be made fully cognizant of, and will
implement, the contractors EEO policy and contractual c. The contractor will periodically review selected personnel actions
responsibilities to provide EEO in each grade and classification of in depth to determine whether there is evidence of discrimination.
employment. To ensure that the above agreement will be met, the Where evidence is found, the contractor will promptly take
following actions will be taken as a minimum: corrective action. If the review indicates that the discrimination
may extend beyond the actions reviewed, such corrective action
a.Periodic meetings of supervisory and personnel office employees shall include all affected persons.
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 d.The contractor will promptly investigate all complaints of alleged
policy and its implementation will be reviewed and explained. The discrimination made to the contractor in connection with its
meetings will be conducted by the EEO Officer. obligations under this contract, will attempt to resolve such
complaints, and will take appropriate corrective action within a
b.All new supervisory or personnel office employees will be given a reasonable time. If the investigation indicates that the
thorough indoctrination by the EEO Officer, covering all major discrimination may affect persons other than the complainant,
aspects of the contractor's EEO obligations within thirty days such corrective action shall include such other persons. Upon
following their reporting for duty with the contractor. completion of each investigation, the contractor will inform every
complainant of all of their avenues of appeal.
c.All personnel who are engaged in direct recruitment for the project
will be instructed by the EEO Officer in the contractor's 6.Training and Promotion:
procedures for locating and hiring minorities and women.
a.The contractor will assist in locating,qualifying,and increasing the
d.Notices and posters setting forth the contractors EEO policy will skills of minorities and women who are applicants for employment
be placed in areas readily accessible to employees,applicants for or current employees. Such efforts should be aimed at
employment and potential employees. developing full journey level status employees in the type of trade
orjob classification involved.
e.The contractor's EEO policy and the procedures to implement
such policy will be brought to the attention of employees by b.Consistent with the contractor's work force requirements and as
means of meetings, employee handbooks, or other appropriate permissible under Federal and State regulations, the contractor
means. shall make full use of training programs, i.e., apprenticeship, and
on-the-job training programs for the geographical area of contract
4.Recruitment:When advertising for employees,the contractor will performance. In the event a special provision for training is
include in all advertisements for employees the notation: "An Equal provided under this contract, this subparagraph will be
Opportunity Employer." All such advertisements will be placed in superseded as indicated in the special provision. The contracting
publications having a large circulation among minorities and women agency may reserve training positions for persons who receive
in the area from which the project work force would normally be welfare assistance in accordance with 23 U.S.C. 140(a).
derived.
c.The contractor will advise employees and applicants for
a.The contractor will, unless precluded by a valid bargaining employment of available training programs and entrance
agreement, conduct systematic and direct recruitment through requirements for each.
public and private employee referral sources likely to yield
qualified minorities and women. To meet this requirement, the d.The contractor will periodically review the training and promotion
contractor will identify sources of potential minority group potential of employees who are minorities and women and will
employees,and establish with such identified sources procedures encourage eligible employees to apply for such training and
whereby minority and women applicants may be referred to the promotion.
contractor for employment consideration.
7. Unions: If the contractor relies in whole or in part upon unions as
b. In the event the contractor has a valid bargaining agreement a source of employees, the contractor will use good faith efforts to
providing for exclusive hiring hall referrals, the contractor is obtain the cooperation of such unions to increase opportunities for
expected to observe the provisions of that agreement to the minorities and women. Actions by the contractor, either directly or
extent that the system meets the contractors compliance with through a contractor's association acting as agent, will include the
EEO contract provisions. Where implementation of such an procedures setforth below:
agreement has the effect of discriminating against minorities or
women, or obligates the contractor to do the same, such a.The contractor will use good faith efforts to develop, in
implementation violates Federal nondiscrimination provisions. cooperation with the unions,joint training programs aimed toward
qualifying more minorities and women for membership in the
c. The contractor will encourage its present employees to refer unions and increasing the skills of minorities and women so that
minorities and women as applicants for employment. Information they may qualify for higher paying employment.
and procedures with regard to referring such applicants will be
discussed with employees. b.The contractor will use good faith efforts to incorporate an EEO
clause into each union agreement to the end that such union will
5. Personnel Actions: Wages, working conditions, and employee be contractually bound to refer applicants without regard to their
benefits shall be established and administered, and personnel race,color,religion,sex,national origin,age or disability.
actions of every type, including hiring, upgrading, promotion,
transfer, demotion, layoff, and termination, shall be taken without c.The contractor is to obtain information as to the referral practices
regard to race, color, religion, sex, national origin, age or disability. and policies of the labor union except that to the extent such
The following procedures shall be followed: information is within the exclusive possession of the labor union
and such labor union refuses to furnish such information to the
a.The contractor will conduct periodic inspections of project sites to contractor,the contractor shall so certify to the contracting agency
insure that working conditions and employee facilities do not and shall set forth what efforts have been made to obtain such
indicate discriminatory treatment of project site personnel, information.
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17
d.In the event the union is unable to provide the contractor with a FFRNA-1391. The staffing data should represent the project work
reasonable flow of referrals within the time limit set forth in the force on board in all or any part of the last payroll period
collective bargaining agreement, the contractor will, through preceding the end of July. If on-the-job training is being required
independent recruitment efforts, fill the employment vacancies by special provision, the contractor will be required to collect and
without regard to race, color, religion, sex, national origin, age or report training data. The employment data should reflect the work
disability; making full efforts to obtain qualified and/or qualifiable force on board during all or any part of the last payroll period
minorities and women. The failure of a union to-provide sufficient preceding the end of July.
referrals(even though it is obligated to provide exclusive referrals
under the terms of a collective bargaining agreement) does not III.NONSEGREGATED FACILITIES
relieve the contractor from the requirements of this paragraph. In
the event the union referral practice prevents the contractor from This provision is applicable to all Federalaid construction contracts
meeting the obligations pursuant to Executive Order 11246, as and to all related construction subcontracts of$10,000 or more.
amended, and these special provisions, such contractor shall
immediately notify the contracting agency. The contractor must ensure that facilities provided for employees
are provided in such a manner that segregation on the basis of race,
S.Reasonable Accommodation for Applicants/Employees with color, religion, sex, or national origin cannot result. The contractor
Disabilities: The contractor must be familiar with the requirements may neither require such segregated use by written or oral policies
for and comply with the Americans with Disabilities Act and all rules nor tolerate such use by employee custom. The contractor's
and regulations established there under. Employers must provide obligation extends further to ensure that its employees are not
reasonable accommodation in all employment activities unless to do assigned to perform their services at any location, under the
so would cause an undue hardship. contractor's control, where the facilities are segregated. The term
"facilities"includes waiting rooms,work areas,restaurants and other
9. Selection of Subcontractors, Procurement of Materials and eating areas,time clocks,restrooms,washrooms,locker rooms,and
Leasing of Equipment: The contractor shall not discriminate on the other storage or dressing areas, parking lots, drinking fountains,
grounds of race,color, religion, sex, national origin,age or disability recreation or entertainment areas, transportation, and housing
in the selection and retention of subcontractors, including provided for employees. The contractor shall provide separate or
procurement of materials and leases of equipment. The contractor single-user restrooms and necessary dressing or sleeping areas to
shall take all necessary and reasonable steps to ensure assure privacy between sexes.
nondiscrimination in the administration of this contract.
IV. DAVIS-BACON AND RELATED ACT PROVISIONS
a.The contractor shall notify all potential subcontractors and
suppliers and lessors of their EEO obligations under this contract. This section is applicable to all Federal-aid construction projects
b.The contractor will use good faith efforts to ensure subcontractor exceeding $2,000 and to all related subcontracts and lower-tier
compliance with their EEO obligations. subcontracts (regardless of subcontract size). The requirements
apply to all projects located within the right-of-way of a roadway that
10.Assurance Required by 49 CFR 26.13(b): is functionally classified as Federal-aid highway. This excludes
roadways functionally classified as local roads or rural minor
a.The requirements of 49 CFR Part 26 and the Stale DOT's U.S. collectors, which are exempt. Contracting agencies may elect to
DOT-approved DBE program are incorporated by reference. apply these requirements to other projects.
b.The contractor or subcontractor shall not discriminate on the basis The following provisions are from the U.S. Department of Labor
of race, color, national origin, or sex in the performance of this regulations in 29 CFR 5.5"Contract provisions and related matters"
contract. The contractor shall carry out applicable requirements with minor revisions to conform to the FHWA-1273 format and
of 49 CFR Part 26 in the award and administration of DOT- FHWA program requirements.
assisted contracts. Failure by the contractor to carry out these
requirements is a material breach of this contract, which may 1 Minimum wages
result in the termination of this contract or such other remedy as
the contracting agency deems appropriate.
a.All laborers and mechanics employed or working upon the site of
11. Records and Reports: The contractor shall keep such records the work,will be paid unconditionally and not less often than once
as necessary to document compliance with the EEO requirements. a week, and without subsequent deduction or rebate on any
Such records shall be retained for a period of three years following account (except such payroll deductions as are permitted by
the date of the final payment to the contractor for all contract work regulations issued by the Secretary of Labor under the Copeland
and shall be available at reasonable times and places for inspection Act (29 CFR part 3)), the full amount of wages and bona fide
by authorized representatives of the contracting agency and the fringe benefits (or cash equivalents thereof) due at time of
FHWA. payment computed at rates not less than those contained in the
wage determination of the Secretary of Labor which is attached
a.The records kept by the contractor shall document the following: hereto and made a part hereof, regardless of any contractual
relationship which may be alleged to exist between the contractor
(1)The number and work hours of minority and non-minority group and such laborers and mechanics.
members and women employed in each work classification on
the project; Contributions made or costs reasonably anticipated for bona fide
(2)The progress and efforts being made in cooperation with fringe benefits under section 1(bx2) of the Davis-Bacon Act on
unions,when applicable,to increase employment opportunities behalf of laborers or mechanics are considered wages paid to such
for minorities and women;and laborers or mechanics,subject to the provisions of paragraph 1.d.of
this section; also, regular contributions made or costs incurred for
(3)The progress and efforts being made in locating, hiring, more than a weekly period (but not less often than quarterly)under
training,qualifying,and upgrading minorities and women; plans, funds, or programs which cover the particular weekly period,
are deemed to be constructively made or incurred during such
b.The contractors and subcontractors will submit an annual report weekly period. Such laborers and mechanics shall be paid the
to the contracting agency each July for the duration of the project, appropriate wage rate and fringe benefits on the wage determination
indicating the number of minority,women,and non-minority group for the classification of work actually performed, without regard to
employees currently engaged in each work classification required skill,except as provided in 29 CFR 5.5(a)(4).Laborers or mechanics
by the contract work. This information is to be reported on Form performing work in more than one classification may be
compensated at the rate specified for each classifcation for the time
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actually worked therein: Provided, that the employer's payroll 2. Withholding
records accurately set forth the time spent in each classification in
which work is performed. The wage determination (including any The contracting agency shall upon its own action or upon written
additional classification and wage rates conformed under paragraph 1.b.of this section)and the Davis-Bacon poster(WH-1 321)shall be i
withhold or cause be withheld from the contractor under this
request of an authorized representative of the Department of Labor,
posted at all times by the contractor and its subcontractors at the contract, or any other Federal contract with the same prime
site of the work in a prominent and accessible place where it can be contractor,or any other federally-assisted contract subject to Davis-
easily seen 6y the workers. Bacon prevailing wage requirements, which is held by the same
prime contractor,so much of the accrued payments or advances as
b.(1)The contracting officer shall require that any class of laborers may be considered necessary to pay laborers and mechanics,
or mechanics, including helpers, which is not listed in the wage including apprentices, trainees, and helpers, employed by the
determination and which is to be employed under the contract contractor or any subcontractor the full amount of wages required by
shall be classified in conformance with the wage determination. the contract. In the event of failure to pay any laborer or mechanic,
The contracting officer shall approve an additional classification including any apprentice,trainee,or helper,employed or working on
and wage rate and fringe benefits therefore only when the the site of the work,all or part of the wages required by the contract,
following criteria have been met: the contracting agency may, after written notice to the contractor,
take such action as may be necessary to cause the suspension of
(i) The work to be performed by the classification requested is not any further payment, advance, or guarantee of funds until such
performed by a classification in the wage determination;and violations have ceased.
(ii)The classification is utilized in the area by the construction 3. Payrolls and basic records
industry;and
(iii)The proposed wage rate, including any bona fide fringe a.Payrolls and basic records relating thereto shall be maintained by
benefits, bears a reasonable relationship to the wage rates the contractor during the course of the work and preserved for a
contained in the wage determination. period of three years thereafter for all laborers and mechanics
working at the site of the work. Such records shall contain the
(2) If the contractor and the laborers and mechanics to be name,address,and social security number of each such worker,
employed in the classification(if known), or their representatives, his or her correct classification, hourly rates of wages paid
and the contracting officer agree on the classification and wage (including rates of contributions or costs anticipated for bona fide
rate (including the amount designated for fringe benefits where fringe benefits or cash equivalents thereof of the types described
appropriate), a report of the action taken shall be sent by the in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly
contracting officer to the Administrator of the Wage and Hour number of hours worked, deductions made and actual wages
Division, Employment Standards Administration, U.S. Department paid.Whenever the Secretary of Labor has found under 29 CFR
of Labor, Washington, DC 20210. The Administrator, or an 5.5(a)(1)(iv)that the wages of any laborer or mechanic include the
authorized representative, will approve, modify, or disapprove amount of any costs reasonably anticipated in providing benefits
every additional classification action within 30 days of receipt and under a plan or program described in section l(bx2XB) of the
so advise the contracting officer or will notify the contracting Davis-Bacon Act, the contractor shall maintain records which
officer within the 30-day period that additional time is necessary. show that the commitment to provide such benefits is
enforceable, that the plan or program is financially responsible,
(3) In the event the contractor, the laborers or mechanics to be and that the plan or program has been communicated in writing to
employed in the classification or their representatives, and the the laborers or mechanics affected, and records which show the
contracting officer do not agree on the proposed classification and costs anticipated or the actual cost incurred in providing such
wage rate (including the amount designated for fringe benefits, benefits. Contractors employing apprentices or trainees under
where appropriate), the contracting officer shall refer the approved programs shall maintain written evidence of the
questions, including the views of all interested parties and the registration of apprenticeship programs and certification of trainee
recommendation of the contracting officer, to the Wage and Hour programs, the registration of the apprentices and trainees, and
Administrator for determination. The Wage and Hour the ratios and wage rates prescribed in the applicable programs.
Administrator, or an authorized representative, will issue a b.(1)The contractor shall submit weekly for each week in which any
determination within 30 days of receipt and so advise the contract work is performed a copy of all payrolls to the contracting
contracting officer or will notify the contracting officer within the agency. The payrolls submitted shall set out accurately and
30-day period that additional time is necessary. completely all of the information required to be maintained under
29 CFR 5.5(a)(3)(i), except that full social security numbers and
(4) The wage rate (including fringe benefits where appropriate) home addresses shall not be included on weekly transmittals.
determined pursuant to paragraphs l.b.(2) or 1.b.(3) of this Instead the payrolls shall only need to include an individually
section, shall be paid to all workers performing work in the identifying number for each employee(e.g.,the last four digits of
classification under this contract from the first day on which work the employee's social security number). The required weekly
is performed in the classification. payroll information may be submitted in any form desired.
Optional Forth WH-347 is available for this purpose from the
c. Whenever the minimum wage rate prescribed in the contract for a Wage and Hour Division Web site at
class of laborers or mechanics includes a fringe benefit which is http://www.dol.govlesa/whd/forms/wh347instr.htm or its successor
not expressed as an hourly rate, the contractor shall either pay site. The prime contractor is responsible for the submission of
the benefit as stated in the wage determination or shall pay copies of payrolls by all subcontractors. Contractors and
another bona fide fringe benefit or an hourly cash equivalent subcontractors shall maintain the full social security number and
thereof. current address of each covered worker, and shall provide them
upon request to the contracting agency for transmission to the
d.If the contractor does not make payments to a trustee or other State DOT, the FHWA or the Wage and Hour Division of the
third person, the contractor may consider as part of the wages of Department of Labor for purposes of an investigation or audit of
any laborer or mechanic the amount of any costs reasonably compliance with prevailing wage requirements. It is not a violation
anticipated in providing bona fide fringe benefits under a plan or of this section for a prime contractor to require a subcontractor to
program, Provided,That the Secretary of Labor has found, upon provide addresses and social security numbers to the prime
the written request of the contractor,that the applicable standards contractor for its own records, without weekly submission to the
of the Davis-Bacon Act have been met. The Secretary of Labor contracting agency.
may require the contractor to set aside in a separate account
assets for the meeting of obligations under the plan or program.
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(2)Each payroll submitted shall be accompanied by a"Statement determination for the classification of work actually performed. In
of Compliance," signed by the contractor or subcontractor or his addition,any apprentice performing work on the job site in excess of
or her agent who pays or supervises the payment of the persons the ratio permitted under the registered program shall be paid not
employed under the contract and shall certify the following: less than the applicable wage rate on the wage determination for the
work actually performed. Where a contractor is performing
(i) That the payroll for the payroll period contains the construction on a project in a locality other than that in which its
information required to be provided under §5.5 (a)(3)(ii) of program is registered, the ratios and wage rates (expressed in
Regulations, 29 CFR part 5, the appropriate information is percentages of the journeyman's hourly rate) specified in the
being maintained under§5.5 (a)(3)(i) of Regulations, 29 CFR contractor's or subcontractors registered program shall be
part 5,and that such information is correct and complete; observed.
(ii) That each laborer or mechanic (including each helper, Every apprentice must be paid at not less than the rate specified in
apprentice, and trainee) employed on the contract during the the registered program for the apprentice's level of progress,
payroll period has been paid the full weekly wages earned, expressed as a percentage of the journeymen hourly rate specified
without rebate, either directly or indirectly, and that no in the applicable wage determination. Apprentices shall be paid
deductions have been made either directly or indirectly from the full wages earned,other than permissible deductions as set fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship forth in Regulations, 29 CFR part 3; pP p P 9 PP p program does not
specify fringe benefits, apprentices must be paid the full amount of
(iii)That each laborer or mechanic has been paid not less than fringe benefits listed on the wage determination for the applicable
the applicable wage rates and fringe benefits or cash classification.If the Administrator determines that a different practice
equivalents for the classification of work performed, as prevails far the applicable apprentice classification, fringes shall be
specified in the applicable wage determination incorporated paid in accordance with that determination.
into the contract.
In the event the Office of Apprenticeship Training, Employer and
(3)The weekly submission of a properly executed certification set Labor Services, or a State Apprenticeship Agency recognized by the
forth on the reverse side of Optional Form WH-347 shall satisfy Office, withdraws approval of an apprenticeship program, the
the requirement for submission of the "Statement of Compliance' contractor will no longer be permitted to utilize apprentices at less
required by paragraph 3.b.(2)of this section. than the applicable predetermined rate for the work performed until
an acceptable program is approved.
(4)The falsification of any of the above certifications may subject
the contractor or subcontractor to civil or criminal prosecution b.Trainees(programs of the USDOL).
under section 1001 of title 18 and section 231 of title 31 of the
United States Code.
Except as provided in 29 CFR 5.16,trainees will not be permitted to
c.The contractor or subcontractor shall make the records required work at less than the predetermined rate for the work performed
under paragraph 3.a. of this section available for inspection, unless they are employed pursuant to and individually registered in
copying, or transcription by authorized representatives of the a program which has received prior approval, evidenced by formal
contracting agency, the State DOT, the FHWA, or the certification by the U.S. Department of Labor, Employment and
Department of Labor, and shall permit such representatives to Training Administration,
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,afterwritten notice to the The ratio of trainees to journeymen on the job site shall not be
contractor, the contracting agency or the State DOT, take such greater than permitted under the plan approved by the Employment
action as may be necessary to cause the suspension of any and Training Administration.
further payment, advance, or guarantee of funds. Furthermore,
failure to submit the required records upon request or to make Every trainee must be paid at not less than the rate specified in the
such records available may be grounds for debarment action approved program for the trainee's level of progress,expressed as a
pursuant to 29 CFR 5.12. percentage of the journeyman hourly rate specified in the applicable
wage determination. Trainees shall be paid fringe benefits in
4. Apprentices and trainees 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
a.Apprentices(programs of the USDOL). unless the Administrator of the Wage and Hour Division determines
that there is an apprenticeship program associated with the
Apprentices will be permitted to work at less than the predetermined corresponding journeyman wage rate on the wage determination
rate for the work they performed when they are employed pursuant which provides for less than full fringe benefits for apprentices.Any
to and individually registered in a bona fide apprenticeship program employee listed on the payroll at a trainee rate who is not registered
registered with the U.S. Department of Labor, Employment and and participating in a training plan approved by the Employment and
Training Administration,Office of Apprenticeship Training, Employer Training Administration shall be paid not less than the applicable
and Labor Services, or with a State Apprenticeship Agency wage rate on the wage determination for the classification of work
recognized by the Office,or if a person is employed in his or her first actually performed. In addition, any trainee performing work on the
90 days of probationary employment as an apprentice in such an job site in excess of the ratio permitted under the registered program
apprenticeship program, who is not individually registered in the shall be paid not less than the applicable wage rate on the wage
program, but who has been certified by the Office of Apprenticeship determination for the work actually performed.
Training, Employer and Labor Services or a State Apprenticeship
Agency (where appropriate) to be eligible for probationary In the event the Employment and Training Administration withdraws
employment as an apprentice. approval of a training program, the contractor will no longer be
permitted to utilize trainees at less than the applicable
The allowable ratio of apprentices to journeymen on the job site in predetermined rate for the work performed until an acceptable
any craft classification shall not be greater than the ratio permitted to program is approved.
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
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c. Equal employment opportunity. The utilization of apprentices, 1. Overtime requirements. No contractor or subcontractor
trainees and journeymen under this part shall be in conformity contracting for any part of the contract work which may require or
with the equal employment opportunity requirements of Executive involve the employment of laborers or mechanics shall require or
Order 11246,as amended,and 29 CFR part 30. 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
d.Apprentices and Trainees(programs of the U.S. DOT). such workweek unless such laborer or mechanic receives
compensation at a rate not less than one and one-half times the
Apprentices and trainees working under apprenticeship and skill basic rate of pay for all hours worked in excess of forty hours in such
training programs which have been certified by the Secretary of workweek.
Transportation as promoting EEO in connection with Federal-aid
highway construction programs are not subject to the requirements 2. Violation; liability for unpaid wages; liquidated damages. In
of paragraph 4 of this Section IV. The straight time hourly wage the event of any violation of the clause set forth in paragraph(1.)of
rates for apprentices and trainees under such programs will be this section, the contractor and any subcontractor responsible
established by the particular programs.The ratio of apprentices and therefor shall be liable for the unpaid wages. In addition, such
trainees to journeymen shall not be greater than permitted by the contractor and subcontractor shall be liable to the United States(in
terms of the particular program. the rase of work done under contract for the District of Columbia or
a territory, to such District or to such territory), for liquidated
5. Compliance with Copeland Act requirements. The contractor damages. Such liquidated damages shall be computed with respect
shall comply with the requirements of 29 CFR part 3, which are to each individual laborer or mechanic, including watchmen and
incorporated by reference in this contract. guards, employed in violation of the clause set forth in paragraph
(1.)of this section,in the sum of$10 for each calendar day on which
such individual was required or permitted to work in excess of the
6.Subcontracts. The contractor or subcontractor shall insert Form standard workweek of forty hours without payment of the overtime
FHWA-1273 in any subcontracts and also require the subcontractors wages required by the clause set forth in paragraph (1.) of this
to include Form FHWA-1273 in any lower tier subcontracts. The section.
prime contractor shall be responsible for the compliance by any
subcontractor or lower tier subcontractor with all the contract 3. Withholding for unpaid wages and liquidated damages. The
clauses in 29 CFR 5.5. FHWA or the contacting agency shall upon its own action or upon
written request of an authorized representative of the Department of
7. Contract termination: debarment. A breach of the contract Labor withhold or cause to be withheld, from any moneys payable
clauses in 29 CFR 5.5 may be grounds for termination of the on account of work performed by the contractor or subcontractor
contract, and for debarment as a contractor and a subcontractor as under any such contract or any other Federal contract with the same
provided in 29 CFR 5.12. prime contractor, or any other federally-assisted contract subject to
the Contract Work Hours and Safety Standards Act,which is held by
S.Compliance with Davis-Bacon and Related Act requirements. the same prime contractor,such sums as may be determined to be
All rulings and interpretations of the Davis-Bacon and Related Acts necessary to satisfy any liabilities of such contractor or
contained in CFR parts 1, 3, and 5 are herein incorporated by subcontractor for unpaid wages and liquidated damages as provided
reference in this contract. in the clause set forth in paragraph(2.)of this section.
9. Disputes concerning labor standards. Disputes arising out of 4.Subcontracts. The contractor or subcontractor shall insert in any
the labor standards provisions of this contract shall not be subject to subcontracts the clauses set forth in paragraph (1.) through (4.)of
the general disputes clause of this contract. Such disputes shall be this section and also a clause requiring the subcontractors to include
resolved in accordance with the procedures of the Department of these clauses in any lower tier subcontracts. The prime contractor
L shall be responsible for compliance by any subcontractor or lower
Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the
tier subcontractor with the clauses set forth in paragraphs (1.)
meaning of this clause include disputes between the contractor(or
any of its subcontractors) and the contracting agency, the U.S. through(4.)of this section.
Department of Labor,or the employees or their representatives.
10.Certification of eligibility. VI.SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal-aid construction contracts
a.By entering into this contract,the contractor certifies that neither it on the National Highway System.
(nor he or she)nor any person or firm who has an interest in the
contractor's firm is a person or fine ineligible to be awarded 1.The contractor shall perform with its own organization contract
Government contracts by virtue of section 3(a)of the Davis-Bacon work amounting to not less than 30 percent (or a greater
Act or 29 CFR 5.12(a)(1). percentage if specified elsewhere in the contract) of the total
original contract price, excluding any specialty items designated
b. No part of this contract shall be subcontracted to any person or by the contracting agency. Specialty items may be performed by
firth ineligible for award of a Government contract by virtue of subcontract and the amount of any such specialty items
section 3(a)of the Davis-Bacon Act or 29 CFR 5.12(ax1). performed may be deducted from the total original contract price
before computing the amount of work required to be performed by
c.The penalty for making false statements is prescribed in the U.S. the contractor's own organization(23 CFR 635.116).
Criminal Code, 18 U.S.C. 1001.
a.The term 'perform work with its own organization' refers to
V. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT workers employed or leased by the prime contractor, and
equipment owned or rented by the prime contractor, with or
The following clauses apply to any Federal-aid construction contract without operators. Such term does not include employees or
equipment of a subcontractor or lower tier subcontractor,
in an amount in excess of $100,000 and subject to the overtime agents of the prime contractor, or any other assignees. The
provisions of the Contract Work Hours and Safety Standards Act. term may include payments for the costs of hiring leased
These clauses shall be inserted in addition to the clauses required employees from an employee leasing firm meeting all relevant
by 29 CFR 5.5(a) or 29 CFR 4.6. As used in this paragraph, the Federal and State regulatory requirements. Leased employees
terms laborers and mechanics include watchmen and guards. may only be included in this term if the prime contractor meets
all of the following conditions:
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM—EXHIBIT"A"
NOVEMBER 2014 q
or investigate the matter of compliance with the construction
(1) the prime contractor maintains control over the safety and health standards and to carry out the duties of the
supervision of the day-to-day activities of the leased Secretary under Section 107 of the Contract Work Hours and
employees; Safety Standards Act(40 U.S.C.3704).
(2) the prime contractor remains responsible for the quality of
the work of the leased employees; Vill.FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS
(3) the prime contractor retains all power to accept or exclude
individual employees from work on the project;and This provision is applicable to all Federal-aid construction contracts
(4) the prime contractor remains ultimately responsible for the and to all related subcontracts.
payment of predetermined minimum wages, the
submission of payrolls, statements of compliance and all In order to assure high quality and durable construction in conformity
other Federal regulatory requirements. with approved plans and specifications and a high degree of
reliability on statements and representations made by engineers,
b."Specialty Items"shall be construed to be limited to work that contractors,suppliers,and workers on Federal-aid highway projects,
requires highly specialized knowledge, abilities, or equipment it is essential that all persons concerned with the project perform
not ordinarily available in the type of contracting organizations their functions as carefully, thoroughly, and honestly as possible.
qualified and expected to bid or propose on the contract as a Willful falsification, distortion, or misrepresentation with respect to
whole and in general are to be limited to minor components of any facts related to the project is a violation of Federal law. To
the overall contract. prevent any misunderstanding regarding the seriousness of these
and similar acts, Form FHWA-1022 shall be posted on each
2.The contract amount upon which the requirements set forth in Federal-aid highway project (23 CFR 635) in one or more places
paragraph (1) of Section VI is computed includes the cost of where it is readily available to all persons concerned with the
material and manufactured products which are to be purchased or project:
produced by the contractor under the contract provisions.
18 U.S.C. 1020 reads as follows:
3.The contractor shall furnish (a) a competent superintendent or
supervisor who is employed by the firm,has full authority to direct "Whoever,being an officer,agent,or employee of the United States,
performance of the work in accordance with the contract or of any State or Territory, or whoever, whether a person,
requirements, and is in charge of all construction operations association, firm, or corporation, knowingly makes any false
(regardless of who performs the work) and (b) such other of its statement, false representation, or false report as to the character,
own organizational resources (supervision, management, and quality, quantity, or cost of the material used or to be used, or the
engineering services) as the contracting officer determines is quantity or quality of the work performed or to be performed, or the
necessary to assure the performance of the contract. cost thereof in connection with the submission of plans, maps,
specifications, contracts,or costs of construction on any highway or
4.No portion of the contract shall be sublet, assigned or otherwise related project submitted for approval to the Secretary of
disposed of except with the written consent of the contracting Transportation;or
officer, or authorized representative, and such consent when
given shall not be construed to relieve the contractor of any Whoever knowingly makes any false statement, false
responsibility for the fulfillment of the contract. Written consent representation, false report or false claim with respect to the
will be given only after the contracting agency has assured that character, quality, quantity, or cast of any work performed or to be
each subcontract is evidenced in writing and that it contains all performed, or materials furnished or to be furnished, in connection
pertinent provisions and requirements of the prime contract. with the construction of any highway or related project approved by
the Secretary of Transportation;or
5.The 30% self-performance requirement of paragraph (1) is not
applicable to design-build contracts; however, contracting Whoever knowingly makes any false statement or false
agencies may establish their own self-performance requirements. representation as to material fact in any statement, certificate, or
report submitted pursuant to provisions of the Federal-aid Roads Act
VII.SAFETY:ACCIDENT PREVENTION approved July 1, 1916, (39 Stat. 355), as amended and
supplemented;
This provision is applicable to all Federal-aid construction contracts
and to all related subcontracts. Shall be fined under this title or imprisoned not more than 5 years
or both"
1. In the performance of this contract the contractor shall comply
with all applicable Federal,State,and local laws governing safety, IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
health,and sanitation(23 CFR 635).The contractor shall provide WATER POLLUTION CONTROL ACT
all safeguards,safety devices and protecfive equipment and take
any other needed actions as it determines, or as the contracting This provision is applicable to all Federal-aid construction contracts
officer may determine,to be reasonably necessary to protect the and to all related subcontracts.
life and health of employees on the job and the safety of the
public and to protect property in connection with the performance By submission of this bid/proposal or the execution of this contract,
of the work covered by the contract. or subcontract, as appropriate, the bidder, proposer, Federal-aid
construction contractor, or subcontractor, as appropriate, will be
2. It is a condition of this contract, and shall be made a condition of deemed to have stipulated as follows:
each subcontract,which the contractor enters into pursuant to this
contract, that the contractor and any subcontractor shall not 1.That any person who is or will be utilized in the performance of
permit any employee, in performance of the contract, to work in this contract is not prohibited from receiving an award due to a
surroundings or under conditions which are unsanitary,hazardous violation of Section 508 of the Clean Water Act or Section 306 of
or dangerous to his/her health or safety, as determined under the Clean Air Act.
construction safety and health standards (29 CFR 1926)
promulgated by the Secretary of Labor, in accordance with 2.That the contractor agrees to include or cause to be included the
Section 107 of the Contract Work Hours and Safety Standards requirements of paragraph (1) of this Section X in every
Act(40 U.S.C.3704). subcontract, and further agrees to take such action as the
contracting agency may direct as a means of enforcing such
3.Pursuant to 29 CFR 1926.3, it is a condition of this contract that requirements.
the Secretary of Labor or authorized representative thereof, shall
have right of entry to any site of contract performance to inspect
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM—EXHIBIT"A"
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22
X. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, from the covered transaction, unless it knows that the certification
INELIGIBILITY AND VOLUNTARY EXCLUSION is erroneous. A participant is responsible for ensuring that its
principals are not suspended, debarred, or otherwise ineligible to
This provision is applicable to all Federal-aid construction contracts, participate in covered transactions. To verify the eligibility of its
design-build contracts, subcontracts, lower-tier subcontracts, principals, as well as the eligibility of any lower tier prospective
purchase orders, lease agreements, consultant contracts or any participants, each participant may, but is not required to, check
other covered transaction requiring FHWA approval or that is the Excluded Parties List System website(hitpsih4_rw_eplg.cny!),
estimated to cost$25,000 or more— as defined in 2 CFR Parts 180 which is compiled by the General Services Administration.
and 1200.
i. Nothing contained in the foregoing shall be construed to require
1.Instructions for Certification—First Tier Participants: the establishment of a system of records in order to render in
good faith the certification required by this clause.The knowledge
a.By signing and submitting this proposal, the prospective first tier and information of the prospective participant is not required to
participant is providing the certification set out below. exceed that which is normally possessed by a prudent person in
the ordinary course of business dealings.
b.The inability of a person to provide the certification set out below
will not necessarily result in denial of participation in this covered j. Except for transactions authorized under paragraph (f) of these
transaction. The prospective first tier participant shall submit an instructions, if a participant in a covered transaction knowingly
explanation of why it cannot provide the certification set out enters into a lower tier covered transaction with a person who is
below. The certification or explanation will be considered in suspended, debarred, ineligible, or voluntarily excluded from
connection with the department or agency's determination participation in this transaction, in addition to other remedies
whether to enter into this transaction. However, failure of the available to the Federal Government, the department or agency
prospective first tier participant to furnish a certification or an may terminate this transaction for cause or default.
explanation shall disqualify such a person from participation in
this transaction.
2. Certification Regarding Debarment, Suspension, Ineligibility
c. The certification in this clause is a material representation of fact and Voluntary Exclusion—First Tier Participants:
upon which reliance was placed when the contracting agency
determined to enter into this transaction. If it is later determined a.The prospective first tier participant certifies to the best of its
that the prospective participant knowingly rendered an erroneous knowledge and belief,that it and its principals:
certification, in addition to other remedies available to the Federal
Government, the contracting agency may terminate this (1) Are not presently debarred, suspended, proposed for
transaction for cause of default. debarment, declared ineligible, or voluntarily excluded from
participating in covered transactions by any Federal
d.The prospective first tier participant shall provide immediate department or agency;
mitten notice to the contracting agency to whom this proposal is
submitted if any time the prospective first tier participant learns (2) Have not within a three-year period preceding this proposal
that its certification was erroneous when submitted or has been convicted of or had a civil judgment rendered against
become erroneous by reason of changed circumstances. them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or
e.The terms "covered transaction," "debarred," "suspended," performing a public (Federal, State or local) transaction or
"ineligible," "participant," "person," "principal," and "voluntarily contract under a public transaction; violation of Federal or
excluded,"as used in this clause,are defined in 2 CFR Parts 180 State antitrust statutes or commission of embezzlement,
and 1200. "First Tier Covered Transactions" refers to any theft, forgery, bribery, falsification or destruction of records,
covered transaction between a grantee or subgrantee of Federal making false statements,or receiving stolen property;
funds and a participant (such as the prime or general contract).
"Lower Tier Covered Transactions" refers to any covered (3) Are not presently indicted for or otherwise criminally or civilly
transaction under a First Tier Covered Transaction (such as charged by a governmental entity (Federal, State or local)
subcontracts). "First Tier Participant"refers to the participant who with commission of any of the offenses enumerated in
has entered into a covered transaction with a grantee or paragraph(ax2)of this certification;and
subgrantee of Federal funds (such as the prime or general
contractor). "Lower Tier Participant" refers any participant who (4) Have not within a three-year period preceding this
has entered into a covered transaction with a First Tier Participant application/proposal had one or more public transactions
or other Lower Tier Participants (such as subcontractors and (Federal,State or local)terminated for cause or default.
suppliers).
b.Where the prospective participant is unable to certify to any of the
f. The prospective first tier participant agrees by submitting this statements in this certification, such prospective participant shall
proposal that, should the proposed covered transaction be attach an explanation to this proposal,
entered into, it shall not knowingly enter into any lower fier
covered transaction with a person who is debarred, suspended, 2.Instructions for Certification-Lower Tier Participants:
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or (Applicable to all subcontracts, purchase orders and other lower tier
agency entering into this transaction. transactions requiring prior FHWA approval or estimated to cost
$25,000 or more-2 CFR Parts 180 and 1200)
g.The prospective first tier participant further agrees by submitting
this proposal that it will include the clause titled "Certification a. By signing and submitting this proposal,the prospective lower tier
Regarding Debarment, Suspension, Ineligibility and Voluntary is providing the certification set out below.
Exclusion-Lower Tier Covered Transactions,' provided by the
department or contracting agency, entering into this covered b.The certification in this clause is a material representation of fact
transaction, without modification, in all lower tier covered upon which reliance was placed when this transaction was
transactions and in all solicitations for lower tier covered entered into. If it is later determined that the prospective lower tier
transactions exceeding the$25.000 threshold. participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government,
h.A participant in a covered transaction may rely upon a certification the department, or agency with which this transaction originated
of a prospective participant in a lower tier covered transaction that may-pursue available remedies, including suspension and/or
is not debarred, suspended, ineligible, or voluntarily excluded debarment.
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM—EXHIBIT"A"
NOVEMBER 2014 23
c. The prospective lower tier participant shall provide immediate 2.Where the prospective lower tier participant is unable to certify to
written notice to the person to which this proposal is submitted if any of the statements in this certification, such prospective
at any time the prospective lower tier participant learns that its participant shall attach an explanation to this proposal.
certification was erroneous by reason of changed circumstances.
d.The terms "covered transaction," "debarred," "suspended,"
"ineligible," "participant," "person," "principal,' and "voluntarily XI. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
excluded,"as used in this clause,are defined in 2 CFR Parts 180 FOR LOBBYING
and 1200. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations. This provision is applicable to all Federal-aid construction contracts
"First Tier Covered Transactions' refers to any covered and to all related subcontracts which exceed$100,000(49 CFR 20).
transaction between a grantee or subgrantee of Federal funds
and a participant(such as the prime or general contract). "Lower 1.The prospective participant certifies, by signing and submitting
Tier Covered Transactions" refers to any covered transaction this bid or proposal,to the best of his or her knowledge and belief,
under a First Tier Covered Transaction (such as subcontracts). that:
"First Tier Participant" refers to the participant who has entered
into a covered transaction with a grantee or subgrantee of Federal a. No Federal appropriated funds have been paid or will be
funds (such as the prime or general contractor). "Lower Tier paid, by or on behalf of the undersigned, to any person for
Participant"refers any participant who has entered into a covered influencing or attempting to influence an officer or employee
transaction with a First Tier Participant or other Lower Tier of any Federal agency,a Member of Congress,an officer or
Participants(such as subcontractors and suppliers). employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal
e.The prospective lower tier participant agrees by submitting this contract,the making of any Federal grant,the making of any
proposal that, should the proposed covered transaction be Federal loan, the entering into of any cooperative
entered into, it shall not knowingly enter into any lower tier agreement, and the extension, continuation, renewal,
covered transaction with a person who is debarred, suspended, amendment, or modification of any Federal contract, grant,
declared ineligible, or voluntarily excluded from participation in loan,or cooperative agreement.
this covered transaction, unless authorized by the department or
agency with which this transaction originated. b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
I. The prospective lower tier participant further agrees by submitting attempting to influence an officer or employee of any Federal
this proposal that it will include this clause titled "Certification agency, a Member of Congress, an officer or employee of
Regarding Debarment, Suspension, Ineligibility and Voluntary Congress, or an employee of a Member of Congress in
Exclusion-Lower Tier Covered Transaction,"without modification, connection with this Federal contract, grant, loan, or
in all lower tier covered transactions and in all solicitations for cooperative agreement,the undersigned shall complete and
lower tier covered transactions exceeding the$25,000 threshold. submit Standard Form-LLL, "Disclosure Form to Report
Lobbying,"in accordance with its instructions.
g.A participant in a covered transaction may rely upon a certification
of a prospective participant in a lower tier covered transaction that 2.This certification is a material representation of fact upon which
is not debarred, suspended, ineligible, or voluntarily excluded reliance was placed when this transaction was made or entered
from the covered transaction,unless it knows that the certification into. Submission of this certification is a prerequisite for making
is erroneous. A participant is responsible for ensuring that its or entering into this transaction imposed by 31 U.S.C. 1352. Any
principals are not suspended,debarred, or otherwise ineligible to person who fails to file the required certification shall be subject to
participate in covered transactions. To verify the eligibility of its a civil penalty of not less than $10,000 and not more than
principals, as well as the eligibility of any lower tier prospective $100,000 for each such failure.
participants, each participant may, but is not required to, check
the Excluded Parties List System website(httpsTwww eels cow!), 3.The prospective participant also agrees by submitting its bid or
which is compiled by the General Services Administration. proposal that the participant shall require that the language of this
certification be included in all lower tier subcontracts, which
h.Nothing contained in the foregoing shall be construed to require exceed $100,000 and that all such recipients shall certify and
establishment of a system of records in order to render in good disclose accordingly.
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.
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM—EXHIBIT"A�
NOVEMBER 2014
FEMALE AND MIONORITY GOALS
The nationwide goal for female utilization is 6.9 percent.
The goals for minority utilization [45 Fed Reg 65984(10/3/1980)] are as follows:
MINORITY UTILIZATION GOALS
Economic Area Goal-%
Redding CA: 6.8
174 Non-SMSA(Standard Metropolitan Statistical Area)Counties:
CA Lassen;CA Modoc;CA Plumas; CA Shasta; CA Siskiyou; CA Tehama
Eureka, CA
175 Non-SMSA Counties: .6
CA Del Norte; CA Humboldt;CA Trinity
San Francisco-Oakland-San Jose,CA:
SMSA Counties 28.9
7120 Salinas-Seaside-Monterey,CA
CA Monterey 25.6
7360 San Francisco-Oakland
CA Alameda;CA Contra Costa; CA Marin; CA San Francisco; CA San Mateo
7400 San Jose, CA 19.6
176 CA Santa Clara, CA
7485 Santa Cruz, CA 14.9
CA Santa Cruz
7500 Santa Rosa 9.1
CA Sonoma
8720 Vallejo-Fairfield-Napa, CA 17.1
CA Napa; CA Solano
Non-SMSA Counties: 23.2
CA Lake; CA Mendocino;CA San Benito
Sacramento, CA:
SMSA Counties:
6920 Sacramento, CA 16.1
177 CA Placer; CA Sacramento; CA Yolo
Non-SMSA Counties 14.3
CA Butte; CA Colusa; CA El Dorado; CA Glenn; CA Nevada; CA Sierra; CA Sutter; CA Yuba
Stockton-Modesto,CA:
SMSA Counties:
5170 Modesto, CA 12.3
178 CA Stanislaus
8120 Stockton, CA 24.3
CA San Joaquin
Non-SMSA Counties 19.8
CA Alpine; CA Amador, CA Calaveras; CA Mariposa; CA Merced; CA Tuolumne
Fresno-Bakersfield, CA
SMSA Counties:
0680 Bakersfield, CA 9.1
179 CA Kern
2840 Fresno, CA 6.1
CA Fresno
Non-SMSA Counties 216
CA Kings; CA Madera;CA Tulare
For each July during which work is performed under the contract, you and each non material-supplier
subcontractor with a subcontract of $10,000 or more must complete Form FHWA PR-1391 (Appendix C to 23
CFR 230). Submit the forms by August 15.
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CITY PROJECT NO.08-04 AGREEMENT FORM—EXHIBIT"A"
NOVEMBER 2014
25
FEDERAL TRAINEE PROGRAM
For the Federal training program, the number of trainees or apprentices is identified in Section 7-2.3 of the
Special Provisions.
This section applies if a number of trainees or apprentices is specified in Section 7-2.3 of the Special
Provisions.
As part of your equal opportunity affirmative action program, provide on-the-job training to develop full
journeymen in the types of trades or job classifications involved.
You have primary responsibility for meeting this training requirement.
If you subcontract a contract part, determine how many trainees or apprentices are to be trained by the
subcontractor.
Include these training requirements in your subcontract.
Where feasible, 25 percent of apprentices or trainees in each occupation must be in their 1st year of
apprenticeship or training.
Distribute the number of apprentices or trainees among the work classifications on the basis of your needs and
the availability of journeymen in the various classifications within a reasonable recruitment area.
Before starting work, submit to the City of Palm Springs:
1. Number of apprentices or trainees to be trained for each classification
2. Training program to be used
3. Training starting date for each classification
Obtain the City of Palm Springs approval for this submitted information before you start work. The City of Palm
Springs credits you for each apprentice or trainee you employ on the work who is currently enrolled or
becomes enrolled in an approved program.
The primary objective of this section is to train and upgrade minorities and women toward journeymen status.
Make every effort to enroll minority and women apprentices or trainees, such as conducting systematic and
direct recruitment through public and private sources likely to yield minority and women apprentices or
trainees, to the extent they are available within a reasonable recruitment area. Show that you have made the
efforts. In making these efforts, do not discriminate against any applicant for training.
Do not employ as an apprentice or trainee an employee:
1. In any classification in which the employee has successfully completed a training course leading to
journeyman status or in which the employee has been employed as a journeyman
2. Who is not registered in a program approved by the US Department of Labor, Bureau of Apprenticeship
and Training
Ask the employee if the employee has successfully completed a training course leading to journeyman status
or has been employed as a journeyman. Your records must show the employee's answers to the questions.
In your training program, establish the minimum length and training type for each classification. The City of
Palm Springs and FHWA approves a program if one of the following is met:
1. It is calculated to:
• Meet the your equal employment opportunity responsibilities
• Qualify the average apprentice or trainee for journeyman status in the classification involved by the end
of the training period
2. It is registered with the U.S. Department of Labor, Bureau of Apprenticeship and Training, and it is
administered in a way consistent with the equal employment responsibilities of Federal-aid highway
construction contracts
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM-EXHI121 "A"
NOVEMBER 2014
Obtain the State's approval for your training program before you start work involving the classification covered
by the program.
Provide training in the construction crafts, not in clerk-typist or secretarial-type positions. Training is allowed in
lower level management positions such as office engineers, estimators, and timekeepers if the training is
oriented toward construction applications. Training is allowed in the laborer classification if significant and
meaningful training is provided and approved by the division office. Off-site training is allowed if the training is
an integral part of an approved training program and does not make up a significant part of the overall training.
The City of Palm Springs reimburses you 80 cents per hour of training given an employee on this contract
under an approved training program:
1. For on-site training
2. For off-site training if the apprentice or trainee is currently employed on a Federal-aid project and you do at
least one of the following:
• Contribute to the cost of the training
• Provide the instruction to the apprentice or trainee
• Pay the apprentice's or trainee's wages during the off-site training period
3. If you comply this section.
Each apprentice or trainee must:
1. Begin training on the project as soon as feasible after the start of work involving the apprentice's or
trainee's skill
2. Remain on the project as long as training opportunities exist in the apprentice's or trainee's work
classification or until the apprentice or trainee has completed the training program
Furnish the apprentice or trainee:
1. Copy of the program you will comply with in providing the training
2. Certification showing the type and length of training satisfactorily completed
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.08-04 AGREEMENT FORM-EXHIBIT"A"
NOVEMBER 2014
27
TITLE V1 ASSURANCES
During the performance of this Agreement, the contractor, for itself, its assignees and successors in interest
(hereinafter collectively referred to as CONTRACTOR) agrees as follows:
(1) Compliance with Regulations: CONTRACTOR shall comply with the regulations relative to
nondiscrimination in federally assisted programs of the Department of Transportation, Title 49, Code of
Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the
REGULATIONS), which are herein incorporated by reference and made a part of this agreement.
(2) Nondiscrimination: CONTRACTOR, with regard to the work performed by it during the AGREEMENT, shall
not discriminate on the grounds of race, color, sex, national origin, religion, age, or disability in the selection
and retention of sub-applicants, including procurements of materials and leases of equipment.
CONTRACTOR shall not participate either directly or indirectly in the discrimination prohibited by Section
21.5 of the Regulations, including employment practices when the agreement covers a program set forth in
Appendix B of the Regulations.
(3) Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all solicitations
either by competitive bidding or negotiation made by CONTRACTOR for work to be performed under a
Sub-agreement, including procurements of materials or leases of equipment, each potential sub-applicant
or supplier shall be notified by CONTRACTOR of the CONTRACTOR'S obligations under this Agreement
and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin.
(4) Information and Reports: CONTRACTOR shall provide all information and reports required by the
Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts,
other sources of information, and its facilities as may be determined by the California Department of
Transportation or FHWA to be pertinent to ascertain compliance with such Regulations or directives.
Where any information required of CONTRACTOR is in the exclusive possession of another who fails or
refuses to furnish this information, CONTRACTOR shall so certify to the California Department of
Transportation or the FHWA as appropriate, and shall set forth what efforts CONTRACTOR has made to
obtain the information.
(5) Sanctions for Noncompliance: In the event of CONTRACTOR's noncompliance with the nondiscrimination
provisions of this agreement, the California Department of Transportation shall impose such agreement
sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
(a) withholding of payments to CONTRACTOR under the Agreement within a reasonable period of time, not to
exceed 90 days; and/or
(b) cancellation, termination or suspension of the Agreement, in whole or in part.
(6) Incorporation of Provisions: CONTRACTOR shall include the provisions of paragraphs (1) through (6) in
every sub-agreement, including procurements of materials and leases of equipment, unless exempt by the
Regulations, or directives issued pursuant thereto.
CONTRACTOR shall take such action with respect to any sub-agreement or procurement as the California
Department of Transportation or FHWA may direct as a means of enforcing such provisions including
sanctions for noncompliance, provided, however, that, in the event CONTRACTOR becomes involved in, or is
threatened with, litigation with a sub-applicant or supplier as a result of such direction, CONTRACTOR may
request the California Department of Transportation enter into such litigation to protect the interests of the
State, and, in addition, CONTRACTOR may request the United States to enter into such litigation to protect the
interests of the United States.
MAINTAIN RECORDS AND SUBMIT REPORTS DOCUMENTING YOUR PERFORMANCE UNDER THIS SECTION
* * * END OF EXHIBIT "AYy
TRAFFIC MANAGEMENT CENTER
CITY PROJECT NO.0&04 AGREEMENT FORM-EXHIBIT"A"
NOVEMBER 2014 28
Attachment 3
29
AMENDMENT NO. 1 TO PROFESSIONAL SERVICES AGREEMENT NO. 5985
WITH RBF CONSULTING
TMC AND CITYWIDE TRAFFIC SIGNAL INTERCONNECT/SYNCHRONIZATION
CITY PROJECT NO. 08-04
FEDERAL PROJECT NO. CML 5282(031)
The following articles of Agreement No. 5985 are hereby amended to read as follows:
SECTION 2.1 Maximum contract amount is amended to Five Hundred Twenty-Four Thousand
Two Hundred Fifty-Nine Dollars ($524,259).
SCOPE OF SERVICES (Exhibit "A") —Exhibit "A" is amended as follows:
Add "Phase 3—Construction Administration Services." See the attached sheets.
SCHEDULE OF COMPENSATION (Exhibit "E")— Exhibit 'E" is amended as follows:
Add Phase 3—Construction Administration Services, as identified on the attached Exhibit "E".
SCHEDULE OF PERFORMANCE (Exhibit "F") — Exhibit "F" is amended as follows:
Add Phase 3 —Construction Administration Services, as identified on the attached Exhibit "F".
Purchase Order Number(s): 10-0728
Agreement Number: 5985
Original City Council Approval: June 22, 2010
Original Contract Amount: $ 247,521
Amount of Prior Increases $ 0
Amount of This Increase $ 276,738
Amended Total: $ 524,259
Account Number: 134-4498-50272
SIGNATURES ON LAST PAGE
30
Except as specifically amended by this Amendment No. 1, all terms and provisions of
Agreement No. 5985 remain in full force and effect.
ATTEST: CITY OF PALM SPRINGS,
a California charter city
By:
City Clerk By.
City Manager
APPROVED AS TO FORM:
By:
City Attorney
CONSULTANT: RBF Consulting
Check one:_Individual_Partnership XCorporation
Corporations require two notarized signatures: One signature must be from the Chairman of Board,President,or any Vice
President.The second signature must be from the Secretary,Assistant Secretary,Treasurer,Assistant Treasurer,or Chief
Financial Officer).
By: By:
Notarized Signature of Chairman of Board, Notarized Signature Secretary, Asst Secretary,
President or any Vice President Treasurer, Asst treasurer or Chief Financial Officer
Name: Name:
Title: Title:
31
EXHIBIT "A"
SCOPE OF SERVICES
Add "Phase Three — "Construction Administration Services", as follows:
Task 4 Pre-Construction Meeting Attendance
The Consultant Team will attend the pre-construction meeting at the City of Palm Springs. For budgetary
purposes it is assumed that the project manager, construction manager and construction inspector will attend
this meeting.
Product ✓ Pre-Construction Meeting
Attendance
Task 5 Shop Drawings Review
The Consultant Team will review shop drawing submittals for conformance to the intent of the design. The fee
is based upon one review of each submittal and one back-check of resubmittals. Incomplete submittals will not
be accepted for initial review. Incomplete submittals will not be accepted for initial reviews.
Traffic Signal Equipment
Communication Systems
Traffic Management Center
Product ✓ Shop Drawing Reviews
Task 6 Respond to Requests for Information
The Consultant Team will provide response to contractors requests for information (RFI) about the plans
and specifications forwarded to Consultant by the City. This task includes conferring with the City's
Resident Engineer regarding the RFI as appropriate. Regularly scheduled construction observation is
specifically excluded from this task.
Product ✓ Respond to Request for
Information
Task 7 Construction Management, Administration, and Inspection
The Consultant Team shall perform comprehensive Construction Management, Administration and Inspection
Services and report directly to the City of Palm Springs Staff during the pre-construction, construction, and
close-out phases of the work as required to insure the Contractor's work is being performed in accordance with
the requirements of the contract documents and endeavor to guard the City against defects and deficiencies in
the work, including the following:
Review contract documents and coordinate permit requirements
Schedule and attend a field walk with the construction Inspector, Project Design Engineer, City and
Caltrans representatives
Provide a pre-construction agenda for review and comment. Schedule a pre-construction meeting and
notify attendees and prepare pre-construction meeting notes
Provide coordination of project activities and prepare reports and documents, as necessary, for City's
review and action
Process all shop drawings, project date, sample, and other submittals
Exhibit A—Scope of Services
Page 1 of 4
32
Maintain at the project side, on a current basis, a record copy of all contracts, drawings, specifications,
addenda, change orders and other modifications, in good order and marked to record all changes made
during construction, including the shop drawings, product data shop and mill test reports of materials and
equipment, samples, submittals, purchases, materials, equipment, applicable handbooks, maintenance
and operating manuals and instructions, and other related documents and revisions relevant to the contract
work
r Monitor Contractor and Subcontractor certified payrolls
Conduct bi-weekly construction progress meets with Project Design Engineer, Contractor, Subcontractors,
City Staff, other affected outside Agencies, utilities, general public, and other Consultants to discuss
matters such as procedures, progress, problems, and scheduling and distribute meeting agenda and
minutes
Monitor all inspection activities
Coordinate submittal review with the Consultant Project Manager
Coordinate with utility companies including SCE for electrical service point(s)
Coordinate with the Construction Inspector, Surveyor, Materials/SoilsTesting
Provide on-site inspection and testing services of hardware and software installed by the
Integrator/Contractor as they relate to video detection equipment, microwave radios, network appliances,
etc.
Validate that work of the Integrator/Contractor meets the design criteria of the Project
Validate the performance criteria of all system components by using third party hardware and software
testing tools to ensure bandwidth, performance and data QOS performance standards have been met by
the Integrator/Contractor
Document all claims and maintain reports for account records
Coordinate and schedule construction inspection activities
Coordinate and schedule construction surveying
Review and analyze the Contractor's schedule (monthly) including activity sequences and duration,
schedule of submittal and schedule of delivery for products with long lead times
Work with Contractor to maintain the project schedule to show current conditions and suggest revisions as
required
Recommend necessary or desirable changes in the Construction Contractor's scope of work
Review and evaluate Contractor's request for changes. Submit recommendations supported by field data
related to any additional work
If change orders are accepted by the City, prepare change orders for signature and authorization by the
City
Maintain a log of change requests
Exhibit A—Scope of Services
Page 2 of 4
33
Review pay requests and provide recommendation for contractor payments
Monitor and enforce construction noticing requirements
Prepare and maintain field diaries (bound workbooks) during construction, including a cumulative record of
quantities constructed, daily and weekly reports, working day reports, change order documentation and
other documentation
Monitor the Contractor's PM-10 Fugitive dust control plan and ensure the Contractor is using approved
haul routes and that they are kept clean
Ensure compliance with the construction contract by continuously monitoring, evaluating, approving or
rejecting the Contractor's work in accordance with the approved construction contract documents
Maintain a photographic history of the project. Photos shall also be taken of the following: Existing
conditions prior to construction; and disputed work items; and Work that has to be duplicated, replaced or
removed; and Complete work; and Extra Work
Record the progress of the project by maintaining one set of plans with markings and dimensions in red ink
to denote field changes or other corrections
Maintain copies of all permits needed to construct the project and enforce special requirements of each
The Construction Administrator shall coordinate final inspections with inspector
Notify the City when the project, or a designated portion thereof, is substantially complete
Prepare for district a summary of the status of the work of Contractor, listing changes in the previously
issued certificates of substantial completion of the work, and recommending the times within which
Contractor shall complete uncompleted items on their certificate of substantial completion of the work
Obtain evidence of certification of all lien releases
a, Secure and transmit to the City, all required guarantees and warranties in the form of an Operation and
Maintenance workbook
Coordinate training with City staff
Provide Project Closeout
As indicated in Technical Specifications, it is anticipated that the construction period will be one-hundred sixty
(160) days or thirty-two (32) weeks. For budgetary purposes, it is anticipated that our Construction Manager
and Inspector will be working approximately twenty (20) hours per week for thirty-two (32) weeks.
Product ✓ Construction Management,
Administration, and inspection
Exhibit A—Scope of Services
Page 3of4 34
Task S Quality Assurance Plan
The Consultant Team will prepare a Quality Assurance Plan (QAP) for the proposed improvements as defined
in the project bid package. The QAP will include all the equipment installation, testing, and commissioning
requirements, and all necessary items to ensure compliance with the construction contract and federal
requirements.
Product ✓ Quality Assurance Plan
Task 9 Miscellaneous Construction Support
The Consultant Team will assist the City of Palm Springs with miscellaneous requests including evaluating
non-functioning traffic signal equipment, traffic signal operations, signage/striping needs, and other
miscellaneous related items to ensure the City maintains a functioning citywide traffic signal system and signal
communication system. If necessary, the Consultant Team will provide the City with equipment upgrade
recommendations.
Product ✓ Miscellaneous Construction
Support
Task '10 Final Record Drawings
Following the completion and acceptance of the project, furnish the City a complete set of revised original
electronic design files and drawings showing as-built conditions. Revisions will be solely based on as-built
information provided by the Contractor and the City's Resident Engineer. Consultant assumes no
responsibility for the accuracy of the information provided by the Resident Engineer.
While the Contractor is responsible for maintaining field as-built plans, Consultant shall keep records of
changes based solely on information provided by Consultant in response to RFI's and/or additional drawings
prepared at the City's request. These marked up plans will form the basis for the development of the Final
Record Drawings. Consultant assumes no responsibility for the accuracy of the information provided by the
Contractor.
Product ✓ Final Record Drawings
Mileage, Reproduction Services, Computer Services and Other Expenses
Consultant shall provide all mileage, reproduction services, computer expenses and other related expenses for
the project. This includes all reprographics and photocopying for submittals, all photocopying for progress
plots, quality control check plots, and in-house reproductions.
END OF EXHIBIT "A"
Exhibit A—Scope of Services
Page 4 of 4 35
EXHIBIT "E"
SCHEDULE OF COMPENSATION
The following is added to Exhibit "C", Schedule of Compensation:
PHASE 3—CONSTRUCTION ADMINISTRATION SERVICES
The following budgeted hours are based on a project schedule of 160 working days.
SUECONSULTANT
HEPTAGON SEVEN
JJJENNJMEL�.N� CTION CONSTRUCTION CLERICAL
ER INSPECTION
hour $150perh.,u$ Hours $ Houn $
1 S 51,360 SO SC 4 3WC 4 5650 50 14 �2a50
2 66op Drmrl Resx $2,70C 48 57.296 48 56.672 50 50 SG 1'6 $+6.666
3 Responato Reauestsf.,Wormahon S2.700 40 $6,080 52 54348 50 SO s0 8, 5'3,228
4 COnsfrocflon.Maaegement kch,rn,.tor1Cn,antl lnspe . 144 S32,400 64 59726 50 372 ;5`;.600 360 S57.h0 64 5 i60 1024 $^55.955
5 Quality Axsumnce Plan 24 55,400 44 56698 5G 50 SG 5G 56 2066
f
6 FAocellaeous construdian Su port 132 $29.700 80 $12.160 32 Sd 6 $9.5a] 64 555W SG 572 S'a6.608
7 Flnal Record Darilnos 30 4 5606 50 50 SO so 55ca
SOBTOTAL 30 330 $74,25U 1 2301 542S60 112 515,568 440 $66.000 448 $67.209 1 54.160 1674 UK738
Reinburseble 5�000
TOTAL I 1 301 3301 S74,350 1 280 $42,560 112 $15,566 1 440 $66.000 1 "81 567.2o0 1 64 $4.1601 1,6741 $276,738
Phase 3 Subtotal: $276,738
Grand Total of Contract $624,259
END OF EXHIBIT "E"
w
m
EXHIBIT "F"
SCHEDULE OF PERFORMANCE
The following is added to Exhibit "F", Schedule of Performance:
Phase Three — Construction Administration Services shall begin after Council approval of the
amended contract and the issuance of a Notice to Proceed for a period of 160 working days
thereafter or when the project is closed out and accepted by Caltrans.
END OF EXHIBIT "F"
37
Attachment 4
38
I
i
FromAl verside County Clerk 9514867020 12/29/2014 18:01 #585 P.0021006
Notice of Exemption Form o
I
To: j] Office of Planning and Research From:(Public Agency) CSty of Palm springs
PO Box 3044, 1400 Tenth Street,Room 212 3200 E. Tahquitz Canyon way
Sacramento,CA 95912-3044
Palm Springs, CA 92262
�j County Clerk (Addmss)
County of Riverside
P.O. Box 751
Riverside, CA 92502-0751
Project Title: Traffic Management Center - Traffic Signal Synchronization
Project Location-specific:
Citywl3d'e'throughout the City of Palm Springs. `)
E
Project Location—City: Palm Springs Project Location—County, Riverside
Description of Project:
The proposed project includes installation of a direct communication link between the
City'e TMC and the City's information technology (IT) hub, installation of three
weather closed circuit television cameras, and upgrade of 80 signalized intersections
citywide by installing conduit, cables, pull boxes from traffic signal poles to the
traffic signal cabinets. All work will be within the existing Right of Way.
Name of Public Agency Approving Project: City of Palm Springs
Name of Person or Agency Carrying Out Project: City of Palm springs RNERsl[ CO, I UJ
i
Exempt Status: (check one) APR 0 g 2014
❑Ministerial(Sec.21080(b)(1); 15268);
❑Declared Emergency(Sec.21080(b)(3); 15269(a)); CARRY W.WAR,D,CLERK �
❑Emergency Project(Sec.21080(b)(4);15269(b)(e)); By 7°34..e T Bale
•Categorical Exemption.Stale type and section number: 15301(e) E (f) Existing Facilities Oepuly
i
❑Statutory Exemptions.State code number:
Reasons why project is exempt:
This TI4C and Traffic Signal Synchronization project will provide the City the ability
to monitor traffic intersections while synchronizing traffic signals with existing
facilities within the City's existing right of way.
I
Lead Agency
Contact Person; Savat Khamphou Area Codelrelephone/Extension: (760) 323-8253
,
If tiled by applicant: 1
I.Attach certified oXtionn
n finding.
2,Has a Notice o eby the public agency approving the project? 0 Yes ❑No
Signature: i�tD�9yt� 3/26/2014 Tide: Asst Oir of Publ writs i.
�sg Dnclw;t 0.ti:tl I.etarmhlawt. i
0 Signed by Lead Agency f-1er r c1 M.5P
Date recei*."Ibr':'t-tling at OPR:
❑Signed by Applicant
ADD t) 4 `n 1'i January 2004
Govemods Office of Planning and Research [ ( / 27
Rerua4•.v._ ..C.._ !
i
'--•.. +f rtiv..§:^ "2i' _f%a!!lnnds5 '.
39
1
From:Riverside County Clerk 9514867020 12/2912014 18:00 #585 P.001l006
i
STATE OF CALIFORNIA-THE RESOURCES AGENCY
DEPARTMENT OF FISH AND GAME
ENVIRONMENTAL FILING FEE CASH RECEIPT
Receipt M 201400198
i
State Clearinghouse#(if applicable):
I
LeadAgency: CITY OF PALM SPRINGS Date: 04/09/2014
County Agency ofFtlmg.. Riverside Document No: 201400198
Protect rink: TRAFFIC MANAGEMENT CENTER-TRAFFIC SIGNAL SYNCHRONIZATION
Pratecr Applicant Name: CITY OF PALM SPRINGS Phone Number: 760-323-8253
Project Applicant Address: 3200 E.TAHQUITZ CANYON WAY PALM SPRINGS,CA 92262
Project Applican:: Local Public Agency i
i
I
CHECK APPLJCABLL•FEFS:
1
L1 Environmental impact Report
El Negative Declaration I
i
0 Applicotion Fee Water Diversion($tote Water Resources Control BoardOnly1 �
❑Project Subject to Cert f ed Regulatory Programs j
❑X Counry Administration Fee $50.00
❑ProJetJ than is erentpt Jrom fees(DPY3 No Effect Determination(Form Attached)) {
Project that is exempt from fees(Notice gfEumplton) i
Total Received $50.00 j
1
i
i
Signature and title of person receiving payment-. ��`^^- ,
Notes
40
Attachment 5
41
CATEGORICAL EXEMPTION/CATEGORICAL EXCLUSION DETERMINATION FORM
081RNtPalm 5prin�s �..... ...............— _CML 5282 L31),.,.. ,
Dlct.-Co:Rta"(or Local Agency) P.M;FAA. E"A_(State project) Fwferal Aid Project N tLocAl protect},Prat.No
PROJECT DESCRIPTION:
78nee cdosecoclbe pu'te 'Icica nsti ilahoir oFr ii('' fight-ot-wa recluiramants_and a tivifies involved 1
"' p 1 s, oa)n this box fleet Oootine anon bpev[,i/nee 4ary 1
pr p p j ct communication link between the City's Traffic Managemeet Censer(I PAC)mu'
the City's inftuinabon lachoodgy iIT)hub,installation of three weather closed circuit television cameras In monitor flood and wind
conditions in real time at the Whilewater River crossings at Indian Canyon Drive,Gene Autry Trail,and Vista China, and upgrade I
1 80 signalized Intersections citywide by installing cunduit,cables,pull boxes from traffic signal poles to One traffic „ignvl r m lwtivt
? cabinets The project is all within the existing right-of-way,no new right-of-way will be required for this project_
CEQA COM PLIANCE (tar State Projects onto
Based on an examination of this proposal,supporting information,and the following statements(See 14 OCR 1,,300 At seq.):
. If this project falls within exempt lass 3,d,.5,fi or 11,B does not impact an environmental resource of hazardous or cntic�af cancer:
where designated,preceidy mapped and officially adopted pursuant to law_
• There will not be a significant cumulative effect by this project and successive projects of the same type in the same place,over Gore.
• There is not a reasonable possibility that the project will have,A significant effect on the environment due to unusual circumstances,
• This project does riot damage a scenic resource within an officially designated state sceric highway.
. This project is no,located on a site included on any list compiled pursuant to GovL Como ii 65962.5("Cor'.ese List"j"
. This project does not cause a substantial adverse change In the significance of a historical resource.
'CALTRANS CEQA DETERMINATION (Check one)
,• ❑ Exempt by Statute.(PRO 21080Ibj; 14 CCR 15260 at seq.)
Based on an examination of this proposal,supporting information,and the above statements,the project is
❑ Categorically Exempt.Class_ (PRO 21084, 14 OCR 15300 et seq.)
❑ Categorically Exempt"General Rule exemption.(This project drearier fall within An exempt Gass,but it can be seen with
certainly that there is no possibility that the activity may have a significant effect on the environment{CCR 150fi1[bj[3))
NIA NIA
Print Name Environmentat Branch Chief Print Name.Project Manager/DLA Engineer
NIA N/A
_S_._..-
Date _... _..
ignaure Signature Date _.
NEPA COMPLIANCE
In accordance with 23 CFR 771.119,and based an an examination of this proposal and supporting information,the State has
determined that this project:
• does not individually or cumulatively have a significant impact on the environment as cleaned by NEPA and is excluded from the
requirements to prepare an Environmental Assessment(EA)ar Environmental Impact Statement(EIS),and
• has considered unusual circumstances pursuant to 23 CFR 771.117(b)
fit
In non-attainment or maintenance areas for Federal air quality standards,the project is either exempt from all conformity requirements,
or conformity analysis has been completed pursuant to L LIST;7c,6i6 and cE _ii:,t.
CALTRANS NEPA DETERMINATION (Check one)
® Section 6004: The Stale has been assigned,and hereby certifies that it has carried out,the responsibility to make this I
determination pursuant to Chapter 3 of Title 23,United States Code,Section 326 and a Memorandum of Understanding(MOU)
dated June 7,2010,executed between the FHWA and the State" The State has determined that the project is a Categorical
Exclusion under:
❑23 CFR 771-117(c):activity(c)(__)
®23 CFR 771.117(d):activity(d)(2)
❑Activity____ listed in the MOU between FHWA and the State
❑ Section 6005: Based on an examination of this proposal and supporting infomtdifon,the State has determined that the project
is a CE under Section 6005 of 23 U.S.C.327, r'
Aaron Burton Savat Khomphou
—
Print Name:Env 1111 awgo ch Chief Print NanW Protect Manager/DLA Engineer
u
S� Date_ Signature `Dole
Beery list environmental commitments on continuation sheet. Reference additional information,as appropriate(e.g,air quality studies,
documentation of conformity exemption,FHWA conformity determination if Section 6005 project;§106 commitments:§4(f):§7 results,
Wetlands Finding.Floodplain Finding:additional studies:and design conditions).Revised June 7,2010
Page 1 of 2
42
CATEGORICAL EXEMPTIONtCATEGORICAL EXCLUSION DETERMINATION FORM
Continuation Sheet
081RiVJPalm Springs ,-„... ,- _ CI'AL 5282(03SZ
Dist-Co.Rte for local Agency) P.M/P.M n.A.(.State project) Federal-Arch ProjoC`t Ni, {t oosi prn}sct)i P1q No
Continuect from page 1:
I ,Project Description:
The proposed project includes installation of a direct Communication link between the City's Traffic Management Gents,(TMC)and
the Cdy's information technology(IT)hub,installation of three weather closed circuit leievision cameras to monitor flood and wind
wndrions in real time at the Whitewatcr River crossings at Indian Canyon Drive,Gene Autry Trail,and Vista Chino,and upgrade 80
signalized intersections citywide by installing Conduit cables,pull boxes from traffic signal colas to the traYc,signal cc;nt,pior
cabinets. -rne project is all within the existing right-of-way,no new right-of-way will he.Moored for this oroject-
t
Pagc 2 of 2
43