City of Phoenix_West Plaza Park Renovation DBB Bid Package (TPD2110032)

ND30010030 / PA75200609                                                                                                                                            Revision 9/21

                                   CALL FOR BIDS

CITY OF PHOENIX

WEST PLAZA PARK RENOVATION DESIGN-BID-BUILD

PROJECT NOS. ND30010030 / PA75200609

PROCUREPHX PRODUCT CATEGORY CODE 912000000 RFx 60000001150

BIDS WILL BE DUE: TUESDAY, NOVEMBER 30, 2021 AT 2:00 P.M. SUBMITTED INTO THE DESIGN AND CONSTRUCTION PROCUREMENT BID BOX LOCATED ON THE 1ST FLOOR LOBBY OF THE PHOENIX CITY HALL BUILDING,

200 W. WASHINGTON STREET, PHOENIX, ARIZONA, 85003

BIDS WILL BE READ: TUESDAY, NOVEMBER 30, 2021 AT 2:30 P.M. VIA WEBEX VIDEO / PHONE ACCESS

*All times are local Phoenix time

SCOPE OF WORK

The City of Phoenix is seeking a qualified contractor to provide construction services for the project listed below.

The City of Phoenix will renovate West Plaza Park, an existing public park, using U.S. Housing and Urban Development Community Development Block Grant funds from the 2015 and 2016 federal fiscal years. The park currently consists of multiple mature trees and a playground surrounded by a concrete walkway in the northeastern quadrant of the park. The renovations and park enhancement will include new picnic ramadas, walking pathways, sports courts (basketball and sand volleyball), fitness plaza, area lighting, and landscape and irrigation improvements.

All proposed project activities will be in accordance with Phoenix building, zoning, and development codes as approved by the City Planning and Development Department.

This is a federal-aid project. The prevailing basic hourly wage rates and fringe benefit payments, as determined by the Secretary of Labor pursuant to the provisions of the Davis-Bacon Act, shall be the minimum wages paid to the described classes of laborers and mechanics employed or working on the site to perform the contract.

This project will utilize federal funds and is subject to the requirements of 49 Code of Federal Regulations Part 26 and the U.S. Department of Transportation DBE Program.

The City of Phoenix, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat.

252.42 U.S.C. §§ 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award.

PRE–BID MEETING

A pre-bid meeting will be held on Thursday, November 4, 2021, at 2:00 p.m., via WebEx. At this meeting, staff will discuss the scope of work, general contract issues and respond to questions from the attendees. As City staff will not be available to respond to individual inquiries regarding the project scope outside of this pre-bid meeting, it is strongly recommended that interested firms send a representative to the pre-bid meeting.

Pre-Bid WebEx Meeting Information:

Join from the meeting link

https://cityofphoenix.webex.com/cityofphoenix/j.php?MTID=m3eac351b2c2d4bc8c136e0b90e7cae32

Join by meeting number

Meeting number (access code): 2464 437 7743

Join by phone

+1-415-655-0001 US Toll

Need help? Go to https://help.webex.com

REQUEST FOR BID PACKET

On Thursday, October 28, 2021, the bid packet may be downloaded from the City of Phoenix’s eProcurement site at:

https://eprocurement.phoenix.gov/irj/portal

(OR)

the City of Phoenix’s “Solicitations” web page as. The web address is: https://solicitations.phoenix.gov

Firms receiving a copy of the bid packet through any other means are strongly encouraged to download the bid packet from the City webpage and register as a plan holder for the project. The plan holder list is available for viewing within the project folder.

Firms must be registered in eProcurement https://www.phoenix.gov/finance/vendorsreg as a vendor.

Bid Opening WebEx Meeting Instructions:

The public will be able to call the WebEx phone number and listen to the Bid Opening live, as follows: Join from the meeting link https://cityofphoenix.webex.com/cityofphoenix/j.php?MTID=m175ec5bdc18236f0a96477500d1b6211

Join by meeting number

Meeting number (access code): 2456 910 5668

Join by phone

+1-415-655-0001 US Toll

Need help? Go to https://help.webex.com

GENERAL INFORMATION

The City reserves the right to award the contract to the lowest responsible responsive bidder or all bids will be rejected, as soon as practicable after the date of opening bids.

The City of Phoenix will provide reasonable accommodations for alternate formats of the bid packet by calling Annette Perez at (602) 534-1423 or calling TTY 711. Requests will only be honored if made within the first week of the advertising period. Please allow a minimum of seven calendar days for production.

Questions pertaining to process or contract issues should be directed to Annette Perez at (602) 534-1423 or annette.perez@phoenix.gov.

Jeffrey J. Barton City Manager

Eric J. Froberg, PE City Engineer

Published: Arizona Business Gazette Date: October 28, 2021

Date: November 4, 2021

District: 5

INFORMATION FOR BIDDERS

1. 1.           102    BIDDING REQUIREMENTS AND CONDITIONS, Add the following to MAG and COP Supplement to MAG Section 102 BIDDING REQUIREMENTS AND CONDITIONS:

INFORMATION FOR BIDDERS

1. QUESTIONS ON PLANS AND SPECIFICATIONS

Neither the Engineer nor the City of Phoenix shall be held responsible for any oral instructions. Any changes to the plans and specifications will be in the form of an addendum. All Addenda will be posted online within the project folder at the following website:

https://solicitations.phoenix.gov

OR

https://eprocurement.phoenix.gov/irj/portal

For additional information prior to submitting your bid, contact:

Plans, Technical/Special Provisions, Proposal or Specifications:

NAME: Annette Perez, Contracts Specialist, Design and Construction Procurement ADDRESS: 200 W. Washington Street, 5th Floor, Phoenix, AZ 85003-1611 PHONE: (602) 534-1423 E-MAIL: annette.perez@phoenix.gov

DBE Utilization contact:

Equal Opportunity Department: (602) 262-6790

All questions regarding the plans and specifications must be received (in writing) at a minimum seven calendar days prior to bid opening. Questions received after that time may not be given any consideration.

1. REQUEST FOR SUBSTITUTIONS

Paragraph A, B, and C of MAG Section 106.4 are deleted and the following paragraphs substituted:

1. The Engineer will consider written request(s), by a prime bidder only, for substitution(s) which is/are considered equivalent to the item(s) specified in the Contract documents. The written request will be considered only if it is received at least twelve calendar days prior to the established bid date. Notification of acceptable substitutions will be made by addendum issued no fewer than seven calendar days prior to the established bid date. (A.R.S. 34-104)

1. The prime bidder, at his own expense, shall furnish the necessary data of substitution and validate that the physical, chemical, and operational qualities of each substitute item is such that this item will fulfill the originally specified required function.

1. The substitution, if approved, will be authorized by a written addendum to the Contract documents and will be made available to all bidders. The bid date and the scheduled completion time will not be affected by any circumstances developing from this substitution.

1. The request will be submitted to Design and Construction Procurement, Attention Annette Perez, 5th floor, Phoenix City Hall, 200 W. Washington Street, Phoenix, Arizona 85003-1611 or via email to annette.perez@phoenix.gov.
2. BID BOND

Bidders must submit a properly completed proposal guarantee in the form of certified check, cashier’s check, or surety bond on the form provided, for an amount not less than ten percent of the total amount bid included in the proposal as a guarantee that the contractor will enter into a contract to perform the proposal in accordance with the plans and specifications. Surety bonds submitted for this project shall be provided by a company which has been rated “A- or better for the prior four quarters” by the A.M. Best Company. A bid will be deemed non- responsive if not accompanied by this guarantee.

The surety bond shall be executed solely by a surety company or companies holding a certificate of authority to transact surety business in the State of Arizona, issued by the Director of the Department of Insurance pursuant to Title 20, Chapter 2, Article 1. The surety bond shall not be executed by an individual surety or sureties even if the requirements of Section 7-101 are satisfied. The certified check, cashier’s check, or surety bond will be returned to the contractors whose proposals are not accepted, and to the successful contractor upon the execution of a satisfactory bond and contract.

When providing a Surety Bond, failure to provide an “A- or better for the prior four quarters” bond will result in bid rejection.

1. LIST    OF    MAJOR    SUBCONTRACTORS    AND SUPPLIERS &              LIST                              OF ALL SUBCONTRACTORS AND SUPPLIERS

A bid will be deemed non-responsive if not accompanied by a properly completed and signed L.O.S.-1 “List of Major Subcontractors and Suppliers” form.

To assist in eliminating the practice of bid shopping on City construction projects, the Bidder shall list all Major Subcontractors and Suppliers to whom the Bidder intends to contract with that are equal to or greater than 5% of the base bid. The list of Major Subcontractors and Suppliers will be provided on the L.O.S.-1 “List of Major Subcontractors” form. Failure to properly complete and sign this form will result in bid rejection. This form is due with the bid.

If substantial evidence exists that bid shopping occurred on this project, the Bidder will be ineligible to bid on City or City-affiliated construction projects for a period of one year.

The list of All Subcontractors and Suppliers shall be provided on the L.O.S.-2 “List of All Subcontractors and Suppliers” form. This form is due three calendar days after bid opening by 5:00 p.m. All bidders will be required to submit the L.O.S.-1 form. The three lowest bidders will be required to submit the L.O.S.-2 form. If the L.O.S.-2 form is not submitted by the post-bid deadline, the Bidder will still be required to submit the document prior to award. If the Bidder fails to submit the required L.O.S.-2 form by the post-bid deadline, the Bidder’s bid bond may be placed in jeopardy because the City may make a claim against the Bidder’s bid bond for the cost difference between the lowest responsive and responsible Bidder’s bid and the next lowest bid (and any additional costs involved in awarding the contract to the next lowest responsive and responsible bidder).

1. BID SUBMITTAL

The properly completed bid documents along with the ten percent bid guarantee shall be submitted in a sealed envelope. The outside of the envelope shall be marked as follows:

Bid of (Firm’s Name, Address and Phone Number)                                                                     For: West Plaza Park Renovation Community Development Block Grant (CDBG) City of Phoenix Project Numbers: ND30010030 / PA75200609

Sealed bids will be submitted to the bid box located on the first floor of the Phoenix City Hall Building, 200 W. Washington Street, Phoenix, Arizona, 85003 prior to the time and date specified for bid opening.

1. BID WITHDRAWALS

MAG Section 102-10, Withdrawal or Revision of Proposal, is hereby deleted and the following paragraph is submitted:

“No bidder may withdraw or revise a proposal after it has been deposited with the City except as provided in Phoenix City Code Chapter 2, Section 190.2. Proposals, read or unread, will not be returned to the bidders until after determination of award has been made.

1. ADDENDA

Acknowledge all addenda; a bid will be deemed non-responsive if all issued addenda for this project are not acknowledged in writing on Page P. -1.

The City of Phoenix shall not be responsible for any oral responses or instructions made by any employees or officers of the City of Phoenix regarding bidding instructions, plans, drawings, specifications or contract documents. A verbal reply to an inquiry does not constitute a modification of the Invitation for Bid. Any changes to the plans, drawings and specifications will be in the form of an addendum.

It shall be the responsibility of the prospective bidder to determine, prior to the submittal of its bid, if any addenda to the project have been issued by Design and Construction Procurement. All addenda issued shall be acknowledged by the bidder on Page P-1. All addenda (if any) will be available online within each project’s folder at the following website:

https://solicitations.phoenix.gov

The contractors and/or consultants are responsible for ensuring they have all addenda and/or notifications for all projects they are submitting on. Prospective bidders are strongly encouraged to check the Design and Construction Procurement website to ascertain if any addenda have been issued for the project.

1. BID SUBMITTAL CHECKLIST

All firms must be registered in the City’s Vendor Management System prior to submitting a bid. For new firms – the City will send an email to your firm with a vendor number within two days of submitting the request. The vendor number needs to be included on the cover of the bid proposal package/envelope. Information on how to register with the City is available at:

https://www.phoenix.gov/finance/vendorsreg

BID SUBMITTAL CHECKLIST

This checklist is provided to remind bidders of several of the required elements of the bid packages. It is not intended to be a comprehensive list of all of the contract documents. Bidders are encouraged to review all of the Bid Instructions to determine compliance therein.

• Acknowledge all addenda? (Page P.-1)
• Completed all of the Bid Proposal forms? (Pages P-1 to P-5 and P.S.-1)
• Included your Bid Bond (rated A- or better for the prior four quarters) or Guarantee Cashier’s Check? (Page S.B.-1)

• Completed List of Major Subcontractors and Suppliers form? (Page L.O.S.-1)
• Neighborhood Service Department Section 3 Project Compliance Form (Page N.S.D.-1)
• Debarred and Suspension Certification (Page C.R.D.-1)
• Non-Collusion Affidavit (Page N.C.A.-1)
• Certifications of Non-Segregated Facilities (Page N.S.F.-1 to 2)

PLEASE DO NOT SUBMIT THE ENTIRE SPECIFICATION BOOK WHEN SUBMITTING YOUR BID. INCLUDE ONLY THE REQUIRED BIDDING DOCUMENTS.

POST-BID SUBMITTAL CHECKLIST

The three lowest bidders must submit completed contracts documents listed below, no later than three calendar days after bid opening by 5:00 p.m. The documents must be submitted to Design and Construction Procurement, 5th Floor, or can be sent by email to annette.perez@phoenix.gov.

• Completed List of All Subcontractors and Suppliers form (L.O.S.-2)
• Bidders Disclosure Statement (Pages B.D.S.-1 to 4)
• Submit Affidavit of Identity (if you are a sole proprietor) (Page A.O.I.-1)

PRIOR TO CONTRACT EXECUTION

• Contractor must provide proof of license required to perform the work.

• Verification of Experience Modification Rate (EMR) – the awarded company will be required to provide an EMR verification letter from the insurance company prior to contract execution.

*ALL DOCUMENTS NOTED AS REQUIRED IN SUBCONTRACTS MUST BE INCLUDED IN EVERY SUBCONTRACT THAT IS UPLOADED INTO THE B2G SYSTEM.

WAGE DETERMINATION

In the event that the wage determination decision of the Secretary of Labor is required for a project (attached hereto on pages G.W.D.-1 to 12 and made a part hereof) and has been superseded by any subsequent wage determination decision(s) published up to and including 10 days prior to bid opening, the most recent applicable wage decision shall be incorporated by reference, and the successful bidder agrees to be bound by it, regardless of what is contained in the specifications. State or local wage rates will not apply if the state or local wage rate exceeds the corresponding Federal Wage Determination rate.

1. WORKFORCE REPORTING REQUIREMENTS

The contractor shall submit payrolls electronically through the internet to the City of Phoenix web-based certified payroll tracking system. The City of Phoenix uses the “LCP Tracker” website to track the certified payroll information. Additional information regarding the use of this system is available at https://lcptracker.net. This requirement shall also apply to every

lower-tier subcontractor that is required to provide weekly certified payroll reports.

1. PAYMENT WITHHOLDING

Payrolls, including subcontractor’s payrolls, must be submitted weekly no later than seven days after each pay period ending date. Payments may be withheld in part or in full until payrolls are received and reviewed to assure compliance with the Federal Labor Standards.

Failure to clarify, when requested, discrepancies between hourly wages paid individual workers and the minimum hourly wages required by the Federal Wage Decisions contained in the contract documents may affect the complete or timely release of payments.

1. LABOR COMPLIANCE PRECONSTRUCTION CONFERENCE

On all federally assisted projects, a Labor Compliance Conference must be held after project award and prior to the established Notice to Proceed. This meeting is separate from and in addition to the pre-construction conference.

The successful bidder shall schedule the conference by calling the Labor Compliance Office, (602) 261-8287. Minimum attendance shall be a corporate officer, who is authorized to execute and sign documents for the firm and the payroll representative of the prime, sub and lower-tier Contractors.

1. BUSINESS AND OPERATION LICENSES, PERMITS AND CERTIFICATIONS REQUIRED

It is the responsibility of the bidder to determine whether it has the appropriate contracting licenses to perform the work. The City will make the award, if any, to the lowest responsive, responsible bidder who has the proper licenses. For all projects except Federal-aid funded projects, the bidder must have the proper licenses at the time the bid is submitted to the City. On Federal-aid funded projects, the bidder is not required to have the licenses at the time of bidding, but it must procure the licenses before award can be made, and no later than 60 days after the date bids are opened. Licensing information is available from the Arizona Registrar of Contractors.

Prior to award of the contract, the successful bidder must provide Design and Construction Procurement its Contractor’s License Classification and number, its City of Phoenix Privilege License number and Federal Tax Identification number.

Bidder shall submit the Bidder’s Disclosure Statement as set forth in Pages B.D.S.-1 to B.D.S.-4 within three calendar days of bid opening by 5:00 p.m. Bidder will be deemed non- responsive and the bid rejected if Bidder fails to submit a substantially completed Bidder’s Disclosure Statement as specified above.

1. TAX LIABILITIES; DISCLOSURE OF CONVICTIONS AND BREACH(ES) OF CONTRACT

On or before the award of the contract for this project, the successful bidder shall: (i) file all applicable tax returns and shall make payment for all applicable State of Arizona and Maricopa County Transaction Taxes (ARS Sec. 41-1305) and City of Phoenix Privilege License Taxes (Phoenix City Code Sec.14-415); (ii) disclose any civil fines, penalties or any criminal convictions, other than for traffic related offenses, for violation of   federal, state, county or city laws, rules or regulations including, but not limited to, environmental, OSHA, or labor compliance laws (collectively “Laws”) by Bidder, Bidder’s directors, managing members, responsible corporate officers or party who will be responsible for overseeing and administering this project (collectively “Bidder”); and (iii) disclose any material breach(s) of an agreement with the City of Phoenix, any termination for cause or any litigation involving the City of Phoenix occurring within the past three calendar years. Unless provided otherwise in

this solicitation, the successful bidder shall be deemed non-responsible and the bid rejected for any of the following: (i) Bidder’s civil or criminal conviction, other than for traffic related offenses, for a violation of Laws within the past three calendar years; (ii) liability or culpability resulting in payment of fines or penalties in the cumulative total amount of $100,000 or greater for a violation of “Laws” within the past three calendar years; (iii) material breach of a City of Phoenix agreement, termination for cause or litigation with the City of Phoenix within the past three calendar years; and (iv) Bidder’s failure to disclose the information as required by this provision. Further, after award of contract, in addition to any other remedy, Bidder’s failure to remit proper taxes to the City of Phoenix may result in the City withholding payment pursuant to Phoenix City Charter Chapter XVIII, Section 14 until all delinquent taxes, interest, and penalties have been paid.

State and Local Transaction Privilege Taxes:

In accordance with applicable state and local law, transaction privilege taxes may be applicable to this transaction. The state and local transaction privilege (sales) tax burden is on the person who is conducting business in Arizona and the City of Phoenix. The legal liability to remit the tax is on the person conducting business in Arizona. Any failure by the Contractor to collect applicable taxes from the City will not relieve the Contractor from its obligation to remit taxes.

It is the responsibility of the prospective bidder to determine any applicable taxes. The City will review the price or offer submitted and will not deduct, add or alter pricing based on taxes.

If you have questions regarding tax liability, seek advice from a tax professional prior to submitting bid. Once your bid is submitted, the Offer is valid for the time specified in this Solicitation, regardless of mistake or omission of tax liability.

If the City finds over payment of a project due to tax consideration that was not due, the Contractor will be liable to the City for that amount, and by contracting with the City agrees to remit any overpayments back to the City for miscalculations on taxes included in a bid price.

For purposes of A.R.S. 42-5075(P), this contract is subject to A.R.S. Title 34.

Tax Indemnification:

Contractor will, and require the same of all subcontractors, pay all federal, state and local taxes applicable to its operation and any persons employed by the Contractor. Contractor will, and require the same of all subcontractors, hold the City harmless from any responsibility for taxes, damages and interest, if applicable, contributions required under federal, and/or state and local laws and regulations and any other costs including transaction privilege taxes, unemployment compensation insurance, Social Security and Worker’s Compensation.

Tax Responsibility Qualification:

Contractor may be required to establish, to the satisfaction of City, that any and all fees and taxes due to the City or the State of Arizona for any License or Transaction Privilege taxes, Use Taxes or similar excise taxes, are currently paid (except for matters under legal protest).

Contractor agrees to a waiver of the confidentiality provisions contained in the City Finance Code and any similar confidentiality provisions contained in Arizona statutes relative to State Transaction Privilege Taxes or Use Taxes.

Contractor agrees to provide written authorization to the City Finance Department and to the Arizona State Department of Revenue to release tax information relative to Arizona Transaction Privilege Taxes or Arizona Use Taxes in order to assist the Department in

evaluating Contractor’s qualifications for and compliance with contract for duration of the term of contract.

1. STANDARD SPECIFICATIONS AND DETAILS

Except as otherwise required in these specifications, bid preparation and construction of this project shall be in accordance with all applicable Maricopa Association of Governments’ (MAG) Uniform Standard Specifications and Uniform Standard Details, latest edition, and the City of Phoenix Supplements to the MAG Uniform Standard Specifications and Details, latest edition.

1. PRECEDENCE OF CONTRACT DOCUMENTS

In case of a discrepancy or conflict, the precedence of contract documents is as follows:

1. Change Orders or Supplemental Agreements

2. Addenda

3. Contract Specifications/Special Provisions/Technical Provisions

4. The Plans

5. COP Supplement to MAG Standard Specifications and Details, latest edition

6. MAG Standard Specifications and Details, latest edition

The precedence of any Addenda falls within the category of which it represents.

1. CONFIDENTIALITY OF PLANS & SPECIFICATIONS

Any plans generated for this project must include the following statement in the Title Block on every page: “Per City of Phoenix City Code Chapter 2, Section 2-28, these plans are for official use only and may not be shared with others except as required to fulfill the obligations of Contractor’s contract with the City of Phoenix.”

1. AUDIT AND RECORDS

Records of the Contractor’s direct personnel payroll, bond expenses, and reimbursable expenses pertaining to this Project, and records of accounts between the City and Contractor shall be kept on the basis of generally accepted accounting principles and must be made available to the City and its auditors for up to five years following Final Acceptance of the Project.

The City, its authorized representative, and/or any federal agency, reserves the right to audit the Contractor’s records to verify the accuracy and appropriateness of all cost and pricing data, including data used to negotiate the Contract and any change orders.

The City reserves the right to decrease Contract price and/or payments made on this Contract and/or request reimbursement from the Contractor following final contract payment on this Contract if, upon audit of the Contractor’s records, the audit discloses the Contractor has provided false, misleading, or inaccurate cost and pricing data.

The Contractor shall include a similar provision in all of its Agreements with subcontractors and suppliers providing services or supplying materials under the Contract Documents to ensure that the City, its authorized representative, and/or the appropriate federal agency has access to the Subcontractor’s and Supplier’s records to verify the accuracy of all cost and pricing data.

The City reserves the right to decrease the Contract price and/or payments made on this Contract and/or request reimbursement from the Contractor following final contract payment

on this Contract if the above provision is not included in the Subcontractor’s and Supplier’s contracts, and one or more Subcontractors or Suppliers refuse to allow the City to audit their records to verify the accuracy and appropriateness of cost and pricing data.

If, following an audit of this Contract, the audit discloses the Contractor has provided false, misleading or inaccurate cost and pricing data, and the cost discrepancies exceed 1% of the total Contract billings, the Contractor shall be liable for reimbursement of the reasonable, actual cost of the audit.

1. IMMIGRATION REFORM AND CONTROL ACT

Compliance with Federal Laws Required. Contractor understands and acknowledges the applicability of the Immigration Reform and Control Act of 1986 and the Drug Free Workplace Act to it. Contractor agrees to comply with these Federal Laws in performing under this Agreement and to permit City inspection of its personnel records to verify such compliance.

1. LEGAL WORKER REQUIREMENTS

The City of Phoenix is prohibited by A.R.S. § 41-4401 from awarding a contract to any contractor who fails, or whose subcontractors fail, to comply with A.R.S. § 23-214(A). Therefore, Contractor agrees that:

1. Contractor and each subcontractor it uses warrants their compliance with all federal immigration laws and regulations that relate to their employees and their compliance with § 23-214, subsection A.

1. A breach of a warranty under paragraph 1 shall be deemed a material breach of the contract that is subject to penalties up to and including termination of the contract.

1. The City of Phoenix retains the legal right to inspect the papers of any Contractor or subcontractor employee who works on the contract to ensure that the Contractor or subcontractor is complying with the warranty under paragraph 1.

1. CONTRACTOR AND SUBCONTRACTOR WORKER BACKGROUND SCREENING

Contractor agrees that all Contractor’s and subcontractors’ workers (collectively “Contract Worker(s))” pursuant to this Agreement will be subject to background and security checks and screening (collectively “Background Screening”) at Contractor’s sole cost and expense, unless otherwise provided for in the scope of work. Contractor’s background screening will comply with all applicable laws, rules and regulations. Contractor further agrees that the background screening is necessary to preserve and protect the public health, safety and welfare.

Background Screening Risk Level: The City has established two levels of risk: Standard and Maximum risk. The current risk level and background screening required is Standard Risk.

Terms of This Section Applicable to all Contractor’s Contracts and Subcontracts: Contractor will include Contract Worker background screening in all contracts and subcontracts for services furnished under this agreement.

Materiality of Background Screening Requirements; Indemnity: The background screening requirements are material to City’s entry into this agreement and any breach of these provisions will be deemed a material breach of this contract. In addition to the indemnity provisions set forth in this agreement, Contractor will defend, indemnify and hold harmless the

City for all claims arising out of this background screening section including, but not limited to, the disqualifications of a Contract Worker by Contractor. The background screening requirements are the minimum requirements for the Agreement. The City in no way warrants that these minimum requirements are sufficient to protect Contractor from any liabilities that may arise out of the Contractor’s services under this Agreement or Contractor’s failure to comply with this section. Therefore, Contractor and its Contract Workers will take any reasonable, prudent and necessary measures to preserve and protect public health, safety and welfare when providing services under this Agreement.

Continuing Duty; Audit: Contractor’s obligations and requirements will continue throughout the entire term of this Agreement. Contractor will maintain all records and documents related to all background screenings and the City reserves the right to audit Contractor’s records.

BACKGROUND SCREENING – STANDARD RISK:

The current risk level and background screening required is STANDARD RISK.

Requirements: The background screening for this standard risk level will include a background check for real identity/legal name and will include felony and misdemeanor records from any county in the United States, the state of Arizona, plus any other jurisdiction where the Contractor Worker has lived at any time in the preceding seven years from the Contract Worker’s proposed date of hire.

Contractor Certification; City Approval of Background Screening: Unless otherwise provided for in the Scope, Contractor will be responsible for:

• determining whether Contract Worker(s) are disqualified from performing work for the City for standard risk level background checks; and,
• for reviewing the results of the background check every five years; and,
• to engage in whatever due diligence is necessary to make the decision on whether to disqualify a Contract Worker; and,
• Submitting the list of qualified Contract Workers to the contracting department.
• For sole proprietors, the Contractor must comply with the background check for himself and any business partners, or members or employees who will assist on the contract and for whom the requirements of the Agreement apply.
• By executing this agreement, Contractor certifies and warrants that Contractor has read the background screening requirements and criteria in this section, and that all background screening information furnished to the City is accurate and current. Also, by executing this agreement, Contractor further certifies and warrants that Contractor has satisfied all background screening requirements for the standard risk background screening, and verified legal worker status, as required.

1. LAWFUL PRESENCE REQUIREMENT

Pursuant to A.R.S. §§ 1-501 and 1-502, the City of Phoenix is prohibited from awarding a contract to any natural person who cannot establish that such person is lawfully present in the United States. To establish lawful presence, a person must produce qualifying identification and sign a City-provided affidavit affirming that the identification provided is genuine. This requirement will be imposed at the time of contract award. This requirement does not apply to business organizations such as corporations, partnerships or limited liability companies.

1. LEADERSHIP IN ENERGY AND ENVIRONMENTAL DESIGN (LEED)

If practical, the contractor shall provide an easily accessible area to serve the construction site that is dedicated to the separation, collection and storage of materials for recycling including (at a minimum) paper, glass, plastics, metals, and designate an area specifically for

construction and demolition waste recycling. The contractor must provide documentation that the materials have been taken to a Maricopa County approved recycling facility.

1. CITY OF PHOENIX EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENT

1. In order to do business with the City, Contractor must comply with Phoenix City Code, 1969, Chapter 18, Article V, as amended, Equal Employment Opportunity Requirements. Contractor will direct any questions in regard to these requirements to the Equal Opportunity Department, (602) 262-6790.

1. Any Contractor in performing under this contract shall not discriminate against any worker, employee or applicant, or any member of the public, because of race, color, religion, sex, national origin, age, or disability nor otherwise commit an unfair employment practice. The Contractor shall ensure that applicants are employed, and employees are dealt with during employment without regard to their race, color, religion, sex, national origin, age, or disability and will adhere to a policy to pay equal compensation to men and women who perform jobs that require substantially equal skill, effort, and responsibility, and that are performed within the same establishment under similar working conditions. Such action shall include but not be limited to the following: Employment, promotion, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training; including apprenticeship. The Contractor further agrees that this clause will be incorporated in all subcontracts with all labor organizations furnishing skilled, unskilled and union labor, or who may perform any such labor or services in connection with this contract.

If the Contractor employs more than thirty-five employees, the following language shall apply as the last paragraph to the clause above:

The Contractor further agrees not to discriminate against any worker, employee or applicant, or any member of the public, because of sexual orientation or gender identity or expression and shall ensure that applicants are employed, and employees are dealt with during employment without regard to their sexual orientation or gender identity or expression.

1. Documentation. Contractor may be required to provide additional documentation to the Equal Opportunity Department affirming that a nondiscriminatory policy is being utilized.

1. Monitoring. The Equal Opportunity Department shall monitor the employment policies and practices of suppliers and lessees subject to this article as deemed necessary. The Equal Opportunity Department is authorized to conduct on-site compliance reviews of selected firms, which may include an audit of personnel and payroll records, if necessary.

1. PROTEST PROCEDURES

Any bidder who has any objections to the awarding of a contract to any bidder by the City of Phoenix, pursuant to competitive bidding procedures, shall comply with Phoenix City Code Chapter 2, Section 188.”

1. DATA CONFIDENTIALITY

As used in the Contract, “data” means all information, whether written or verbal, including plans, photographs, studies, investigations, audits, analyses, samples, reports, calculations, internal memos, meeting minutes, data field notes, work product, proposals, correspondence and any other similar documents or information prepared by, obtained by, or transmitted to the Contractor or its subcontractors in the performance of this Contract.

The parties agree that all data, regardless of form, including originals, images, and

reproductions, prepared by, obtained by, or transmitted to the Contractor or its subcontractors in connection with the Contractor’s or its subcontractor’s performance of this Contract is confidential and proprietary information belonging to the City.

Except as specifically provided in this Contract, the Contractor or its subcontractors shall not divulge data to any third party without prior written consent of the City. The Contractor or its subcontractors shall not use the data for any purposes except to perform the services required under this Contract. These prohibitions shall not apply to the following data provided the Contractor or its subcontractors have first given the required notice to the City:

1. Data which was known to the Contractor or its subcontractors prior to its performance under this Contract unless such data was acquired in connection with work performed for the City;

1. Data which was acquired by the Contractor or its subcontractors in its performance under this Contract and which was disclosed to the Contractor or its subcontractors by a third party, who to the best of the Contractor’s or its subcontractor’s knowledge and belief, had the legal right to make such disclosure and the Contractor or its subcontractors are not otherwise required to hold such data in confidence; or

1. Data which is required to be disclosed by virtue of law, regulation, or court order, to which the Contractor or its subcontractors are subject.

In the event the Contractor or its subcontractors are required or requested to disclose data to a third party, or any other information to which the Contractor or its subcontractors became privy as a result of any other contract with the City, the Contractor shall first notify the City as set forth in this section of the request or demand for the data. The Contractor or its subcontractors shall give the City sufficient facts so that the City can be given an opportunity to first give its consent or take such action that the City may deem appropriate to protect such data or other information from disclosure.

The Contractor, unless prohibited by law, within ten calendar days after completion of services for a third party on real or personal property owned or leased by the City, the Contractor or its subcontractors shall promptly deliver, as set forth in this section, a copy of all data to the City. All data shall continue to be subject to the confidentiality agreements of this Contract.

The Contractor or its subcontractors assume all liability for maintaining the confidentiality of the data in its possession and agrees to compensate the City if any of the provisions of this section are violated by the Contractor, its employees, agents or subcontractors. Solely for the purposes of seeking injunctive relief, it is agreed that a breach of this section shall be deemed to cause irreparable harm that justifies injunctive relief in court. Contractor agrees that the requirements of this Section shall be incorporated into all subcontracts entered into by Contractor. A violation of this Section may result in immediate termination of this Contract without notice.

Personal Identifying Information-Data Security

Personal identifying information, financial account information, or restricted City information, whether electronic format or hard copy, must be secured and protected at all times. At a minimum, Contractor must encrypt and/or password protects electronic files. This includes data saved to laptop computers, computerized devices or removable storage devices.

When personal identifying information, financial account information, or restricted City information, regardless of its format, is no longer necessary, the information must be redacted or destroyed through appropriate and secure methods that ensure the information cannot be viewed, accessed, or reconstructed.

In the event that data collected or obtained by Contractor or its subcontractors in connection with this Contract is believed to have been compromised, Contractor or its subcontractors shall immediately notify the Project Manager and City Engineer. Contractor agrees to reimburse the City for any costs incurred by the City to investigate potential breaches of this data and, where applicable, the cost of notifying individuals who may be impacted by the breach.

Contractor agrees that the requirements of this Section shall be incorporated into all subcontracts entered into by Contractor. It is further agreed that a violation of this Section shall be deemed to cause irreparable harm that justifies injunctive relief in court. A violation of this Section may result in immediate termination of this Contract without notice.

The obligations of Contractor or its subcontractors under this Section shall survive the termination of this Contract.

1. PROJECT MANAGEMENT INFORMATION SYSTEM (PROMIS)

The contractor will be required to us the PROMIS project management system. The Street Transportation Department’s Programming and Project Delivery (PPD) Project Manager may determine that use of PROMIS will be required during this contract. The following information provides a guideline for utilization. Any questions related to the requirements of PROMIS should be directed to the PPD Project Manager.

1. The contractor will be required to maintain all project records in electronic format. The City provides an Application Service Provider (ASP) web-based project management database which the contractor will be required to utilize in the fulfillment of the contract requirements. Although this electronic platform does not fulfill this requirement in its entirety, the contractor will be required to utilize this platform as the basis for this work.

1. The contractor can expect to use this ASP to process all primary level tri-partite contract documents related to the design or construction phase of the Project including but not limited to: requests for interpretation/information, potential Change Orders, construction meeting minutes, Submittals, Design Professional’s supplemental instructions, and Payment Requests.

1. The contractor will be required to process information into electronic digital form. In order to fulfill this requirement, the contractor shall provide all necessary equipment to perform the functions necessary to generate, convert, store, maintain, connect to web-based ASP and transfer electronic data.

1. The contractor shall provide a computerized networked office platform with broadband internet connectivity. Wired or wireless is acceptable. This platform shall function well in a web-based environment utilizing an internet browser compatible with the City PROMIS ASP system.

PROMIS training will be provided through the City of Phoenix. Contact information will be provided to the firms under contract, to establish the set up with a log-in and password.

AA.    CONTRACTOR AND SUBCONTRACTOR RECORDS

The contractor, subcontractors and all suppliers shall keep and maintain all books, papers, records, files, accounts, reports, bid documents with backup data, including electronic data, and all other material relating to the contract and project for five years following completion and acceptance of the work.

All the above material shall be made available to the City for auditing, inspection and copying

and shall be produced, upon request.

The contractor shall insert the above requirement in each subcontract, purchase order and lease agreement and shall also Include in all subcontracts a clause requiring subcontractors to Include the above requirement in any lower-tier subcontract, purchase order or lease agreement.

BB.    FEDERAL IMMIGRATION AND NATIONALITY ACT

The contractor, including all subcontractors, shall comply with all federal, state and local immigration laws and regulations, as set forth in Arizona Executive Order 2005-30, relating to the immigration status of their employees who perform services on the contract during the duration of the contract. The Agency shall retain the right to perform random audits of contractor and subcontractor records or to inspect papers of any employee thereof to ensure compliance.

By submission of a bid, the contractor warrants that the contractor and all proposed subcontractors are and shall remain in compliance with all federal, state and local immigration laws and regulations relating to the immigration status of their employees who perform services on the contract. The Agency may, at its sole discretion, require evidence of compliance from the contractor or subcontractor. Should the Agency request evidence of compliance, the contractor or subcontractor shall have ten working days from receipt of the request to supply adequate information. The City will accept, as evidence of compliance, a showing by the contractor or subcontractor that it has followed the employment verification provisions of the Federal Immigration and Nationality Act as set forth in Sections 274A and 274B of that Act, including implementation of regulations and agreements between the Department of Homeland Security and the Social Security Administration’s verification service. The contractor shall include the requirements of the provisions of ADOT Standard Specifications Subsection 107.19 In all its subcontracts.

Failure to comply with the immigration laws or to submit proof of compliance constitutes a material breach of contract. The City will reduce the contractor’s compensation by $10,000 for the initial Instance of non-compliance by the contractor or a subcontractor. Should the same contractor or subcontractor commit subsequent violations within a two-year time-period from the initial violation, the contractor’s compensation will be reduced by $50,000 for each violation. The third instance by the same contractor or subcontractor within a two-year period may result, in addition to the $50,000 reduction in compensation, in removal of the offending contractor or subcontractor, suspension of work in whole or in part or, in the case of a third violation by the contractor, termination of the contract for default. In addition, the City may debar a contractor or subcontractor who has committed three violations within a two-year period for up to one year. For purposes of this paragraph, a violation by a subcontractor does not count as a violation by the contractor.

Any delay resulting from a sanction under this subsection is a non-excusable delay. The contractor is not entitled to any compensation or extension of time for any delays or additional costs resulting from a sanction under this subsection.

CC. PROJECT STAFFING

Key Personnel: Before starting work, Contractor must submit detailed résumés of key personnel involved in that work for City’s approval (which City will not unreasonably withhold). If Contractor later desires to change key personnel involved in that work, Contractor must submit detailed résumés of the new personnel for City’s approval (which City will not unreasonably withhold).

Qualified Staff: Contractor must maintain  an adequate  and  competent  staff of  qualified

persons—as City may determine in its sole discretion—during performance of this Master Agreement. If City in its sole discretion determines that any of Contractor’s staff is objectionable, Contractor must take prompt corrective action or replace that staff with new personnel, subject to City’s approval.

Third-Party Employment Brokers: Contractor and Subcontractors will not utilize a third-party labor broker for any construction worker under this Agreement. The Contractor and Subcontractors must be the employers of record for its construction staff under this Agreement.

SUPPLEMENTARY CONDITIONS

1. 103      AWARD AND EXECUTION OF CONTRACT, Add the following to Subsection 103.3 AWARD OF CONTRACT

Contract award will be made to a responsive and responsible bidder on the low total base bid or on the low combination of the total base bid and any selected alternate(s), whichever is in the best interest of the City. Award will be based on the revised total if any errors are found. Additionally, the Contractor shall comply with the DBE requirements as detailed in the DBE clause. The City expressly reserves the right to cancel this agreement without recourse or prejudice to Contractor until all parties have executed the Agreement in full.

Any bidder that currently contracts with the City must be in good standing for its proposal to be considered responsive. For the purpose of this Invitation to Bid, good standing means compliance with all contractual provisions, including payment of financial obligations.

1. 103    AWARD AND  EXECUTION OF CONTRACT,   Add the following to Subsection 103.5, REQUIREMENT OF CONTRACT BONDS:

1. PERFORMANCE BOND AND LABOR AND MATERIAL BOND

Prior to the execution of a contract, the successful bidder must provide a performance bond and a labor and material bond, each in an amount equal to the full amount of the contract. Each such bond shall be executed by a surety company or companies holding a certificate of authority to transact surety business in the State of Arizona issued by the Director of the Department of Insurance. A copy of the Certificate of Authority shall accompany the bonds. The Certificate shall have been issued or updated within two years prior to the execution of the Contract. The bonds shall be made payable and acceptable to the City of Phoenix. The bonds shall be written or countersigned by an authorized representative of the surety who is either a resident of the State of Arizona or whose principal office is maintained in this state, as required by law, and the bonds shall have attached thereto a certified copy of Power of Attorney of the signing official. If one Power of Attorney is submitted, it shall be for twice the total contract amount. If two Powers of Attorney are submitted, each shall be for the total contract amount. Personal or individual bonds are not acceptable. Failure to comply with these provisions will be cause for rejection of the bidder’s proposal.

1. BONDING COMPANIES

All bonds submitted for this project shall be provided by a company which has been rated “A- or better for the prior four quarters” by the A. M. Best Company. Failure to provide an “A- or better for the prior four quarters” bond will result in bid rejection.

1. 103 AWARD AND EXECUTION OF CONTRACT, Delete Subsection 103.6, CONTRACTOR’S INSURANCEin its entirety and substitute the following:

103.6.1    General:

Contractor and subcontractors must procure insurance against claims that may arise from or relate to performance of the work hereunder by Contractor and its agents, representatives, employees and subconsultants. Contractor and subcontractors must maintain that insurance until all their obligations have been discharged, including any warranty periods under this Contract.

The City in no way warrants that the limits stated in this section are sufficient to protect the Contractor from liabilities that might arise out of the performance of the work under this Contract by the Contractor, its agents, representatives, employees, or subcontractors and Contractor may

purchase additional insurance as they determine necessary.

1. SCOPE AND LIMITS OF INSURANCE

Contractor must provide coverage with limits of liability not less than those stated below. An excess liability policy or umbrella liability policy may be used to meet the liability limits provided that (1) the coverage is written on a “following form” basis, and (2) all terms under each line of coverage below are met:

1. NOTICE OF CANCELATION

For each insurance policy required by the insurance provisions of this Contract, the Contractor must provide to the City, within five business days of receipt, a notice if a policy is suspended, voided or cancelled for any reason. Such notice must be mailed, emailed or hand delivered to Design and Construction Procurement, 200 W. Washington Street, 5th Floor, by certified mail, return receipt requested.

1. ACCEPTABILITY OF INSURERS

Insurance is to be placed with insurers duly licensed or authorized to do business in the state of Arizona and with an “A.M. Best” rating of not less than B+ VI. The City in no way warrants that the required minimum insurer rating is sufficient to protect the Contractor from potential

insurer insolvency.

1. VERIFICATION OF COVERAGE

Contractor must furnish the City with certificates of insurance (ACORD form or equivalent approved by the City) as required by this Contract. The certificates for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf.

All certificates and any required endorsements are to be received and approved by the City before work commences. Each insurance policy required by this Contract must be in effect at or prior to commencement of work under this Contract and remain in effect for the duration of the project. Failure to maintain the insurance policies as required by this Contract or to provide evidence of renewal is a material breach of contract.

All certificates required by this Contract must be sent directly to Design and Construction Procurement via email at str.title34.procure@phoenix.gov.The City project number, contract number and project description must be noted on the certificate of insurance. The City reserves the right to require complete copies of all insurance policies required by this Contract, at any time. DO NOT SEND CERTIFICATES OF INSURANCE TO THE CITY’S RISK MANAGEMENT DIVISION.

1. SUBCONTRACTORS

Contractor’s certificates shall include all subcontractors as additional insureds under its policies OR Contractor shall be responsible for ensuring and verifying that all subcontractors have valid and collectable insurance. At any time throughout the life of the contract, the City of Phoenix reserves the right to require proof from the Contractor that its subcontractors have insurance coverage. All subcontractors providing services included under this Contract’s Scope of Services are subject to the insurance coverages identified above and must include the City of Phoenix as an additional insured. In certain circumstances, the Contractor may, on behalf of its subcontractors, waive a specific type of coverage or limit of liability where appropriate to the type of work being performed under the subcontract. Contractor assumes liability for all subcontractors with respect to this Contract.

1. APPROVAL

Any modification or variation from the insurance coverages and conditions in this Contract must be documented by an executed contract amendment.

103.6.2       Defense and Indemnification

To the maximum extent allowed by law, including Title 34 A.R.S., Contractor (“Indemnitor”) agrees to defend, indemnify, and hold harmless the City of Phoenix and its officers, officials (elected or appointed), agents and employees (and any jurisdiction or agency issuing permits for any work included in the project, and its officers, agents and employees) (“Indemnitee”) from any and all claims, actions, liabilities, damages, losses or expenses, (including but not limited to court costs, attorney fees, expert fees, and costs of claim processing, investigation and litigation) of any nature or kind whatsoever (“Losses”) caused or alleged to be caused, in whole or in part, by the wrongful, negligent or willful acts, or errors or omissions of Indemnitor or any of its owners, officers, directors, members, managers, agents, employees, or subcontractors (Indemnitor’s Agents”) arising out of or in connection with this Contract. This defense and indemnity obligation includes holding Indemnitee harmless for any Losses or other amount arising out of or recovered under any state’s workers’ compensation law or arising out of the failure of Indemnitor or Indemnitor’s Agents to conform to any federal, state or local law, statute, ordinance, rule, regulation, or court decree. Indemnitor’s duty to defend Indemnitee accrues immediately at the time a claim is threatened or a claim is made against Indemnitee, whichever is first. Indemnitor’s duty to defend exists regardless of whether

Indemnitor is ultimately found liable. Indemnitor must indemnify Indemnitee from and against any and all Losses, except where it is proven that those Losses are solely as a result of Indemnitee’s own negligent or willful acts or omissions. Indemnitor is responsible for primary loss investigation, defense and judgment costs where this indemnification applies. In consideration of the City’s award of this Contract, Indemnitor agrees to waive all rights of subrogation against Indemnitee for losses arising from or related to any work performed by Indemnitor or Indemnitor’s Agents for the City of Phoenix under this Contract. The obligations of Indemnitor under this provision survive the termination or expiration of this Contract.

1. 104    SCOPE OF WORK,     Add the following to Subsection 104.1.2 MAINTENANCE OF TRAFFIC:

ADA AND ANSI ACCESS OF PREMISES DURING CONSTRUCTION

Contractor shall maintain existing ADA and ANSI accessibility requirements during construction activities in an occupied building or facility. ADA and ANSI accessibility requirements shall include, but not be limited to, parking, building access, entrances, exits, restrooms, areas of refuge, and emergency exit paths of travel. Contractor shall be responsible for the coordination of all work to minimize disruption to building occupants and facilities.

1. 5.           104    SCOPE OF WORK,    Add the following to Subsection 104.1.4 CLEANUP AND DUST CONTROL:

The Contractor shall use a power pick-up broom as part of the dust control effort. No separate measurement or payment will be made for cleanup or dust control, or for providing a power pick-up broom on the job.

1. 6.           105    CONTROL OF WORK,    Add the following to Subsection 105.1, AUTHORITY OF THE ENGINEER:

1. CONTRACT ADMINISTRATION

The definition of “Engineer” shall read as follows:

“Engineer“: All references to “Engineer” in these contract bid documents, including the MAG Specifications, shall mean City Engineer.

1. PRECONSTRUCTION CONFERENCE

After completion of the contract documents, to include bonds, insurance and signatures and prior to the commencement of any work on the project, the Vertical Project Management will schedule a Pre-Construction Conference. This will be held virtually.

Construction administration will be provided by City of Phoenix, Parks and Recreation Department and Vertical Project Management.

The purpose of this conference is to establish a working relationship between the Contractor, utility firms and various City agencies. The agenda will include critical elements of the work schedule, submittal schedule, cost breakdown of major lump sum items, payment application and processing, coordination with the involved utility firms, emergency telephone numbers for all representatives involved in the course of construction and establishment of the notice to proceed date. The Contractor shall also provide copies of all purchase orders and/or contracts with subcontractors and suppliers used to meet the subcontract goal programmed for this project.

Minimum attendance by the Contractor shall be a responsible company/corporate official,

who is authorized to execute and sign documents on behalf of the firm, the job superintendent and the Contractor’s safety officer.

1. AUTHORIZATION OF THE ENGINEER

The City may, at its discretion and without cause, order the Contractor in writing to stop and suspend work. Immediately after receiving such notice, the Contractor shall discontinue advancing the work specified under this Agreement.

Such suspension shall not exceed one hundred and eighty (180) consecutive days during the duration of the project.

The Contractor may seek an adjustment of the contract price and time, if the cost or time to perform the work has been adversely impacted by any suspension or stoppage of work by the City.

1. 7.           105 CONTROL OF WORK,    Add the following to Subsection 105.2 PLANS AND SHOP DRAWINGS:

The Contractor shall submit as many of the required shop drawings and product data submittals at the Pre-Construction meeting as practical and possible. All shop drawings and product data submittals shall be submitted sufficiently in advance to allow adequate time for City review(s) and approval. The Contractor shall submit early enough to allow enough time for reviews based on the assumption that a submittal may be marked “Revise and Resubmit” or “Rejected”, requiring the Contractor to modify the submittal and resubmit for additional review(s) until acceptance.

A separate transmittal shall be used for each specific item type, class of material or equipment for which a submittal is required. Multiple items under one transmittal will only be allowed when the items taken together constitute a complete manufacturer’s package, or are so functionally related that the entire package should be reviewed as a whole. The contractor shall submit six (6) hard copies of each shop drawing for review. The contractor shall use the PROMIS system to submit all submittals.

The Contractor shall allow up to four (4) weeks for City review for each submittal. Some submittals may be simple and straightforward and may not require the full four (4) weeks, but other more complex submittals may take the full four (4) weeks.

105.6 COOPERATION WITH UTILITIES:

The location of underground and overhead utilities as shown on the plans is based on the best available information gathered from as-builts, field surveys, and Blue Stake markings. The Contractor shall not assume that this represents an exact location of the indicated utility. No guarantee is made to the accuracy of the location shown on the plans. It is the responsibility of the Contractor to verify and determine the exact location of all utilities.

The following utilities are expected to be located within the limits of this project. These utilities, along with the contact information, are listed below.

The above utilities are not expected to be in conflict with the proposed project improvements, but will require clearances from their utilities as set forth in the plans or in each respective utility’s documentation. In addition to the utility owners listed in the table above, Contractor shall coordinate the project’s construction activities with the City of Phoenix Parks Department. Contractor shall ensure that the Parks Department and Police Department are provided with adequate access at all times during construction to be able to drive vehicles through the project site. Contact information is provided below:

1. 8.           105 CONTROL OF WORK, Delete Subsection 105.8 CONSTRUCTION STAKES, LINES AND GRADESand substitute the following

Description

The work under this section shall consist of furnishing all materials, personnel and equipment necessary to perform all surveying, staking and verification of the accuracy of all control points which have been provided by the Engineer.

Contractor shall furnish sufficient construction stakes, lines, and grades to accomplish the work as indicated on the plans. Contractor shall verify all horizontal and vertical controls and establish secondary points and/or benchmarks for construction. The control point verification process shall include locating and making ties to all section lines, right-of-ways, and roadway monuments in the vicinity of the proposed work. Included in this work shall be all calculations required for the satisfactory completion of the project in conformance with the plans and these specifications.

The work shall be done under the direction of a registered professional engineer or a registered land surveyor employed by the contractor. The crew chief shall be NSPS Certified Level III, NICET Certified Level III, or a registered Land Surveyor-in-Training. A minimum of 50 percent of the survey crew shall be either NSPS Certified Level II or NICET Certified Level II.

Measurements of all removals and pay quantity items will be the responsibility of the Engineer.

When utility adjustments are a part of the contract, the Contractor shall perform and be responsible for locating, tying and untying all manholes and valves that are discovered during the course of the contract. The Contractor shall set all survey points, stakes and references necessary for carrying out all such adjustments.

During installation and/or relocation of new water lines, valves, water meters and service connections, fire hydrants, sewer lines, sewer taps, clean outs, manholes, and other similar assets, the contractor will record the final as-built location and provide additional information related to cost, manufacturer and model numbers in a form provided by the Engineer.

The Contractor shall furnish all traffic control, including flagging for survey and staking operations. Traffic control shall be in accordance with the requirements of the City of Phoenix Barricade Manual.

The Contractor will keep field notes in bound field books. These books will be available for inspection by City personnel at all times and shall become the property of the City of Phoenix upon completion of the project.

Construction Staking Requirements

Staking will be performed in accordance with the City of Phoenix’s Survey Section Standard Requirements for Staking, As-Builts and Quantity Calculations, plus any special addenda provided by the Engineer. The Contractor will provide to the Engineer in writing, for the Engineer’s approval, any special procedures that will be used for construction survey staking completion.

The Engineer will provide control points for establishing an accurate construction centerline and will establish benchmarks adjacent to this line for the proper layout of the work. Control points will be located on monument line and/or construction centerline at the beginning and ending points of the project. Control points will also be located on the appropriate centerline at all point of curve (PC), points of tangent (PT), and angle points. No less than three benchmarks will be provided; one (1) at the beginning of the project, one (1) at the midpoint, and one (1) at the end of the project. Additional benchmarks may be provided at other convenient locations, but no more than one (1) additional benchmark will be provided for each 1,320 feet of the project length. Control points set by the Engineer will be identified in the field to the Contractor.

After the Contractor has verified the accuracy of the control points established by the City, the Contractor shall set all stakes necessary for construction in accordance with the City of Phoenix Survey Section Standard Requirements.

If errors are discovered during the verification process and control points do not agree with the geometrics shown in the plans, the Contractor shall promptly notify the Engineer in writing, and explain the problem in detail. The Engineer will advise the Contractor within 5 working days of any corrective actions which may be necessary.

The Contractor shall exercise care in the preservation of stakes, references, benchmarks and shall reset them when they are damaged, lost, displaced or removed.

Any discrepancies in grade, alignment, locations or dimensions detected by the Contractor shall be brought to the attention of the Engineer by letter. No changes in the project plans will be allowed without the approval of the Engineer.

The Engineer reserves the right to make inspections and random checks of any portion of the staking and layout procedure. If, in the Engineer’s opinion, the work is not being performed in the manner that will assure proper control and accuracy, the Engineer will order any or all of the staking and layout work redone at no additional cost.

If any portion of the Contractor’s staking and layout work is ordered redone, resulting in additional rechecking by the Engineer, the City shall be reimbursed for all costs for such additional checking. The amount of such costs will be deducted from the Contractor’s progress payment.

Inspection of the Contractor’s layout by the Engineer and the acceptance of all or any part of it shall not relieve the Contractor of their responsibility to secure the proper dimensions, grades and elevations for the work.

Record Drawings

The Contractor shall maintain a record set of plans at the job site. These shall be kept legible and current and shall show all changes or work added in a contrasting, reproducible color. Two weeks prior to issuance of substantial completion, the Contractor shall submit, prior to final inspection, corrected landscape drawings showing the location of all utility services, controller, pipe, valves and wiring. The Engineer shall be the sole judge as to the acceptability of the record plans and receipt of an acceptable set is a pre-requisite for final payment.

Prior to final acceptance, the Contractor will provide a complete as-built set, sealed by a Registered Professional, showing all field modifications and final elevation, stations and offset of the completed improvements. For construction related to sewer, and water facilities, and other utilities, as-built information may be requested at the Engineer prior to completion of as-builts at no additional cost.

105.8.1   MEASUREMENT:

Measurement for construction staking and preparation of red-lines for as-builts will be measured as a single complete unit of work on a lump sum basis under the bid item Construction Stakes, Lines and Grades. The work shall include all materials, equipment, tools, and labor necessary to facilitate construction, staking of right-of-ways and easements, and resetting monuments.

105.8.2  PAYMENT:

Payment for Construction Stakes, Lines, and Grades will be by the lump sum and will be made as follows:

The approved schedule showing the sequencing and percentage of the survey and layout work shall be the basis on which monthly progress payments shall be made. The schedule shall be subject to periodic review, at the request of either party, if the survey and layout work lags or accelerates. If necessary, the schedule shall be revised to reflect changes in survey and layout progress. When approved, the revised schedule will become the basis of payment. Final payment will not be made until the Contractor’s as-built red-line drawings are received and approved by the Engineer.

1. 9.           105 CONTROL OF WORK, Add the following to Subsection 105.15 ACCEPTANCE, paragraph (B) Final Acceptance:

1. SUBSTANTIAL COMPLETION

The work may be judged substantially complete when all construction has been completed with the possible exception of final inspection punch list work. The purpose of granting or acknowledging substantial completion is to stop contract time. This is particularly important to the Contractor if contract time is exhausted or nearly so and/or punch list work is anticipated to extend beyond the allotted time. Granting of substantial completion will eliminate the possibility of incurring liquidated damages or additional liquidated damages beyond the substantial completion date, whichever case may apply.

In the event that the Engineer grants substantial completion, the Contractor shall have thirty

(30) days thereafter to complete punch list work, unless additional time is granted–in writing– by the Engineer. In no case shall a Contractor be granted more than thirty (30) days to complete punch list work, unless there are extenuating circumstances such as delay in shipment of a specialized piece of equipment, labor strike, or other circumstances beyond the Contractor’s control which would necessitate a further time extension.

1. PENALTY FOR FAILURE TO COMPLETE PUNCH LIST WORK WITHIN SPECIFIED TIME

In the event the Contractor fails to complete the punch list work within thirty (30) days following the contract completion date, or in the case of specialized situations within the additional time allotted by the Engineer, the Contractor may be declared in default, and the Engineer may order the work completed by others.

In the event of default, as described herein, the Engineer shall withhold from the Contractor’s final payment, an amount equal to at least twice the estimated cost of the remaining work. In addition, the Engineer shall withhold the retention deducted from contract progress payments until all punch list work has been satisfactorily completed, whereupon twice the amount of the actual cost of completing the work shall be deducted from the Contractor’s final payment and the remaining funds, if any, including the contract retention, shall be released in accordance with the conditions set forth in contract retention.

1. CONTRACT RETENTION

This project shall not be considered complete until all work has been completed, including punch list work. Under no circumstances shall a Contractor receive any portion of the legally retained progress payments until the City has granted a final acceptance and/or acknowledged substantial completion. The following conditions shall apply to each case:

1. Substantial Completion: The Engineer may reduce outstanding contract retention to not less than one (1) percent of the total contract amount, upon granting substantial completion, if the value of the punch list work is estimated to be less than one (1) percent of the total contract.

1. Project Acceptance: Project acceptance implies that all punch list work is done and the improvements have been accepted by the City. Under these conditions, the retention will be fully released to the Contractor subject only to the signing of the standard claims affidavit and hold harmless clause required for all contracts.

1. Final Release of Contract Retention and/or Release of More Than Ninety (90) Percent of the Contract Funds: Prior to final payment and release of monies retained and/or in the case of substantial completion where the Contractor has requested a reduction in contract retention, the Contractor will be required to sign a claims affidavit agreeing to hold the City harmless from any and all claims arising out of the contract.

1. 10.        107    LEGAL REGULATIONS AND RESPONSIBILITY TO PUBLIC, Add the following to

Subsection 107.1, LAWS TO BE OBSERVED, paragraph (C):

While every effort has been made to Blue Stake all known utilities, and to research and show on the plans all existing underground utilities based on the best available information, it shall be the Contractor’s responsibility to locate and pothole all existing utilities sufficiently in advance of anticipated new underground construction to identify any potential conflicts and allow reasonable time for the Engineer to determine solutions. Any claims for additional compensation or work required due to the Contractor’s non-compliance with this provision shall not be considered for payment by the City.

1. 11.        107    LEGAL REGULATIONS AND RESPONSIBILITY TO PUBLIC, Add the following new paragraphs to Subsection 107.1, LAWS TO BE OBSERVED:

(A)       FAIR TREATMENT OF WORKERS

The Contractor shall keep fully informed of all Federal and State laws, County and City ordinances, regulations, codes and all orders and decrees of bodies or tribunals having any jurisdiction or authority, which in any way affect the conduct of the work. He shall at all times observe and comply with all such laws, ordinances, regulations, codes, orders and decrees; this includes, but is not limited to laws and regulations ensuring fair and equal treatment for all employees and against unfair employment practices, including OSHA and the Fair Labor Standards Act (FLSA). The Contractor shall protect and indemnify the Contracting Agency and its representatives against any claim or liability arising from or based on the violation of such, whether by himself or his employees.

(B)       DESERT TORTOISE MITIGATION

As stated in the Arizona Interagency Desert Tortoise Team (AIDTT) Management Plan (1996), if a desert tortoise is found in a project area, activities should be modified to avoid injuring or harming it. If activities cannot be modified, tortoises in harm’s way should be moved in accordance with Arizona Game and Fish Department’s “Guidelines for Handling Sonoran Desert Tortoises Encountered on Development Projects”, revised October 23, 2007 (or the latest revision), included in these contract provisions. Taking, possession, or harassment of a desert tortoise is prohibited by State law, unless specifically authorized by Arizona Game and Fish Department.

(C)    BURROWING OWLS MITIGATION – MIGRATORY BIRD TREATY ACT OF 1918

While no burrowing owls have been seen at the project site, small animal burrows likely used by rodents and cottontail rabbits are present. In the event that burrowing owls are found on the site, the project shall comply with the Migratory Bird Treaty Act of 1918 and relocate the birds prior to grading. A contact for relocation of burrowing owls is Bob Fox or Greg Clark of Wild at Heart, 31840 North 45th Street, Cave Creek, AZ 85331, 480-595-5047.

107.1.2    Environmental Mitigation Measures:

To prevent the introduction of invasive species seeds, the contractor shall inspect all earthmoving and hauling equipment at the equipment storage facility and the equipment shall be washed prior to entering the construction site.

To prevent invasive species from leaving the site, the contractor shall inspect all construction equipment and remove all attached plant/vegetation and soil/mud debris prior to leaving the construction site.

If suspected hazardous materials are encountered during construction, work shall cease at that location and the Engineer will be notified immediately to make arrangements for proper treatment and disposal of those materials.

The contractor shall develop a Storm Water Pollution Prevention Plan, Notice of Intent and Notice of Termination, and submit it to the Engineer for approval.

The contractor, upon approval from the Engineer, shall submit the Notice of Intent and Notice of Termination to the Arizona Department of Environmental Quality.

This project is located within a designated municipal separate storm water sewer. Therefore, the contractor shall send a copy of the Notice of Intent and Notice of Termination to the City of Phoenix.

The contractor shall comply with all local air quality and dust control rules, regulations, and ordinances which apply to any work performed pursuant to the contract.

The contractor shall not enter into non-disturbance areas as indicted on the project plans.

Wash disturbances shall not be more than 1/10th of an acre.

1. 12.        107 LEGAL REGULATIONS AND RESPONSIBILITY TO PUBLIC, Add the following to

Subsection 107.2, PERMITS:

1. HAUL PERMIT

On any project, when the quantity of fill or excavation to be hauled exceeds 10,000 C.Y. or when the duration of the haul is for more than twenty (20) working days, the Contractor shall:

1. Obtain approval of the proposed haul route, number of trucks, etc., by the Street Transportation Department, and then;

1. Submit the proposed haul route plan to the Planning and Development Department and pay the appropriate plan-review fee (contact Planning and Development Department at 602-534-5933 for current plan review fee, the cost of which shall be considered incidental to the project), and after their approval;

1. Obtain the written haul permit from the Planning and Development Department.

NOTE: Obtaining the haul permit and the approval by Street Transportation does not release the Contractor from strict compliance with MAG Subsection 108.5, Limitation of Operations.

1. STORM WATER POLLUTION PREVENTION PLAN AND AZPDES PERMIT

Any project that disturbs 1 acre or more of the ground surface requires the Contractor to obtain an AZPDES permit and prepare a SWPPP. This project does require an AZPDES permit and SWPPP.

PAYMENT:

Payment for Storm Water Pollution Prevention Plan will be by the lump sum and will be made as follows:

The approved schedule showing the sequencing and percentage of storm water pollution prevention items required shall be the basis on which monthly progress payments shall be made. The schedule shall be subject to periodic review, at the request of either party, if the need for storm water pollution prevention items lags or accelerates. If necessary, the schedule shall be revised to reflect changes in construction that impact the use of these items. When approved, the revised schedule will become the basis of payment. Final payment will not be made until the Contractor has removed all temporary pollution prevention items to the satisfaction of the Construction Manager.

1. DUST PERMIT

Any project that disturbs more than 1/10 acre of soil requires an earthmoving permit from Maricopa County. Information and forms can be found at:

www.maricopa.gov/aq/divisions/permit_engineering/applications/Default.aspx

To facilitate and encourage strict compliance with the Maricopa County Air Pollution Control Regulations pertaining to fugitive dust control, the Contractor shall submit the following documentation to the Engineer at the Pre-Construction meeting prior to conducting any earth moving or dust generating activities under the Contract.

1. Copy of a valid Maricopa County Earth Moving (Dust Control) Permit applicable to

the work or services under the Contract.

1. Copy of the Dust Control Plan applicable to the work or services under the Contract.

1. Documentation that all of the Contractor’s on-site project managers have received the Comprehensive or Basic dust control training as required by Maricopa County Rule 310 based on project disturbed acres.

For construction sites where 5-acres or more are disturbed, the Contractor shall designate and identify to the City an individual who has completed the dust control training as required for the site Dust Control Coordinator. The Dust Control Coordinator shall be present on-site all times that earth moving or dust generating activities are occurring and until all ground surfaces at the site have been stabilized.

For construction sites less than 1-acre, the Contractor shall designate an individual who has completed Basic Training to be on site at all times that earth moving or dust generating activities are occurring.

The Contractor shall notify the Engineer within twenty-four (24) hours of any inspection, Notice of Violation, or other contact by the Maricopa County Air Quality Department with it or any of its subcontractors regarding the work or services under the Contract. A copy of any written communications, notices or citations issued to Contractor or any of its subcontractors regarding the work or services under the Contract shall likewise be transmitted to the Engineer within twenty-four (24) hours.

The Contractor shall prevent any dust nuisance due to construction operations in accordance with MAG Specifications, Section 104.1.3, Cleanup and Dust Control. The Contractor shall use a power pick-up broom as part of the dust control effort. No separate measurement or payment will be made for cleanup or dust control, or for providing a power pick-up broom on the job.

The Contractor agrees to indemnify and reimburse the City for any fine, penalty, fee or monetary sanction imposed on the City by Maricopa County arising out of, or caused by the performance of work or services under the Contract. The Contractor shall remit payment of the reimbursable sum to the City within thirty (30) days of being presented with a demand for payment from the City.

1. TEMPORARY RESTRICTION AND CLOSURE SYSTEM (TRACS) PERMIT

The Contractor shall obtain a TRACS permit for any construction that restricts access (partial or complete closures) on Major/Collector public streets, or complete closures on Local streets, sidewalks, bike lanes and alleys. The Contractor shall obtain this permit in accordance with the City of Phoenix Traffic Barricade Manual, latest edition. The Contractor shall follow all requirements of the TRACS permit during construction. The Contractor shall obtain this permit before the Notice to Proceed date. Any construction delays caused by non- compliance with the TRACS permit or the City of Phoenix Traffic Barricade Manual requirements shall be the responsibility of the Contractor.

1. U.S. ARMY CORPS OF ENGINEERS SECTION 404 PERMIT

This project is subject to a U.S. Army Corps of Engineers 404 Permit (or U.S. Army Corps of Engineers Nationwide Permit (NWP)). The permit (or NWP) is included in these project specifications. The Contractor shall comply with all requirements of this permit.

1. OTHER PERMITS

The Contractor may be required to obtain other permits from other agencies, such as the Arizona Department of Transportation (ADOT) or the Flood Control District of Maricopa County (FCDMC) before beginning work or restricting traffic in their right-of-way. The Contractor will be required to obtain these permits and comply with their requirements.

1. 13.        107 LEGAL REGULATIONS AND RESPONSIBILITY TO PUBLIC, Revise the title of Subsection 107.4 ARCHAEOLOGICAL REPORTSto 107.4 ARCHAEOLOGICAL MONITORING AND DISCOVERIES, and add the following:

If suspected archaeological materials are discovered during construction without an archaeologist present, the Contractor shall stop work immediately within a 10-meter zone of the discovery, secure the area, and immediately notify the City Archaeology Office (602-495-0901). The Contractor shall not recommence work in the area of discovery until directed in writing by the City Archaeology Office.

107.6.4 Construction Fencing: Contractor shall provide a temporary construction fence around the entire work area to prevent unauthorized access to the construction site. The fence shall be a minimum of 6ft tall chain link. Contractor shall provide a submittal to the City for review and approval within 48 hours of Notice to Proceed with the proposed fencing layout which will identify the limits of the fencing and all access points. The submittal shall also include the type of fencing product and how the fence is mounted and installed. This fencing shall be installed prior to any construction activities occurring on site. This fencing shall remain throughout the duration of construction until the City and Contractor agree upon a date for the removal of the temporary fencing. The cost for the installation and removal of this fencing is considered included in the cost of Contractor Mobilization and Demobilization.

1. 14.        107 LEGAL REGULATIONS AND RESPONSIBILITY TO PUBLIC, Modify Subsection 107.8, USE OF EXPLOSIVESas follows:

Replace the words “Uniform Fire Code” with “Phoenix Fire Code”.

1. 15.        107 LEGAL REGULATIONS AND RESPONSIBILITY TO PUBLIC, Add the following to

Subsection 107.8, USE OF EXPLOSIVES:

NO BLASTINGwill be allowed on this project.

1. 16.        107 LEGAL REGULATIONS AND RESPONSIBILITY TO PUBLIC, Add the following to Subsection 107.11, CONTRACTOR’S RESPONSIBILITY FOR UTILITY PROPERTY AND SERVICES:

1. UNDERGROUND FACILITIES

The Contractor will make whatever investigation it deems necessary to verify the location of underground utility facilities. If such facilities are not in the location shown in the drawings, then (regardless of whether this is discovered prior to or during construction) the contractor’s remedies, if any, pursuant to Art. 6.3, Chapter 2, Title 40, A.R.S. (A.R.S. 40-360.21 through 40-360.32, “Underground Facilities”), shall be the contractor’s sole remedy for extra work, delays and disruption of the job, or any other claim based on the location of utility facilities. Locations of utility facilities shown on drawings furnished by the City are to be regarded as preliminary information only, subject to further investigation by the contractor. The City does not warrant the accuracy of these locations, and the contractor, by entering into this contract, expressly waives and disclaims any claim or action against the City under any theory for damages resulting from location of utility facilities.

The Contractor shall be responsible for obtaining all Blue Stake utility location information, and for performing all requirements as prescribed in A.R.S. 40-360.21 through .29, for all

underground facilities, including those that have been installed on the current project, until the project is accepted by the City.

At least two (2) working days prior to commencing any excavation, the Contractor shall call the BLUE STAKE CENTER, between the hours of 7:00 a.m. and 4:30 p.m., Monday through Friday for information relative to the location of buried utilities. The number to be called is as follows:

Maricopa County       (602) 263-1100

1. UTILITY-RELATED CONSTRUCTION DELAY DAMAGES CLAIM PROCEDURES

The following procedure is intended to provide a fair and impartial process for the settlement of construction delay claims associated with unknown or improperly located utility facilities.

The Contractor shall immediately notify, in writing, the Project Engineer of any potential utility- related delay claim.

The Contractor shall immediately notify the appropriate liaison of the affected utility verbally, followed by a written notification.

The Contractor shall coordinate an investigation of the situation with the affected utility and the City’s Utility Coordinator. After resolution, the Contractor will provide written notification of the settlement of the claim to all affected parties. If the affected utility makes a decision to handle negotiations for a claim, their personnel will be responsible for monitoring the project and all negotiations with the Contractor regarding the claim.

The Contractor shall determine to document requirements of the affected utility for their acceptance of responsibility for the claims. The Contractor shall provide four (4) copies of the required documentation to the utility involved and two (2) copies of this documentation to the Project Engineer. The Contractor shall obtain written confirmation from the utility company involved of their documentation requirements.

1. 17.        108    COMMENCEMENT, PROSECUTION AND PROGRESS Add the following to Subsection 108.2, SUBLETTING OF CONTRACT:

(F)     PROMPT PAYMENT

1. 1.           Contractor Payment to Subcontractor or Supplier

Contractor shall pay its subcontractors or suppliers within seven (7) calendar days of receipt of each progress payment from the City. The Contractor shall pay for the amount of work performed or materials supplied by each subcontractor or supplier as accepted and approved by the City with each progress payment. In addition, any reduction of retention by the City to the Contractor shall result in a corresponding reduction to subcontractors or suppliers who have performed satisfactory work. Contractor shall pay subcontractors or suppliers the reduced retention within fourteen (14) days of the payment of the reduction of the retention to the Contractor. No Contract between Contractor and its subcontractors and suppliers may materially alter the rights of any subcontractor or supplier to receive prompt payment and retention reduction as provided herein. If the Contractor fails to make payments in accordance with these provisions, the City may take any one or more of the following actions and Contractor agrees that the City may take such actions: (1) to hold the Contractor in default under this agreement; (2) withhold future payments including retention until proper payment has been made to subcontractors or suppliers in accordance with these provisions;

(3) reject all future bids from the Contractor for a period not to exceed one year from substantial completion date of this project; or (4) terminate agreement.

1. 2.           Alternative Dispute Resolution Between Contractor and Subcontractor or Supplier

If Contractor’s payment to a subcontractor or supplier is in dispute, Contractor and subcontractor or supplier agree to submit the dispute to any one of the following dispute resolution processes within fourteen (14) calendar days from the date that any party involved gives written notice to the other party(ies): (1) binding arbitration; (2) a form of alternative dispute resolution (ADR) agreeable to all parties; or (3) a City of Phoenix facilitated mediation. When disputed claim is resolved through ADR or otherwise, the Contractor and subcontractor or supplier agree to implement the resolution within seven (7) calendar days from the resolution date.

1. 3.           Inspection and Audit

Contractor, its subcontractors and suppliers shall comply with A.R.S. 35-214 and the City shall have all rights and remedies to inspect and audit the records and files of Contractor, subcontractor or supplier, as afforded the State of Arizona in accordance with the provisions of A.R.S. Section 35-214.

1. 4.           Non-Waiver

Should the City fail or delay in exercising or enforcing any right, power, privilege, or remedy under this Section, such failure or delay shall not be deemed a waiver, release, or modification of the requirements of this Section or of any of the terms or provisions thereof.

1. 5.           Inclusion of provisions in Subcontracts

Contractor shall include these prompt payment provisions in every subcontract, including procurement of materials and leases of equipment for this Agreement.

1. 6.           No Third Party Benefits or Rights

Nothing contained in this Agreement is intended to benefit or confer any rights on any person or entity not a party to this Agreement, and no such person or entity, including but not limited to other Contractors, subcontractors or suppliers, may assert any claim, cause of action, or remedy against the City hereunder.

1. 18.        108 COMMENCEMENT, PROSECUTION AND PROGRESS, Add the following to Subsection 108.4, CONTRACTOR’S CONSTRUCTION SCHEDULE:

No later than one (1) week after the Pre-Construction meeting (or one week after the Notice to Proceed date is firmly established), the Contractor shall submit to the Engineer, two (2) copies of a detailed Critical Path Model (CPM) chart outlining the detailed progress of all major and critical elements of the project by weeks, from beginning of project to end. The chart shall begin at the established Notice to Proceed date and progress on a calendar basis, week by week, to the end of the project.

The Contractor shall submit updated CPM charts as required by the Engineer. This shall typically be on a monthly basis. The required submittals of updated CPM charts may be less frequent than monthly, if approved by the Engineer.

Neither the City nor the Engineer shall accept liability or responsibility for the reasonable or workable nature of the CPM schedules prepared and submitted by the Contractor—that responsibility shall remain with the Contractor.

1. 19.        108 COMMENCEMENT, PROSECUTION AND PROGRESS, Add the following to Subsection

108.5, LIMITATION OF OPERATIONS:

1. WORK HOURS

Regular working hours shall be defined as one 8-1/2 hour shift per day, Monday through Friday, exclusive of City holidays.

Work in excess of regular working hours shall be defined as overtime. For overtime which becomes necessary, the Contractor shall make a written request to the Engineer at least eight (8) calendar days before the desired overtime. The request shall include the duration, dates, times, reason for overtime, and a statement of the consequences if overtime is not approved.

The Contractor shall not schedule any overtime work which requires inspection, survey, or material testing without written permission from the Engineer two (2) working days before the proposed overtime work. The Engineer reserves the right to deny the requested overtime. If an overtime request is denied, the Engineer may extend the contract time at no additional cost to the City, including extended overhead costs.

Unscheduled Overtime

Overtime that is not requested and approved in accordance with the above procedure shall be defined as unscheduled overtime. All costs (including appropriate overhead) shall be paid by the Contractor by deduction from the contract.

Emergency Overtime

An emergency is defined as work required for a situation that is not within the Contractor’s control.

With the Engineer’s approval, the Contractor will be permitted to work overtime without being responsible for paying the City’s costs.

1. NIGHT WORK

Any proposed night work will be done in accordance with all City of Phoenix Ordinances. Night work will only be allowed upon submittal and approval of After-Hours Work in the Right- of-Way application. The Contractor will submit a comprehensive plan at the Preconstruction Conference that details the steps and methods of noise reduction during night working hours. This plan will address, but not be limited to the following: back-up alarms, equipment noise, scheduling of excessively noisy construction phases, and material delivery times. Spotters, in lieu of back-up alarms, may be required at night.

There will be no separate measurement or payment for work related to this item, the cost being considered incidental to the cost of contract items.

1. 20.        108 COMMENCEMENT, PROSECUTION AND PROGRESS, Add the following to Subsection 108.10, FORFEITURE AND DEFAULT OF CONTRACT:

City’s Right to Perform and Terminate for Convenience

If the City provides the Contractor with a written order to provide adequate maintenance of traffic, adequate cleanup, adequate dust control or to correct deficiencies or damage resulting from abnormal weather conditions, and the Contractor fails to comply in a time frame specified, the City may have work accomplished by other sources at the Contractor’s expense.

If Contractor persistently fails to (i) provide a sufficient number of skilled workers, (ii) supply the materials required by the Contract Documents, (iii) comply with applicable Legal Requirements, (iv) timely pay, without cause, Sub-consultants and/or Subcontractors, (v) prosecute the Contract Services with promptness and diligence to ensure that the Contract Services are completed by the Contract Time, as such times may be adjusted, or (vi) perform material obligations under the Contract Documents, then the City, in addition to any other rights and remedies provided in the Contract Documents or by law, shall have the rights set forth below.

Upon the occurrence of an event set forth above, City may provide written notice to Contractor that it intends to terminate the Agreement unless the problem cited is cured, or commenced to be cured, within seven (7) days of Contractor’s receipt of such notice.

If Contractor fails to cure, or reasonably commence to cure, such problem, then City may give a second written notice to Contractor of its intent to terminate within an additional seven (7) day period.

If Contractor, within such second seven (7) day period, fails to cure, or reasonably commence to cure, such problem, then the City may declare the Agreement terminated for default by providing written notice to Contractor of such declaration.

Upon declaring the Agreement terminated pursuant to the above, City may enter upon the premises and take possession, for the purpose of completing the Work, of all materials, equipment, scaffolds, tools, appliances and other items thereon, which have been purchased or provided for the performance of the Work, all of which Contractor hereby transfers, assigns and sets over to City for such purpose, and to employ any person or persons to complete the Work and provide all of the required labor, services, materials, equipment and other items.

In the event of such termination, Contractor shall not be entitled to receive any further payments under the Contract Documents until the Work shall be finally completed in accordance with the Contract Documents. At such time, the Contractor will only be entitled to be paid for Work performed and accepted by the City prior to its default.

If City’s cost and expense of completing the Work exceeds the unpaid balance of the Contract Price, then Contractor shall be obligated to pay the difference to City. Such costs and expense shall include not only the cost of completing the Work, but also losses, damages, costs and expense, including attorneys’ fees and expenses, incurred by the City in connection with the re-procurement and defense of claims arising from Contractor’s default.

If the City is found to have improperly terminated the Agreement for cause or default, the termination shall be converted to a termination for convenience in accordance with the provisions of this Agreement.

1. 21.        108 COMMENCEMENT, PROSECUTION AND PROGRESS, Add the following to Subsection 108.11, TERMINATION OF CONTRACT:

TERMINATION FOR CONVENIENCE

The Owner for its own convenience has the right for any reason and at any time to terminate the contract and require the Contractor to cease work hereunder. Such termination shall be effective at the time and in the manner specified in the notification to the Contractor of the termination. Such termination shall be without prejudice to any claims which the Owner may have against the Contractor. In the event of a termination for convenience, the Contractor shall be paid only the direct value of its completed work and materials supplied as of the date of termination, and Contractor shall not be entitled to anticipated profit or anticipated overhead or any other claimed damages from the Owner, Architect or the Engineer. If the City is found to have improperly terminated the Agreement for cause or default, the termination shall be converted to a termination

for convenience in accordance with the provisions of this Agreement. CANCELLATION OF CONTRACT FOR CONFLICT OF INTEREST

All parties hereto acknowledge that this agreement is subject to cancellation by the City of Phoenix pursuant to the provisions of Section 38-511, Arizona Revised Statutes.

1. 22.        109    MEASUREMENTS AND PAYMENTS, Add the following to Subsection 109.2, SCOPE OF PAYMENT:

1. PARTIAL PAYMENTS

The contracting agency will make a partial payment to the Contractor on the basis of an approved estimate prepared by the Engineer or the Contractor for work completed and accepted through the preceding month. The notice to proceed date, which is designated for the specific project involved, will be used as the closing date of each partial pay period. Payment will be made no later than fourteen (14) days after the work is certified and approved. City shall review payment requests and make recommendation of approval or denial within seven (7) calendar days.

1. PAYMENT RETENTION

At the start of construction, ten percent of all pay requests shall be retained by the City to guarantee complete performance of the contract. When the work is fifty percent complete, this amount may be reduced to five percent providing that construction progress and quality of work is acceptable to the City. Any funds which are withheld from the contractor will be paid no later than sixty days after completion of the contract and settlement of all claims.

In lieu of retention, the contractor may provide as a substitute, an assignment of money market accounts, demand deposit accounts, or time certificates of deposit (CDs) from a bank licensed by Arizona, securities guaranteed by the United States, securities of the United States, the State of Arizona, Arizona counties, Arizona municipalities, Arizona school districts, or shares of savings and loan institutions authorized to transact business in Arizona. These securities are referred to as “Qualified Securities.”

Qualified Securities deposited in lieu of retention must be deposited into a separate account with a bank having a branch located in the City of Phoenix and be assigned exclusively for the benefit of the City of Phoenix pursuant to the City’s form of escrow and/or deposit agreement.

Escrow Agreement and Deposit Agreement forms may be obtained from the Contract Specialist assigned to the project.

1. 23.        109 MEASUREMENTS AND PAYMENTS, Add the following to Subsection 109.4.3, DUE TO EXTRA WORK:

ALLOWANCE FOR EXTRA WORK

Contract allowance items are provided for the purpose of encumbering funds to cover the costs of possible change order work. The amount of the allowance item is determined by the Engineer and is not subject to individual bid pricing. All bidders shall incorporate the amount pre-entered in the bid proposal and shall reflect the same in the total amount bid for this project.

This allowance item provides an estimated funding to cover unforeseen changes that may be encountered and corresponding extra work needed to complete the contract per plan. Unforeseen extra work, if any, shall be as approved by the Engineer; for example, extension of unit bid prices,

negotiated price or time and material, in accordance with MAG Specification Section 109.4 and 109.5.

It shall be understood that this allowance item is an estimate only and is based on change order history of similar projects. It shall not be utilized without an approved contract change order. It is further understood that authorized extra work, if any, may be less than the allowance item.

1. 24.        109      MEASUREMENTS   AND   PAYMENTS,      Add the following to Subsection 109.4 COMPENSATION FOR ALTERATION OF WORK:

109.4.7    CHANGE ORDERS

Owner reserves the right to decrease adjustments made in any change order if, upon audit of Contractor’s records, the audit discloses contractor provided false or inaccurate cost and pricing data in negotiating the change order. In enforcing this provision, the parties shall follow the procedure provided in the Federal Acquisition Regulation (FAR) clause 52.214-27, found in 48 CFR Part 52.

1. 25.        109 MEASUREMENTS AND PAYMENTS, Delete Table 109-1 in Subsection 109.9, DOLLAR VALUE OF MAJOR ITEM, and substitute the following:

CONTINGENCY ITEMS

Contingency items which fall under the definition of a major item are subject to negotiation if decreased by more than twenty (20) percent.

Contingency items shall not increase more than twenty (20) percent without being subject to renegotiation, regardless of the percentage of that item relative to the total contract amount.

109.10 PAYMENT FOR MOBILIZATION/DEMOBILIZATION:

The lump sum item established under Mobilization/Demobilization includes compensation to the Contractor for expenses to set up marshalling yards, secure the project site, to relocate equipment to and from the various project sites, and to perform final cleanup.

1. 26.        110    NOTIFICATION OF CHANGED CONDITIONS AND DISPUTE RESOLUTION, Add the following to Subsection 110.1 GENERAL:

SOILS INFORMATION

The material boring logs shown on the plans or included in these specifications are included for the Contractor’s convenience only. It is not intended to imply that the character of materials shown in

the logs is representative throughout the project. The soil borings are indicative of the soil characteristics only at the location and to the depth of each of the borings.

Even if not specifically shown in the geotechnical information provided, the Contractor may encounter large cobbles, boulders, caliche, conglomerate, hard rock, perched groundwater, historic or prehistoric cultural resources, or other differing site conditions on this project. No additional compensation will be made for any differing site condition that may be encountered.

PROFESSIONAL ENGINEER SEALS:

This book of specifications and related contract documents represents the efforts of the following firms:

(1)    J2 Engineering and Environmental Design, LLC. (J2) (Landscape Architecture)

A registrant of each firm has affixed his/her professional seal below, which attests that those portions of these specifications, which relate to their respective discipline area, were prepared under his/her direction.

J2 – Landscape Architecture

West Plaza Park

P:201344.001AdminSpecs2021-08-16 West Plaza Park 1st Permit.docx

SPECIAL PROVISIONS

STANDARD SPECIFICATIONS

Except as otherwise required in these special provisions, construction of this project and all work shall be in accordance with all applicable Maricopa Association of Governments’ (MAG) Uniform Standard Specifications and Uniform Standard Details, latest edition, and the City of Phoenix Supplements to the MAG Uniform Standard Specifications and Details, latest edition. All measurement and payment for items unless modified herein or on attached bid schedule shall also be in compliance with the above stated standards.

LOCATION OF THE WORK:

West Plaza Park improvements is located on the northeast corner of 43rd Avenue and West Maryland Avenue within the City of Phoenix, Maricopa County, Arizona (Township 2 North, Range 2 East, Section 10).

DESCRIPTION OF WORK:

Renovations to West Plaza Park consist of preparing the site for the park development including grading. Miscellaneous improvements per the plans include turf retention basins, curb and gutter, asphalt, concrete sidewalk, picnic ramadas, concrete basketball courts, sand volleyball courts, fitness plaza, site furnishings, site lighting, irrigation components, trees, inert ground cover mulches.

GEOTECHNICAL REPORT:

The Geotechnical Engineering Report is attached. The report was prepared by RAMM Engineering, dated 10/21/20 with additional information on 11/2/20. It is the Contractor’s responsibility to review these documents during preparation of their bid to be cognizant of existing soil conditions discovered at those locations. The Contractor, at their sole cost, may make any other arrangements they deem necessary to become familiar with underground soils conditions prior to submitting a bid.

201  – CLEARING AND GRUBBING

201.1  DESCRIPTION: Delete in its entirety and replace with the following:

This work shall consist of removing objectionable material from the right of way, easements, the project limits as identified on the project documents, and such other areas as may be specified in the special provisions. Clearing and grubbing shall be performed in advance of grading operations.

201.3  CONSTRUCTION METHODS: Delete the first paragraph and replace with the following:

The construction site shall be cleared of all trees, stumps, brush, roots, weeds, rubbish, debris, and other objectionable matter, except as follows.

Delete the fourth paragraph and replace with the following:

From excavated areas, all stumps, roots, and other obstructions shall be grubbed to a depth of not less than thirty-six (36) inches below finish grade.

Delete Table 201-1 and replace with the following table:

Seventh paragraph is modified to add:

Any pruning of existing tree material shall be performed by a certified arborist or under the direct supervision of a certified arborist. Contractor shall submit certifications of arborist to the Engineer for review and approval a minimum of 10 working days prior to any pruning activities taking place.

201.4  REMOVAL AND DISPOSAL OF SALVAGEABLE ITEMS: Is modified to add the following:

Contractor shall remove and salvage existing equipment as indicated on the project drawings or as directed by the Engineer.

Contractor shall review all salvaged items with the Contracting Agency prior to packaging and delivery to the storage yard. Contracting Agency will determine, after review of salvaged equipment, what will be packaged and delivered to the storage yard.   Contact information for these departments will be provided to the Contractor as the pre-construction conference by the City.

Contractor is responsible for all loading and unloading of salvaged equipment and all transportation of equipment from the project site to the Contracting Agency’s storage yard. All salvaged equipment shall be stacked neatly and secured with shrink wrap and metal straps on wood pallets. Pallets shall be whole and undamaged with no broken wood or slats. Equipment shall be stacked to as would be typical in the industry for shipping and storage of equipment and shall not over burden the pallet or cause damage to the equipment. Palletized equipment shall be placed in the storage yard in the location as designated by the Contracting Agency. Salvaged items shall be placed in a neat layout arrangement.

Concrete footings of any salvaged items shall be completely removed and properly disposed of.

Any signage called to be relocated shall have the new location staked by the contractor and reviewed and approved by the City and Engineer prior to installation.

Measurement and payment for salvageable items shall be in accordance with the units of measure establishing in the bid schedule and shall be full compensation for all removal, salvage, packaging, and transportation, loading, and unloading of salvaged materials. Any materials not desired to be kept by the City shall be removed and properly disposed of by the contractor. No separate measurement or payment will be made for the removal and disposal of these non-desired items the cost of which is considered included in other items of work.

201.6 MEASUREMENT, REMOVAL AND DISPOSAL OF TREES: Delete and replace with the following:

Measurement for removal and disposal of trees shall be based on the sizes and unit as identified on the project plans and as indicated on the bid proposal.

205  – ROADWAY EXCAVATION

205.1  DESCRIPTION: Delete in its entirety and replace with the following:

Roadway excavation shall consist of excavation involved in the grading and construction of roadways and site improvements to the contour lines and grades as shown on the project plans, except structure excavation, trench excavation and any other excavation separately designated.

205.7 MEASUREMENT: Delete the second paragraph and replace with the following:

Excavating the roadway prism including public and private road approaches, connections to driveways; excavation unsuitable material when shown on the plans or specified in the special provisions; excavating slides

and slipouts not resulting from overshooting; excavating surplus material; excavating selected material and topsoil from within the limits of project and removing such materials from stockpiles when stockpiling is ordered; excavating ditches and excavating borrow; and providing contouring of the site as shown on the project plans.

SECTION 206 – STRUCTURE EXCAVATION AND BACKFILL

206.5.1   MEASUREMENT: Delete the subsection and replace with the following:

No separate measurement will be made for structure excavation and backfill.

206.5.2   PAYMENT: Delete the subsection and replace with the following:

No separate payment will be made for structure excavation and backfill the cost of which is considered included in the item for which structure excavation and backfill is required.

211  FILL CONSTRUCTION,

Add the following to Section 211 FILL CONSTRUCTION:

211.1  DESCRIPTION:

Fill construction shall also consist of site improvements to the contour lines and grades as shown on the project plans.

211.2  PLACING: Delete the first paragraph and replace with the following:

Rocks, broken concrete, or other solid material shall not be placed in fill areas.

Delete the third paragraph and replace with the following:

Clods or hard lumps of earth of 2 inches in greatest dimension shall be broken up before compacting the material in the embankment.

Delete the fourth paragraph and replace with the following:

Fill material will large rocky material greater than 1 inch, or hard lumps such as hardpan or cemented gravel is not acceptable as fill material as shall be removed from the project by the contractor.

211.3  COMPACTING: Delete the fourth paragraph and replace with the following:

Areas over which fills are to be placed shall be cleared and scarified to a depth of 6 inches to prove a bond between the existing ground and the material to be deposited thereon. Unless otherwise specified, the original ground area upon with fills are to be constructed shall be compacted to a uniform density of not less than 95 percent unless the area is intended to be planted then the density shall not exceed 85 percent.

Delete the fifth paragraph and replace with the following:

The loose thickness of each layer of fill material before compaction shall not exceed 8 inches.

Delete the sixth paragraph.

Delete the seventh paragraph and replace with the following:

Broken Portland cement concrete and bituminous type pavement obtained from the project excavations will not be permitted in the fill.

SECTION 232 – STORM WATER POLLUTION PREVENTION – BEST MANAGEMENT PRACTICES

Add the following new Section, 232 STORM WATER POLLUTION PREVENTION – BEST MANAGEMENT PRACTICES:

Description

Implementation of “Best Management Practices” (B.M.P.’s) to reduce stormwater pollution shall be undertaken by the Contractor on a multi-tiered, most cost-effective approach. The Contractor shall utilize the lowest-cost acceptable B.M.P. available to address each type of potential stormwater pollution situation encountered on the project. Should this prove ineffective in resolving the stormwater pollution problem, additional, higher-cost B.M.P.’s may need to be employed, upon approval by the City.

Construction Requirements

Typical multi-tiered B.M.P. approaches to construction operations may include:

1. ROADWAY SUBGRADE EXCAVATION:

1. Tier I – The excavated area will create, in effect, a temporary retention area. This may provide adequate control of storm runoff to prevent sediment from leaving the site. Pumping or other methods utilized to drain the excavation shall employ filter fabric or other filtering method to remove sediment before leaving the site or entering the storm drain system.

1. Tier II – Catch basin inlet protection (utilizing filter fabric, gravel, etc.) may be necessary should Tier I controls prove inadequate. Care shall be exercised to ensure that Tier II B.M.P.’s do not result in blockage of drainage and resultant flooding of adjacent properties.

1. OPEN PIPELINE TRENCHES:

1. Tier I –   The open trench itself will act as a temporary retention area. The Contractor shall provide a low-cost, readily-installed/removed temporary device on the open end of the pipe to prevent sediment-laden stormwater from entering the pipe. This may consist of a temporary “plug” incorporating filter fabric, a temporary weir, or other device capable of removing sediment before allowing stormwater to enter the pipe. Care must be taken to prevent damming of floodwaters in the excavation that could result in “floating” the pipe.

1. Tier II – If Tier I protection does not prove satisfactory, the Contractor may need to install straw bales, sandbag berms, or temporary diversion dikes around the perimeter of the open excavation to prevent sediment-laden stormwater from entering the open excavation. Due to installation/removal time, such devices need only be installed during periods of likely precipitation and runoff. Earthen dikes are the preferred alternate, due to ease of installation and removal. Care must be taken to assure that runoff is not blocked to the extent that flooding of adjacent properties will result.

1. BACKFILLED PIPELINE TRENCHES:

1. Tier I –   As with roadway subgrade excavations, pipeline trenches which have been backfilled but not yet paved will be several inches lower than adjacent pavement areas, and will therefore act as temporary retention areas.

1. Tier II – If the “retention” provided by the backfilled area does not prevent sediment-laden runoff from leaving the excavated area, perimeter controls such as silt fence, straw bales, sandbag berms, or gravel filter berms may need to be installed around the downstream edge(s) of the backfilled area. As with open trenches, the selection of the

appropriate measure, extent of its application, and time period during which it is needed will be dependent upon cost, site conditions, ease of installation/removal, and likelihood of precipitation/runoff. Again, care must be taken to ensure that diversion of stormwater onto adjacent properties does not result from these installations.

Another stormwater control method, which the Contractor may need to consider, is limiting the amount of area disrupted and therefore subject to sediment-laden stormwater runoff at any one time. Should such project phasing prove necessary due to the failure of other B.M.P.’s, the Contractor shall revise his construction activities accordingly, at no additional cost to the City.

Standards for installation of the above B.M.P.’s are provided in the Flood Control District of Maricopa County’s “Drainage Design Manual for Maricopa County, Arizona, Volume III, Erosion Control”. Installation and operation of B.M.P.’s shall be in accordance with that manual.

Use of individual BMP items shall conform to the Contractor’s approved Storm Water Pollution Prevention Plan (SWPPP).

Measurement and Payment

Measurement and Payment for Stormwater Pollution Prevention shall be per Section 107.1.2 Environmental Mitigation Measures.

SECTION 301- SUBGRADE PREPARATION

301 SUBGRADE PREPARATION: Add the following to Subsection 301.1, DESCRIPTION:

The work under Subgrade Preparation consists of all excavating and grading work necessary to bring the existing surface to the section specified on the plans prior to the covering of the prepared subgrade with pavement base materials.

301.3 RELATIVE COMPACTION: of the 2015 COP supplements to MAG is modified to add:

Relative compaction shall be as outlined in (A), (B), or (C) above or per the recommendations in the geotechnical report. If a conflict occurs between the geotechnical report and items (A), (B), or (C) the recommendations of the geotechnical report shall be followed.

Delete Subsections 301.7, MEASUREMENT, and 301.8, PAYMENT, and substitute the following:

301.7  MEASUREMENT:

No separate measurement will be made for subgrade preparation.

301.8  PAYMENT

No separate payment will be made for Subgrade Preparation including any stripping, scarifying, grading, excavation, hauling, filling, compacting, and disposing of excess or unsuitable materials; the cost of which is considered included in the price of other items of work for which the subgrade preparation is required.

SECTION 310 PLACEMENT AND CONSTRUCTION OF AGGREGATE BASE COURSE

310.3 COMPACTION: is modified to add:

Compaction shall be as outlined in (A), (B), and (C) above or per the recommendations in the geotechnical report. If a conflict occurs between the geotechnical report and items (A), (B), and (C) the recommendations of the geotechnical report shall be followed.

310.5 PAYMENT: Delete and replace with the following:

No separate measurement or payment will be made for the supplying or placing of aggregate base course under pavement the cost of which is considered included in the cost of the item of work for which aggregate base course is required.

SECTION 321 – PLACEMENT AND CONSTRUCTION OF ASPHALT CONCRETE PAVEMENT

Add the following to Subsection 321.1 DESCRIPTION:

Asphalt shall be placed according to the following:

Residential Street: 4 inches Type C-3/4 (one lift) on 100% compacted native subgrade; or 1 ½ inches Type D- 1/2 on 2 ½ inches Type A-1 ½ on 100% compacted native subgrade; whichever best fits specific project needs.

Collector Street: 1 ½ inches Type D-1/2 on 3 ½ inches Type A-1 ½ on 100% compacted native subgrade.

Major Arterial Street: 1 ½ inches Type D-1/2 on 6 ½ inches Type A-1 ½ (2 lifts) on 100% compacted subgrade.)

: Delete the second paragraph and replace with the following:

No separate measurement or payment will be made for tack coat the cost of which is considered included in the cost of the asphalt placement.

Subsection 321.10 ACCEPTANCE: Refer to 2015 City of Phoenix Supplements

SECTION 329    TACK COAT

329.6  MEASUREMENT: Delete and replace with the following:

No separate measurement will be made for tack coat.

329.7  PAYMENT: Delete the second paragraph and replace with the following:

No separate payment will be made for the supplying or application of tack coat the cost of which is considered included in the cost of the asphalt placement.

SECTION 331    TEXTURED ACRYLIC COLOR SURFACING FOR CONCRETE COURTS

331.1 DESCRIPTION

Textured acrylic surfacing for concrete basketball courts.

331.3.1             RELATED SECTIONS

331.3.1                      Related Work

Post tensioned concrete pavement (see structural plans)

331.3.2                      References

1. American Concrete Institute (ACI)
2. American Sport Builders Association (ASBA)

331.4     QUALITY ASSURANCE

Concrete shall conform to the guidelines of the ASBA for planarity.

Curing compounds should not be used unless the curing compound manufacturer specifically states the surface may be coated with water based acrylic coatings.

All surface coatings products shall be supplied by a single manufacturer.

The contractor shall record the batch number of each product used on the site and maintain it through the warranty period.

The contractor shall provide the inspector, upon request, an estimate of the volume of each product to be used on the site.

The installer shall be an authorized applicator of the specified system.

The manufacturer’s representative shall be available to help resolve material questions.

331.5     SUBMITTALS

Manufacturer specifications for components, color chart and installation instructions. Authorized Applicator certificate from the surface system manufacturer.

Reference list from the installer of at least 5 projects of similar scope done in each of the past 3 years. Current Material Safety Data Sheets (MSDS).

331.5.1  Product substitution: If other than the product specified, the contractor shall submit at least 7 days

prior to the bid date a complete type written list of proposed substitutions with sufficient data, drawings, samples and literature to demonstrate to the owners satisfaction that the proposed substitution is of equal quality and utility to that originally specified. Information must include a QUV test of at least 1000 hours illustrating the UV stability of the system. Test method similar to ASTM G53. The color system shall have an ITF pace rating in Category 3 Medium. Under no circumstances will systems from multiple manufacturers be considered.

331.6     MATERIAL HANDLING AND STORAGE

Store materials in accordance with manufacturer specifications and MSDS.

Deliver product to the site in original unopened containers with proper labels attached. All surfacing materials shall be non-flammable.

331.7       GUARANTEE

The Contractor shall, and herby does, warrant and guarantee that all Work performed under this project will be free from defects of materials and workmanship for a period of two (2) years from the date of final acceptance of this work. Contractor agrees that he will, at his own expense, repair and replace all such defective work which becomes or is found to be defective during the term of this warranty. Should the Contractor fail to repair or replace such defective material and/or workmanship within twenty-one (21) calendar days after written notice from owner, owner may do the work necessary and Contractor hereby does agree to reimburse Owner for actual costs.

331.8.1 QUALIFICATIONS

331.8.1                        Installer qualifications:

Installer shall be regularly engaged in construction and surfacing of acrylic courts, play courts or similar surfaces. Installer shall be an Authorized Applicator of the specified surface system.

Installer shall be a builder member of the ASBA.

331.8.2                      Manufacturer qualifications

System manufacturer shall be a US owned company. System manufacturer shall be a member of the ASBA.

331.9                           PRODUCTS

331.9.1                      Manufacturers

California Products Corp., Andover, MA. 01810 / Acrylotex Decorative Pavement Coating www.plexipave.com or approved equal.

Substitutions: See Section 331.5.1

331.9.2                      Materials

Patching Mix (California Court Patch Binder) – for use in patching cracks, holes, depressions and other surface imperfections.

Crack Filler (Plexipave Crack Filler) – for use in filling fine cracks.

Acrylic Color Playing Surface (Acrylotex/Plexichrome) – for use as the finish color and texture. Plexichrome and Acrylotex Color Base are blended at the job site to achieve the correct surface texture.

Line Paint (California Line Paint) – for use as the line marking on the court/play surface. Water – for use in dilution/mixing shall be clean and potable.

331.9.2.1    Material specifications

Court Patch Binder – 100% acrylic resin blended with Portland Cement and silica sand.

1)   Percent solids by weight (minimum)   46%

2)   Weight                                             8.7-8.9 lbs./gallon

Plexipave Crack Filler – 100% acrylic resin heavily filled with sand.

1)   Percent solids by weight (minimum)   85%

2)   Percent solids by weight (minimum)   15 lbs./gallon

Acrylotex/ Plexichrome – 100% acrylic resin (no vinyl copolymerization constituent) with selected light fast pigments. Green shall contain not less than 8% chrome oxide.

1)   Percent solids by weight (minimum)   36.5%

2)   Weight                                             10.0-10.2 lbs./gallon

California Line Paint – 100% acrylic resin containing no alkyds or vinyl constituents. Texturing shall be rounded silica sand.

1)   Percent solids by weight (minimum)   60.5%

2)   Weight                                             12-12.3 lbs./gallon

Sand – 60 – 80 mesh silica sand (dry)

All surfacing materials shall be non-flammable and have a VOC content of not less than 100g./ltr. Measured by EPA method 24.

331.9.3                      EXECUTION

331.9.3.1    Weather limitations

Do not install when rainfall is occurring, is imminent or extremely high humidity prevents drying. Do not apply unless surface and air temperature are 50°F and rising.

Do not apply if surface temperature is in excess of 140°F.

Do not apply when freezing conditions are occurring or imminent. Do not store in hot, direct sun.

331.9.3.2    Preparation for acrylic color playing system

Allow new concrete to cure for a minimum of 28 days before applying Acrylotex.

Clean surfaces of loose dirt, oil, grease, leaves, and other debris in strict accordance with manufacturer’s directions. Pressure washing will be necessary to adequately clean areas to be coated. Any areas previously showing algae growth shall be treated with Clorox or approved product to kill the organisms and then be properly rinsed.

1. The entire surface shall be cleaned with high pressure water to remove all dirt and latent material and to prepare the surface for the bonding of the surfacing coats. Pressure should be less than 2500 lb/sq in.
   1. Holes and cracks: Cracks and holes shall be cleaned and a suitable soil sterilant, as approved by the owner, shall be applied to kill all vegetation 14 days prior to use of Court Patch Binder according to manufacturer’s specifications.
   2. Depression: Prior to the application of surfacing materials, the entire surface should be flooded and checked for depressions or irregularities. Any puddled area covering a nickel shall be marked and repaired with Court Patch Binder. Mix. 3 gallons of Court Patch Binder, 100 lbs. 60-80 silica sand, 1 gallon Dry Portland Cement (Type I). This step shall be accomplished prior to the squeegee application of Acrylic Resurfacer. The contractor shall flood all the courts and then allow draining. Define and mark all areas holding enough water to cover a nickel.   After defined areas are dry, prime with tack coat mixture of 2 parts water/l part Court Patch Binder. Allow tack coat to dry completely. Spread Court Patch Binder mix true to grade using a straight edge (never a squeegee) for strike off. Steel trowel or wood float the patch so that the texture matches the surrounding area. Never add water to mix. Light misting on surface and edges to feather in is allowed as needed to maintain work ability. Allow to dry thoroughly and cure.

NO WORK FROM THIS STAGE ON SHALL COMMENCE UNTIL AN INSPECTION AND ACCEPTANCE BY THE CITY OF PHOENIX HAS OCCURRED AND THE CITY OF PHOENIX HAS ACCEPTED THE SURFACE.

331.9.3.3    Application of acrylic color playing surface

All areas to be color coated shall be clean, free from sand, clay, grease, dust, salt or other foreign matters. The Contractor shall obtain the Engineer’s approval, prior to applying any surface treatment.

Blend Acrylotex and Plexichrome with a mechanical mixer to achieve a uniform homogeneous mixture. The mix shall be:

Acrylotex 30 gallons

Plexichrome 10 gallons

Water      20 gallons

Type 1 White Portland Cement (dry): 1-2 gallons

Segregation before or during application will not be permitted. Portland cement should be added slowly to avoid “balling” in the mixture.

Application shall be made by rubber bladed squeegees in two applications of 10 ml thickness to obtain a quality of not less than .16 nor more than .22 gallons per square yard based on the material prior to any dilution. No application shall be covered by a succeeding application until thoroughly cured. Color draw downs shall be submitted to City of Phoenix for approval prior to application. No substitutions.

The finished surface shall have a uniform appearance.

331.9.3.4    Line painting

White Line Paint shall be 2” wide unless otherwise noted on the drawings. Lines hall be carefully laid out in accordance with ASBA and USTA guidelines. The area to be marked shall be taped to insure a crisp line. The California Line Paint shall have a texture similar to the surrounding play surface. Application shall be made by brush or roller at the rate of 150-200 sg./gal. No substitutions

Layout basketball courts for play per the plans and specifications, mask with a suitable masking tape, and coat with California Products Plexipave Textured White Line Paint.

Contractor shall apply Sikaflex -2c NS (Two-Component, Non-Sag, Polyurethane Elastomeric Sealant) to all joints contained within the court.

Contractor shall conduct final inspection with City of Phoenix project leader and other designated staff. Contractor shall provide experienced, well-trained workers competent to complete the work as specified.

331.9.3.5    Protection

Erect temporary barriers to protect coatings during drying and curing. Lock gates to prevent use until acceptance by the owner’s representative.

331.9.3.6    Clean up

Remove all containers, surplus materials and debris. Dispose of materials in accordance with local, state and Federal regulations.

Leave site in a clean and orderly condition.

340      CONCRETE CURB, GUTTER, SIDEWALK RAMPS, DRIVEWAY AND ALLEY ENTRANCE ,

340.1  DESCRIPTION: is modified to add:

Concrete placement on this project will be held to a high standard for aesthetic quality and visual appearance of the finished product.

340.2  MATERIALS: Delete the first sentence and replace with the following:

Concrete shall be as specified on the plans, special provisions, and standard details, but shall be a minimum of MAG class ‘A’.

Add the following:

340.2.2 Steel Reinforcement: Steel Reinforcing shall be in accordance with MAG standard specification section 727

Add the following:

340.3.9.1 Sample Panels: For each color, finish, and textured concrete paving type Contractor shall provide sample panel(s) 5 foot by 5 foot in size, or as stated in the project plans, for approval by the engineer. Samples of each type of concrete header shall be provided in a 5 foot length by width of header for each color, finish, and texture as called for on the project plans. Samples shall incorporate a minimum of one expansion joint and control joint of each type as called for on the project plans. Concrete for samples shall utilize the same approved mix design as will actually be used in the project work.

Contractor will be required to provide as many samples as required, up to five (5) sample panels for each color and textured concrete, to achieve the aesthetic intent and quality of workmanship to the satisfaction of the Engineer. The approved sample panel (s) shall remain in place on site for the duration of the project for a standard of reference for quality. No separate measurement or payment will be made for sample panels.

340.3.10 Deficiencies: is modified to add: Any concrete placed on the project that is not of the same quality as the approved sample panel will be removed and replaced by the contractor.

Cracked, broken, or marred concrete will not be accepted. Misshapen, deformed or poorly finished concrete will not be accepted. Contractor will remove and replace any concrete to the nearest control or expansion joint. All control joints shall be saw cut in accordance with Section 601. Patching of concrete will not be accepted. All removal and replacement of unacceptable concrete will be at no additional cost to the Contracting Agency.

Add the following to Subsection 340.2.1 Detectable Warnings; Subsection 340.3.1 Detectable Warnings; Subsection 340.5 MEASUREMENT; and Subsection 340.6 PAYMENT:

Add the following to MAG Subsection 340.2.1 Detectable Warnings:

Detectable warning material will meet the latest ADA requirements. Approved detectable warning material manufacturers include the following:

1. Strongo, TekWay Dome-Tiles
2. Tuftile, Cast Iron ADA Detectible Warning Plates
3. Neenah Foundry, Cast Iron Detectable Warning Plate

Alternate materials may be submitted subject to review and approval prior to use. All detectable warnings will be of the same type and color within the project limits, unless otherwise specified.

Add the following to MAG Subsection 340.2.1.1 Color and Contrast:

Unless shown otherwise on the plans, the color of the detectable warning tiles to be used shall be terracotta color on grey concrete and yellow color on colored concrete sidewalk ramps – color to be approved by the Engineer.

Add the following to MAG Subsection 340.3.6 Detectable Warnings:

Detectable warning plates will be installed per manufacturer’s recommended specifications. The layout of plates will be determined by the Contractor, and if necessary, pre-cut as needed prior to beginning the installation process to meet ADA placement requirements. Plates will not be cut to less than half their size. Plates will be cut as recommended by the manufacturer.

Add the following to Subsection 340. 5 MEASUREMENT and 340.6 PAYMENT:

Sidewalk Ramps, Measurement and Payment

Sidewalk ramps will be constructed in accordance with Phoenix Standard Details or special details called out on the plans.

Concrete Driveway and Sidewalk Slab Connections, Measurement and Payment

This work will consist of constructing concrete driveway and sidewalk slab connections to match existing at locations shown on the plans or requested by the Engineer. The slab thickness will conform to the applicable driveway or sidewalk detail.

Measurement and payment for this work will be made per square foot complete and in place for the appropriate pay item.

Mountable Curb and Gutter, Measurement and Payment

Mountable curb and gutter will be constructed in accordance with MAG Detail 220-1, Type D, where shown on the plans.

Measurement will be made per linear foot complete in place, and payment will be made under the appropriate bid item.

345 ADJUSTING FRAMES, COVERS, VALVE BOXES, AND WATER METER BOXES,

Revise Subsection 345.1 DESCRIPTION, Subsection 345.5 MEASUREMENT, and Subsection 345.6 PAYMENT as follows:

Delete Subsection 345.1 DESCRIPTION in its entirety, and substitute the following:

Adjustment of manhole frames, covers, clean outs, valve boxes, survey monument boxes (and water meter boxes if located in the pavement) to finish grade shall be done AFTER placement of the final surface course pavement.

Any missing manhole frames or covers and water valve or survey monument box hardware (such as lids, for example) shall be reported in writing to the Engineer during the initial lowering process to allow arrangements to be made to obtain replacement hardware. Missing hardware that is properly reported to the Engineer will be supplied to the Contractor by the City of Phoenix or the appropriate private utility company.

Replacement of any missing hardware that was not reported to the Engineer initially as specified, that comes up missing later when these facilities are brought back up to finish grade, shall be the full responsibility of the Contractor, at no additional cost to the City.

In addition, all manhole frames and covers, water valve and survey monument boxes or other related hardware

removed by the Contractor during the lowering process shall be maintained in a secure area, and the Contractor shall bear full responsibility for this hardware material. Any hardware lost by the Contractor shall be replaced in- kind, at no additional cost to the City.

All areas of existing pavement removed for adjustments that will be subjected to traffic prior to placement of final concrete collar rings shall be temporarily filled with hot-mix Type D-1/2 asphalt and roller-compacted flush with the adjacent pavement. There shall be no separate measurement or payment for this temporary hot-mix asphalt or placement or subsequent removal, the cost being considered incidental to the cost of the adjustment.

After removal of asphalt pavement in the area of adjustment, and prior to placement of the final concrete collar ring around the frame or valve box (as shown on City of Phoenix Detail P-1391 and MAG Detail 422), the asphalt pavement in proximity of the adjustment shall be rolled with a self-propelled, steel wheel roller.

The concrete collar ring around the frame or valve box shall be circular, and shall be a minimum of eight (8) inches thick, placed flush with the adjacent new pavement surface. At a minimum, concrete shall be MAG Class ‘AA’ on all paved streets. All concrete shall be obtained from plants approved by the Engineer.

A single No. 4 rebar hoop shall be placed in each adjustment collar. The hoop diameter shall be such that its placement is centered between the edge of the manhole frame or valve box, and the outside edge of the concrete collar. The depth of the hoop shall be such that it is centered in the thickness of the collar. Each concrete ring shall be scored radially at quarter-circle points. Score lines shall be 1/4-inch wide by 1/2-inch deep. The concrete collar surface shall be rough broom-finished. All pavement removed for adjustments shall be replaced with concrete.

Traffic shall not be allowed on the collars until the concrete has reached a minimum compressive strength of 2500 psi on residential streets, and 3000 psi on collector and major streets. On major streets, the Contractor shall use “high-early” cement in the concrete mix, approved by the Engineer, to minimize delay in re-opening the street to traffic.

Prior to commencing work on the adjustments, the Contractor shall submit a written adjustment plan and schedule to the Engineer for approval. At the request of the City, the contractor will provide access to all services under construction at no additional cost.

Sewer manhole frames and covers shall be matched, kept together, and replaced to their original locations. The Contractor shall remove existing asphalt, chip seal, or other materials from all sewer manhole covers and water valve box lids to be adjusted on this project. The Contractor’s method for removal shall be approved by the Engineer prior to actual work. Cover cleaning shall be completed prior to adjustment of frames. Also, all water valve risers shall be thoroughly cleaned to fully expose the valve operating nut.

QUARTER SECTION MAPS FOR WATER AND SEWER LINES

The Contractor may obtain up to three sets of waterline and sewerline quarter section maps for the streets included in this project after the contract is awarded and issued. To order the maps, the Contractor shall bring an official contract specification book and a list of desired quarter section maps to the Technical Support Services counter on the 8th Floor of City Hall, 200 W. Washington Street. Up to three sets of maps will be provided at no cost to the Contractor. If more than three sets are requested, the Contractor shall purchase the additional sets.

WATER VALVE AS-BUILTS

Upon completion of water valve box adjustments, the Contractor shall provide one complete accurate and clearly legible set of as-built waterline Quarter Section maps to the Engineer. The Contractor shall mark and color code all water valves on the maps as follows:

Blue-       All valves shown on the Q.S. map found and adjusted. Yellow-    All valves shown on the Q.S. map but not found in the field.

S.P. – 12

Red- Any valve not shown on the Q.S. maps but discovered and adjusted. (Draw valve symbol on map at appropriate location and provide offset and location dimensions for valves in this category.)

Delete 345.6 PAYMENT and substitute the following:

345.6 PAYMENT

There will be no separate measurement or payment for adjusting NEW manhole frame & covers, valve boxes, sewer clean-out frame & covers or water meter boxes constructed with the project. Payment for adjusting these new facilities is considered included in the price bid for the appropriate new item.

350 – REMOVAL OF EXISTING IMPROVEMENTS

350.2.1 General: The City of Phoenix supplements to MAG are modified to add:

All existing concrete footings shall be fully removed from the site and properly disposed of by the contractor. All voids left from removals shall be filled and compacted in accordance with Section 201 and 211.

Any metal items removed from the site shall be taken to a local scrap yard/recycling center by the contractor and recycled.

Contractor is responsible for all transportation and legal proper disposal of all removal items.

355 – UTILITY POTHOLE – KEYHOLE METHOD

355.8 PAYMENT: Is modified to add:

A potholing allowance has been established in the bid proposal.                                                                                                     Contractor shall gain approval and authorization from the Engineer to utilize this allowance item.

401 – TRAFFIC CONTROL,

add the following to Subsection 401.5 GENERAL TRAFFIC REGULATION: TRAFFIC REGULATIONS

1. The following shall be considered Arterial streets:

43rd Avenue and Maryland Avenue

The following shall be considered Collector streets:

McClellan Blvd.

1. All traffic and/or traffic control devices on this project shall be provided, maintained and/or controlled as specified in the City of Phoenix Traffic Barricade Manual, latest edition and addendums thereof.

1. Permission to restrict City streets, sidewalks and alleys (street closure permits) shall be requested as specified in the City of Phoenix Traffic Barricade Manual, latest edition and addendums thereof.

1. Unless otherwise provided for in the following “Special Traffic Regulations”, all traffic on this project shall be regulated as specified in the City of Phoenix Traffic Barricade Manual, latest edition and addendums thereof.
2. No deviation to the “Special Traffic Regulations will be allowed or implemented unless submitted to the Engineer for review and approval two (2) weeks prior to proposed work.

1. Only City of Phoenix certified contractors can set, move, or remove temporary traffic control devices (signs, barricades, etc.). This annual certification can be scheduled by calling 602- 262-6235.

1. Civil Sanctions for temporary traffic control violations apply as follows:

1. Parking Meter Fees: To take a parking meter out of service requires a $35 application fee and

$10 per meter per day.

401 TRAFFIC CONTROL,

Add the following to Subsection 401.5 GENERAL TRAFFIC REGULATION:

SPECIAL TRAFFIC REGULATIONS

Any Restrictions and/or Closures will only be approved based on scope of work.

Traffic restrictions are not permitted on Arterial/Collector streets during peak traffic hours (6:00 a.m. to 8:30 a.m. and 4:00 p.m. to 6:30 p.m. weekdays). Outside of these hours the following applies:

Arterial Streets

Minimum number of travel lanes to be open to through traffic:

1. If more than four lanes exist:………………. Two will be open each way;
2. If four or less lanes exist:……………………. One will be open each way
3. On one-way streets…………………………… Two lanes open

At signalized intersections, a minimum of four lanes (two each way) plus left-turn lanes will be maintained open from 8:30 a.m. to 4:00 p.m., and from 6:30 p.m. to 6:00 a.m., Monday through Fridays including weekends unless otherwise noted within the approved TRACS permit issued to the contractor.

Collector Streets

A minimum of two travel lanes (one each way) will be open to through traffic.

At signalized intersections, a minimum of two lanes (one each way) plus left-turn lanes will be maintained open from 8:30 a.m. to 4:00 p.m., and from 6:30 p.m. to 6:00 a.m., Monday through Fridays including weekends unless otherwise noted within the approved TRACS permit issued to the contractor.

Pre-construction Field Meeting

Prior to requesting a TRACS Permits, the Contractor must coordinate in advance with the construction inspector to schedule a pre-construction field visit. The following personnel shall attend the meeting: Contractor, contracted barricade company, construction inspector and right-of-way inspector.

NighttimeRegulations

To minimize disruption to traffic, crews may be requested to work at night during off-peak hours. In this case, an after-hours permit will be required to authorize work in residential areas. Permits may be granted for up to 30 days for hours including nights, weekends, and holidays and are issued under Phoenix City Code 23-14 for building and roadway construction by the Planning and Development and Street Transportation departments, respectively. The purpose of the permits is to authorize work yet minimize loud and disturbing noises in residential areas due to construction or maintenance activities.

Variable Message Boards

Variable Message Boards (VMB) shall be provided on this project if required by the TRACS permit.,

Special Sign Requirements

The Contractor shall provide, install and maintain advance notification, public informational and directional access signs (for businesses, churches, hospitals, schools, etc.) that may be required by the Engineer. These signs may include, but are not limited to, portable changeable message signs, radar/speed sensing trailers, and other applicable Intelligent Transportation System type devices. The cost shall be included in the bid item for Traffic Control Devices.

No Parking Signs

When used, temporary NO PARKING signs must be placed 72 hours in advance for notification.

Signs should be spaced 80 feet apart for collector and arterial streets. On local Streets, a minimum of one (1)

sign must be placed in front of each affected resident not to exceed 80 feet.

Signs must be clearly marked with “Date” to “Date” and the time period of the no parking. NO PARKING Signs must be new and not reused, dates and times must be legible.

Contractor must provide Parking enforcement a picture of the placement of the no parking sign with a date and time stamp on the picture.

Local Access Requirements

The Contractor shall maintain local access to all side streets, access roads driveways, alleys, and parking lots at all times and shall notify residents 72 hours in advance of any restrictions which will affect their access. The Contractor shall restore the access as soon as possible. If the primary access cannot be restored in a timely manner, the Contractor shall provide an alternative which shall be pre-determined with the residents prior to imposing any restrictions. Any local street restrictions imposed shall be such that local area traffic circulation is maintained.

Business Access Requirements

Access shall be maintained to adjacent businesses at all times during their hours of operation. Access may be maintained by such measures as constructing driveways in half sections, or by providing bridging over new

concrete.   Properties with multiple driveway access will not have more than one driveway access restricted at any given time. While the one driveway is restricted, access to the other adjacent driveways will be maintained and unrestricted. Access to adjacent driveways shall be provided during all non-working hours. Any business restrictions shall be coordinated with the affected business in writing at least fourteen (14) days prior to imposing restrictions.

Pedestrian Access Requirements

The Contractor shall ensure that all sidewalks on this project remain in compliance with all the issues outlined by the American Disabilities Act of 1990. All pedestrian-walking areas, whether paved or unpaved, shall be maintained open and safely or a suitable pedestrian detour route will be provided. Such measures as backfilling or ramping at a 12:1 slope to existing sidewalks, or providing alternate sidewalk areas adjacent to existing sidewalks may be used. Right-of-Way inspector may also request an ADA/Pedestrian plan for any proposed sidewalk restrictions or closures. In high pedestrian use areas, the Engineer may request temporary hard- surface walkways, and/or covered pedestrian walkways to be installed at no additional cost to the City.

School Access Requirements

The Contractor shall provide clean and safe school zones, crosswalks, and walkways for students attending nearby schools during all hours of school use.

This may require backfilling trenches, temporary pavement, shoring, plating, or pedestrian bridges with handrails across open trenches.

In addition to school zones and crosswalks, the Contractor shall maintain accessibility to all school bus routes during all hours of school use. The Contractor shall notify the school Principal(s) and the school Transportation Director at least fourteen (14) days prior to any restrictions, and shall restore access as soon as possible.

Church Access Requirements

The Contractor shall maintain a high level of access to churches during all hours of church use. The Contractor shall coordinate any access restrictions with the clergy at least fourteen (14) days prior to any restrictions, and shall restore access as soon as possible.

Hospital Access Requirements

The Contractor shall maintain the Emergency entrance to nearby Hospitals by way of a paved lane for emergency vehicles at all times for the duration of the project. The Contractor shall coordinate any access restrictions with the hospital administrator at least fourteen (14) days prior to any restrictions, and shall restore access as soon as possible.

Fire Station Access Requirements

The Contractor shall maintain emergency vehicle access to and from the fire station at all times. The Contractor shall coordinate with the Fire Station Commander at least seven days prior to any restrictions and shall restore access as soon as possible.

Police Station Access Requirements

The Contractor shall maintain emergency vehicle access to and from nearby police stations at all times. The Contractor shall coordinate with the Police Station Commander at least seven days prior to any restrictions and shall restore access as soon as possible.

City Park Access Requirements

The Contractor shall maintain access to nearby parks during park hours. Any restrictions shall be coordinated

with the appropriate Parks District Supervisor at least seven days in advance, and full access shall be restored as soon as possible.

Recreational Trail Crossing

The Contractor shall maintain the trail crossings safely open at all times, and shall maintain all special trail signs required.

Canal Access Road Requirements

Canal access and maintenance roads shall remain open at all times.

Any work that may affect this project shall be coordinated with the appropriate Agency contact at least 14 working days in advance.

Sanitation Pick-up

The Contractor shall provide sanitation pick-up for affected residents by relocating trash containers, or by providing alternative measures acceptable to the Sanitation Division of the City Public Works Department (602- 256-3310).

Bus Stops

The Contractor shall maintain all existing bus stop locations on this project in a safe manner, or provide alternate bus stop locations and related directional signage as required by the Inspector. Relocation of bus stops shall be coordinated through the area . Relocation of bus stops shall be coordinated through the City of Phoenix Public Transit Department, contact 602-534-6284 or 602-262-4087.

Flagging of Traffic

No flagging of traffic will be permitted during the peak traffic hours of 6:00 a.m. to 8:30 a.m. and 4:00 p.m. to 6:30

p.m. weekdays. If construction requires, intermittent flagging will be allowed from 8:30 a.m. to 4:00 p.m., if approved by City project inspector, to facilitate access for heavy construction equipment.

Traffic Control Plans

The Contractor shall submit a traffic control plan for approval, showing placement of all traffic control devices, including all conflicting signs to be covered/removed or relocated, or other features that may conflict with the placement of temporary signage.   This plan shall be professionally drawn on a reproducible medium, and shall be submitted to the Engineer two (2) weeks prior the contract start time or at the Pre-Construction conference, whichever occurs first.

Holiday Season Requirements

Restrictions near retail shopping areas on Major or Collector streets during the Holiday Season from November 23rd to January 1st will not be approved without pre-approval from the RMP Inspector. Contractor shall plan and coordinate their work schedule around this holiday season requirement.

Temporary Traffic Control Zone and Safety

At the Pre-Construction conference, the Contractor will designate an employee, other than the Project Superintendent, who is knowledgeable in the principles and methods of proper traffic control and safety. This employee will be available on the project site during all periods of construction to coordinate and maintain safe, acceptable and effective temporary barricading whenever construction affects traffic. This person will be authorized to receive and fulfill instructions from the Engineer and will supervise and direct traffic control. Instructions and information given by the Engineer to this person will be considered as having been given to the

Contractor.

Failure to maintain temporary traffic control devices in accordance with the City of Phoenix Traffic Barricade Manual, latest edition, the approved Traffic Control Plan, and directives by the Engineer will result in suspension of work and/or civil sanctions until deficiencies are corrected to the satisfaction of the Engineer.

Safety Fencing Requirement for Trenches and Excavations

The Contractor will provide safety construction fencing around all open trenches and excavations during all non- working hours.

The Contractor will provide for the safety and welfare of the general public by adequately fencing all excavations and trenches that are permitted by the Engineer to remain open when construction is not in progress.

Fencing will be securely anchored to approved steel posts located six feet on centers, having a minimum height of six feet, and will consist of wire mesh fabric of sufficient weight and rigidity to adequately span a maximum supporting post separation of six (6) feet.

The fencing, when installed about the periphery of excavations and trenches, will form an effective barrier against intrusion by the general public into areas of construction. Fencing will not create sight distance restrictions or visual obstructions. At all times when construction is not in progress, the Contractor will be responsible for maintaining the fencing in good repair, and upon notification by the Engineer, will take immediate action to rectify any deficiency. Prior to the start of any excavating or trenching required for the execution of the proposed work, the Contractor will submit to the Engineer for approval, detailed plans showing types of materials and methods of fabrication for the protective fencing.

There will be no separate measurement or payment for furnishing, installing, or maintaining protective fencing. The cost will be considered incidental to the cost of the pipe and/or structures.

403.4STREETLIGHTING

It is the intent of the City of Phoenix to maintain a minimum of one (1) side lighting at all times during construction. The Contractor shall coordinate with Salt River Project and the Engineer to accomplish this task.

424  – PARKWAY GRADING

424.1  DESCRIPTION: Delete in its entirety and replace with the following:

This grading shall include all work necessary to bring the surface of the site to the grade and cross-sections shown on the plans or as directed by the Engineer. This work shall occur after the initial Roadway Excavation and Fill Construction (Mass Grading) has occurred.

424.2  ROUGH GRADING: Delete (A) in its entirety and replace with the following:

(A)    Fill material shall contain no rocks over one-inch (1”) in diameter, broken concrete, or debris of any nature.

430  – LANDSCAPING AND PLANTING

430.1  DESCRIPTION: Add the following:

The work under this section shall consist of furnishing all labor, materials, and equipment to install native seeding, decomposed granite, trees, shrubs, and ground covers as designated for installation.

430.2.1 Source Quality Control: Add the following to the list of materials to be certified:

Decomposed Granite

Add the following:

Certification shall indicate suppliers name, address, telephone number, date of purchase, name, model number and technical description of item purchased, and quantity of each item purchased.

Add the following to Subsection 430.3 PLANT ESTABLISHMENT GUARANTEE AND MAINTENANCE and

Subsection 430.15 MEASUREMENT AND PAYMENT:

430.3  PLANT ESTABLISHMENT GUARANTEE AND MAINTENANCE: Delete the first paragraph of the COP supplements to MAG and replace with the following:

Unless otherwise authorized, the Contractor shall maintain all landscape areas on a continuous basis as they are completed during the course of work and until final Plant Establishment Guarantee and Maintenance Acceptance. The contractor shall provide adequate personnel to accomplish maintenance. Maintenance shall include keeping the landscape areas free of debris on a weekly basis, chemical and manual control of weeds and pests, and fertilization as needed, cultivating the planting areas, and mowing of turf where lawns are part of the project.

Add the following:

430.3.1   Landscape Maintenance Requirements: The contractor shall provide a maintenance schedule for the duration of the maintenance period to the Engineer for review and approval. The maintenance schedule shall include the following:

• the specific day of the week and the specific time the Landscape Maintenance will occur and expected duration of time on the project site

• the specific activities that will be taking place at each maintenance visit

Landscape Maintenance shall be in accordance with MAG Standard Specifications and City of Phoenix supplements to MAG and shall include, but not be limited to, mowing of turf areas, dethatching of turf areas, aerification of turf areas, inspection of plant materials, grooming of inert ground cover, pesticide and herbicide applications, and inspections of the irrigation systems with appropriate repairs, replacements, and adjustments as required for a fully operational irrigation system able to provide 100% water coverage to plant materials. Irrigation modifications shall be reviewed and approved by the Engineer prior to the work being completed. Any modifications to the irrigation systems shall be as-built by the Contractor.

Unless otherwise authorized, the Contractor shall maintain all landscape areas, as he completes them during the course of work, on a continuous basis and until Engineer’s final project acceptance. The Contractor shall provide adequate and experienced personnel to accomplish the maintenance.

430.3.1.1   Tree and Shrub Care: The Contractor shall inspect the plants at least once per week and perform appropriate maintenance. Maintain trees and shrubs in a healthy, growing condition by performing necessary operations, including the following:

430.3.1.2   Pruning: Prune and shape only as necessary to maintain the usual form of the plant, to stimulate growth, to maintain growth within space limitations, to retain required height and spread, to provide for sight visibility, and to maintain a natural appearance. Prune, thin out and shape trees and shrubs in accordance with standard horticultural practices. Unless otherwise directed by the Engineer, do not cut tree leaders, and remove only injured or dead branches. All pruning shall occur per the direction of the Engineer. All pruning shall be by a certified arborist or under the direct supervision of a certified arborist. Contractor shall submit certifications of arborist to the Engineer for review and approval a minimum of 10 working days prior to any pruning activities taking place.

Remove from site any excessively pruned or malformed stock resulting from improper pruning and replace at no additional cost to the Contracting Agency. Do not shear plant material. Any plant material improperly maintained, as determined by the Engineer, the Contractor shall remove and replace at no additional cost to the Contracting Agency.

430.3.1.3  Staking: Inspect stakes weekly and adjust or remove as necessary.

430.3.1.4   Weed Control: In groundcover area, keep areas free of weeds. Use recommended, legally approved, herbicides whenever possible. Avoid frequent soil cultivation. Keep all landscape areas free of broadleaf and grassy weeds with pre-emergent and/or selective contact herbicides. Cultivating or hoeing weeds will not be allowed practice. The Contractor shall eradicate all noxious weeds or the Contracting Agency will not accept the project.

The Contractor shall notify the Engineer 48 hours prior to the application of any chemical treatments. Qualified personnel shall do chemical mixing and use the application equipment in the presence of the Engineer. An Arizona pesticide licensed contractor shall perform all chemical control. The Engineer shall approve the personnel, materials and methods of application of chemicals prior to beginning the operation.

430.3.1.5    Granite Areas: Inspect landscape granite weekly. Remove man-made debris, weeds, and grass controlled with chemicals. Any erosion that has occurred in granite areas will be the responsibility of the Contractor to remedy, repair, and replace granite.

430.3.3 Plant Guarantee and Replacement:   All plant material and installation, exclusive of trees, shall be 100% guaranteed by the Contractor for an additional 90 Calendar Days following completion of the Plant Establishment and Maintenance Period and the acceptance of the planting areas by the Engineer.

Contractor shall replace plants within seven days of notification from the Engineer. Remove and replace dead, damaged or vandalized plants within seven days of notification. Install replacement plants of the same kind and size as originally specified and as described in the contract documents.

All tree material and installation shall be 100% guaranteed by the Contractor for an additional 365 Calendar Days following completion of the Plant Establishment and Maintenance Period and the acceptance of the planting areas by the Engineer.

Contractor shall replace trees within seven days of notification from the Engineer. Remove and replace dead, damaged or vandalized trees within seven days of notification. Install replacement trees of the same kind and size as originally specified and as described in the contract documents.

430.3 PLANT ESTABLISHMENT GUARANTEE AND MAINTENANCE

Prior to final acceptance of the landscaping, the Contractor shall provide the City of Phoenix Parks, Recreation & Library Department with all water and electrical account numbers and billing information. Final acceptance will not be granted until this information is given to the Accounting Division of the Parks Department at 200 West Washington Street in Phoenix, (602) 495-5191.

430.15 MEASUREMENT AND PAYMENT

Measurement and payment for plant establishment guarantee and maintenance shall be on a monthly basis for acceptable landscape maintenance under the bid item “PLANT ESTABLISHMENT GUARANTEE AND MAINTENANCE”. No payment shall be made for unacceptable maintenance. When acceptable corrections have been made for the monthly inspection, the monthly payment will be released. Upon final acceptance, the final monthly payment will be made.

430.4 JOB CONDITIONS: Add the following:

Provide proper surface drainage within all planted areas. Any grading conditions found in the plans or specifications, in obstructions on the site, or in prior work done by another party that the Contractor feels

precludes establishing proper drainage, shall be brought to the attention of the Engineer in writing for resolution.

430.4.3 Existing Surface Soils (Borrow Excavation): Add the following:

Existing surface soils shall be prepared in accordance with Section 425.

430.8  PREPARING THE SITE FOR LANDSCAPING: Delete the second sentence of the third paragraph City of Phoenix MAG supplements and replace with the following:

Removal includes digging out stumps and roots to a depth as specified in Section 201.

430.9   HEADER INSTALLATION: Delete the second sentence of the second paragraph City of Phoenix MAG supplements and replace with the following:

Concrete shall be as specified on the plans. If no class is specified on the plans concrete shall be a minimum of Class A.

430.10.1 Deciduous and Evergreen Plantings: Delete the second sentence of the first paragraph City of Phoenix MAG supplements and replace with the following:

The size of the pits shall be two and one-half (2 ½) times the diameter of the plan root ball or container size, and only as deep as the rootball.

Delete the second sentence of the second paragraph City of Phoenix MAG supplements and replace with the following:

If any pit has not substantially drained, install a rock caisson. Each caisson shall have a four-foot deep (4′) by 8- inch (8″) diameter hole filled with AASHTO No 57 Stone filled to the bottom of the pit. Increase the depth of the caisson to eight feet if encountering ground water, caliche, or impervious rock. No separate measurement or payment will be made for the installation of rock caisson.

Add the following sentence before the first sentence of the fourth paragraph to the City of Phoenix MAG supplements :

All planting pits shall be completely filled with water and allowed to completely drain so that all sides and bottom soil of planting pit is thoroughly moist prior to any plant being installed.

Delete the fifth paragraph of the City of Phoenix MAG supplements :

Add the following to the sixth paragraph of the City of Phoenix MAG supplements :

All growth stakes directly adjacent to tree or shrub trunks shall be immediately removed after planting. Any plant tags or labels shall be removed from all plants after planting.

430.11.1 Soil preparation and Fine Grading New Turf areas: Delete the fourth paragraph of the City of Phoenix MAG supplements and replace with the following:

Apply a pre-blended starter fertilizer specially formulated for lawns and turf grass establishment. Fertilizer analysis (N-P-K) shall be 24-24-4. Contractor may sample and test turf areas for nutrient requirements and adjust application rates of fertilizer and fertilizer analysis blend at no additional cost to the Contracting Agency. Apply at the rate of 4 pounds per 1000 square feet. Apply additional fertilizer as needed to provide a fully established lawn area; Contractor shall apply a minimum of one (1) additional fertilizer application at the end of the turf establishment or date agreed upon with the City. Establishing turf is the contractor’s responsibility.

430.12.1 Sod: Add the following to the first paragraph of the City of Phoenix MAG supplements :

Healthy living material only certified Turfgrass sod complying with ASPA specifications for machine cut

thickness, size, strength, moisture content and mowed height and fee of weeds and undesirable native grasses will be used. Provide viable sod of uniform density, color, texture, strongly rooted and capable of vigorous growth and development when planted. Thatch thickness shall not exceed ¼”.

Sod variety shall be Hybrid Bermudagrass “Midiron”

430.13   DECOMPOSED GRANITE AND RIVER RUN AREAS: Delete City of Phoenix MAG supplements in its entirety and replace with:

Decomposed granite shall be native, local, desert, decomposed granite stone at the size and color specified on the plans. The decomposed granite shall be from a single source, free from coating, clay, caliche or organic matter. Contractor shall provide Engineer with a one-ton sample of material spread on-site to the required depth as indicated on the plans as well as a gradation report showing that the proposed granite is in compliance with the required gradations for review and approval a minimum of 15 working days prior to installation. Color to be as indicated on plans.

Contractor must examine the subgrade, verify the elevations, and observe the conditions under which the work is to be performed. The existing grade shall be fine graded and raked free of organic matter and other debris one inch diameter and larger and then compacted.

Any existing weeds or Bermuda grass growing in designated landscape areas shall be treated with a post- emergent spray, such as “Round-up”, or an approved equal. Any existing or new trees or vegetation shall be protected from the spray drift. There will be no separate payment for the weed spraying. Bermuda grass or weeds must be completely eradicated from all areas of the landscape and where designated by the Engineer. The Contractor shall remove all non-planted vegetation from all areas designated to receive decomposed granite (by chemical or mechanical means) and maintain the designated areas “vegetation-free” for a minimum period of 40 working days prior to placement of the decomposed granite, or as specified by the Engineer.

All weed control products and herbicides shall be approved for use by the Engineer prior to any applications. Contractor shall submit copies of all manufacture specifications and application rates to the Engineer for review and approval prior to application. Herbicides and weed control shall only be performed by a licensed applicator; Contractor shall supply information on applicator to the Engineer for approval.

The sub-grade, prior to granite placement, shall be compacted to 85 percent of the maximum proctor density, as determined in accordance with the requirements of Arizona Test Methods 230 or 235, depending on the test method used to determine the compaction density (Sand Cone or Nuclear Method). Compaction testing and associated report shall be provided to the Engineer and sealed by a registered professional engineer specialized in geotechnical investigation with all cost for testing and report of results to be provided by the Contractor at no cost to the Contracting Agency.

Contractor shall apply three (3) applications of pre-emergent:

1. One application of pre-emergent herbicide prior to installing granite
2. One application after granite has been installed, compacted, and raked level
3. One application 30 Days prior to the end of the maintenance period

The Engineer is to be notified prior to all pre-emergent applications.

The pre-emergent herbicide shall be applied in the manner recommended by the manufacturer to prevent germination of noxious weeds, and shall be equivalent to Surflan, or an approved equal, and shall be applied at a rate specified by the manufacture to control weeds in an ornamental setting. Pre-emergent herbicide shall be applied to the designated granite areas, prior to the final water settling operation. Water to activate the pre-emergent herbicide shall be applied to the areas of the herbicide application as recommended by the manufacturer’s label. The amount of water specified by the manufacturer may be adjusted due to rainfall, if approved by the Engineer.

After the first application of pre-emergent the granite shall be installed and shall be rolled or raked to remove any irregularities, tire marks etc. Installation shall provide a two-inch depth of decomposed granite after compacting. During the final spreading and final grading operations, all surfaces within the decomposed granite areas shall be passed over by the spreading and grading equipment a minimum of 2-times. Equipment operations for spreading, grading, raking, chemical application, water settling, and any other operations shall be done in a manner that uniformly maximizes the vehicle(s) wheel compaction over the surface area. All vehicles used for spreading, grading and raking the decomposed granite shall have one set of wheels with floatation tires having a minimum width of 18-inches to allow equal compaction of the granite. The use or application of granite by any method (conveyor belt etc.) shall not relive the Contractor of providing granite compaction to a level approved by the Engineer. Methods of compacting such as rolling, water settling, etc., shall be approved by the Engineer.

After placing, spreading, compacting, and grading the decomposed granite the Contractor shall water settle the total thickness of the decomposed granite to remove the fine material from the surface. The water settling operation, noted above, shall be completed by applying water at minimum depth of one-half inch over the decomposed granite areas placed or as approved by the Engineer. This water settling technique can be used to water in the second application of pre-emergent in compliance with pre-emergent Manufacturer recommendations and as approved by the Engineer.

Unless otherwise specified in the drawings, granite finish grade shall be one inch (1”) below top of adjacent hardscape surfaces.

430.13.1  Stabilized Decomposed Granite shall be per the gradation and placed as shown on the project plans and details. All stabilized decomposed granite areas shall provide a smooth and even surface to the depths and limits as shown on the project plans. Contractor shall supply and place stabilized decomposed granite in 2-inch lifts and compact areas in colors as designated on the plans. Material shall be brought to optimum moisture content and processed with stabilizer in accordance with manufacture specifications per amount of material to be placed, per lift, prior to placement. Manufacturer and supplier of stabilizer shall be:

“Soiltac”

Soilworks www.soilworks.com (800) 545-5420

“Stabilizer”

Stabilizer Solutions www.stablizersolutions.com (800) 336-2468

Or City of Phoenix approved equal.

Decomposed Granite or 3/8” or 1/4″ crushed aggregate screenings

1. Sand and crushed stone shall consist of inert materials that are hard and durable, with stone free from surface coatings and deleterious materials. Gradation requirements shall be as follows:
2. Crushed Stone Sieve Analysis Percentage of Weight Passing a Square Mesh Sieve AASHTO T11- 82 and T2782

1/4″ MINUS AGGREGATE GRADATION

Contractor shall provide samples to the Engineer for all granite as specified above for approval by the Engineer a minimum of 30 days prior to placement.

Installer Qualifications: Installer to provide evidence to indicate successful experience in providing Stabilized Aggregate surface or ability to follow installation instructions.

Mock-ups:   Install 4 ft. wide x 10 ft. long mock-up of decomposed granite or 3/8” or 1/4“ minus crushed aggregate surfacing with stabilized additive at location specified by owner’s representative.

Compaction testing to be provided by contractor, one test per 2,000 square feet of base course.

431  – Landscape and Irrigation Restoration

Add the following new Section 431 Landscape and Irrigation Restoration as follows:

431.1  GENERAL: Contractor shall verify exact limits of disturbance with Engineer in all areas designated on the plans as Restoration Areas. All work shall be in accordance with these specifications and standard Sections 430 and 440.

Contractor shall salvage existing and provide new decomposed granite and salvage and reset all boulders in all disturbed areas. Contractor shall match color and gradation of any decomposed granite in these Restoration Areas, and supply new granite as necessary to bring disturbed areas back to original condition that shall be a minimum of 2 inches in depth and comply with the project plans, details, and special conditions. Contractor shall contact Engineer for review and approval of Restoration materials.

Contractor shall replace any existing concrete sidewalk, header, lighting and electrical components, etc. in all disturbed areas. Contractor shall match color, finish, and size of any concrete in these Restoration Areas and supply any concrete as necessary to bring disturbed areas back to original condition and shall be in compliance with the project plans, details, and special conditions. All replacement concrete shall be a minimum of MAG Class ‘A’ and shall be in accordance with MAG Standard Sections 300 and 700. Contractor shall contact Engineer for review and approval of Restoration materials. All electrical work shall be in conformance with MAG, NEC latest standards, and these Special Conditions.

The work shall also consist of reconstructing or repairing the existing irrigation system in areas designated on the plans. The Contractor shall be required to repair and or replace all disturbed or damaged irrigation components, returning their operation to 100 percent within 24 hours following initial disturbance of any of the irrigation components. The existing irrigation that will be impacted includes the drip irrigation system for the trees, shrubs and ground covers. The work shall include furnishing and installing the various irrigation sleeving, piping, drip emitters, gate valves, electric control valves, wiring, and valve boxes, including required excavation and backfill at the designated locations shown on the project plans or as directed by the Engineer. All work shall be in accordance with the details shown on the project plans, or as directed by the Engineer and the requirements of these Special Conditions. The existing irrigation components shall be protected and maintained in their current condition where feasible or repaired, replaced, extended and reconnected in areas including but not limited to,

those areas that are disturbed during the construction, areas shown on the project plans or as directed by the Engineer. The Contractor shall be required to maintain water to all existing plant materials throughout the duration of the contract using repairs, reconnections, replacements or rerouting of the system as approved by the Engineer. The Contractor shall ensure that the entire existing and new irrigation systems within the project limits are operational and functional and shall test and receive approval from the Engineer prior to proceeding with any other related work. The Engineer shall inspect and give approval prior to backfilling.

Construct the irrigation system using the emitters, valves, piping, fittings, controllers, wiring, and other components, of sizes and types to match existing equipment and as called for in these specifications. The system shall be constructed to grades and conform to areas and locations as shown on the drawings.

All replacement or repair materials shall match the existing damaged materials. Irrigation materials and components shall be from the same manufacturer as originally installed. Emitters shall have the same volume output as original. PVC pipe may be from a different manufacturer but the grade shall be the same as originally installed. All mainline fittings shall be Schedule 80; all lateral fittings shall be Schedule 40.

431.2  CONSTRUCTION REQUIREMENTS:

431.2.1   Protection of Existing Vegetation: The work shall include the protection of all existing plant material. Contractor shall take great care to protect in place all existing plant material. Contractor shall replace in like kind and size any existing plant material removed, damaged, or destroyed at no cost to the Contracting Agency and to the satisfaction of the Engineer. The Contractor shall identify and the Engineer review existing plant materials within the disturbance areas. Salvage and relocate or replace all plant material in conflict with the project as designated in Restoration Areas in like kind and size per the direction of the Engineer.

Identify, protect, and maintain existing vegetation within the protected areas indicated on the Contract Drawings during the Contract from the Notice-To-Proceed to Final Acceptance. Perform the Work of this Section in accordance with the standards of the Tree Care Industry Association (TCIA). Do not perform any work within the protected areas unless approved by the Engineer. Do not store materials within the protected areas. Do not permit vehicle parking, foot traffic, or other activity not approved in writing by the Engineer within the protected areas. Provide labor and new and undamaged materials that constitute “Best Practice” to meet the letter and intent of this Contract. Follow the safety requirements of ANSI Z133.1.

431.2.2   Verification of Conditions: Prior to the start of construction, conduct on-site inspections of plants and vegetation with the Engineer, and identify and inventory the plants and vegetation that are to remain in place during this area tour. Field measure and stake Project improvements as needed for establishing the location and limits of disturbance.

431.2.3  Construction within Protected Areas:

431.2.3.1    Demolition and Construction Activities: Perform demolition and construction activities within protected areas in a manner that minimizes damage to tree roots and branches. Use hand tools where necessary. Make minimal use of construction equipment within the protected areas. Use such equipment within the protected area only when approved by the Engineer. Notify the Engineer 72 hours prior to the use of the equipment within the protected areas. Provide bridging materials, such as protective planking, in protected areas where such construction equipment operates. When utilities must be installed within protected areas, bore under the protected areas whenever possible instead of digging open trenches through them.

431.2.3.2   Excavating around Trees and Shrubs: Excavate around trees and shrubs within protected areas only where indicated on the Contract Drawings. When work that may impact protected plants occurs, plan the work to assure minimal disturbance to the plants, follow good horticultural practices, and direct pruning and wound treatment in accordance with this Section.

431.2.3.3   Protecting Root Systems: Protect root systems from damage due to run-off or spillage of noxious materials in solution during storage or construction activities. Protect root systems from flooding or soil erosion. Provide a minimum of 2 layers of untreated burlap as a covering over exposed root face areas. Do not disturb or

excavate protected root zone areas unless specifically authorized to do so by the Engineer. Where trenching for utilities is required within protected areas, excavate under or over roots by hand digging under the authority of the Engineer. If large roots are encountered, or if a condition potentially fatal to the plant is observed, notify the Engineer prior to continuing or commencing work. Do not cut main lateral roots or taproots, those 2-1/2 inches in diameter or greater; however, smaller roots that interfere with the installation of new work may be cut. Cut smaller roots with sharp pruning instruments, but do not break or chop roots. Excavate root systems by hand in areas where new construction is required within protected areas. Use a narrow-tine spading fork to expose roots. Cut exposed roots back from the new construction. Do not permit exposed roots to dry out before permanent backfills is placed. Provide temporary earth cover, or pack the roots with peat moss, and wrap the roots with burlap. Water and maintain the roots in a moist condition, and temporarily support and protect them from damage until they are permanently relocated and covered with backfill. Provide imported topsoil backfill to cover exposed roots in soil cuts. Do not overload root zones by placing backfill above the existing grade.

431.2.3.4    Protecting or Restoring Irrigation System: The work under this item shall consist of testing, reconstructing or modifying the existing irrigation systems that are damaged by the improvements.

Some information for the irrigation areas that are expected to be disturbed is available, however the data not been confirmed and contractor assumes all responsibilities for any damage caused by their actions to the existing system at no cost to the owner. The underground location of the irrigation facilities is unknown. The contractor shall take care to minimize disturbance to these areas.

Any work activities that require more than 48 hours of outage shall be coordinated with the Engineer for approval and alternate irrigation methods such as truck watering or temporary “rain for rent” systems will be required as directed by the Engineer. The cost of alternate irrigation methods necessary due to extended irrigation system outages will be at the contractor’s expense, at no cost to the Contracting Agency.

All work shall be in accordance with the details shown on the project plans, or as directed by the Engineer and the requirements of these Specifications. All work shall be inspected and approved by the Engineer prior to backfilling.

431.2.4   Repair/Restoration: Restore all landscape areas and other surface improvements that were to remain in place, but that have been damaged by the Contractor’s actions or omissions. Restore landscape areas as nearly as possible to the original condition.

431.2.4.1   Repairing Damaged Plants: Where damage to vegetation has occurred, prune plants in accordance with Tree Care Industry Association (TCIA) standards to remove branches from the work area, and where needed to maintain the health of the plant. Remove material in a manner that yields minimal impact and is approved by the Engineer.

431.2.4.2   Replacing Damaged Plants: Remove plants that were identified by the Engineer to remain in place, but that are damaged during the course of the work to an extent that they cannot be repaired; and replace the damaged plants with new plants of the same type and value. Remove and replace damaged plants as directed by the Engineer. Base the value of plants that are to be replaced on the criteria found in the Council of Tree and Landscape Appraisers’ “Guide for Plant Appraisal”, as evaluated by the Engineer. Remove and replace damaged plants at no additional cost to the Contracting Agency. Plants shall be replaced at the following sizes or as directed by the Engineer.

Existing Plant Material Size                       Replacement Size Trees:

2” Caliper                                                             24” Box

4” Caliper                                                             36” Box

6” Caliper                                                             54” Box

Shrubs:

All Existing Shrubs                                               5 Gallon

431.2.5   Cleaning: Clean up the ground areas under plants remaining in place as directed by the Engineer. Wash off foliage that becomes soiled, or when directed to do so by the Engineer. Remove materials that fall or flow into protected areas. Provide protective barriers as needed or as directed by the Engineer to prevent materials from falling or flowing into protected areas.

431.2.5.1    Waste Management: Gather and dispose of spoils and vegetative waste, including dead and damaged plants and the trimmings accumulated from the operations to clear and remove existing vegetation. Dispose of spoils and vegetative waste off-site in conformance with the regulations imposed by the local authorities, and in an area approved for such disposal by the local authorities.

431.2.6    Maintenance of Vegetation: Care for and maintain existing vegetation within protected areas as indicated on the Contract Drawings. Provide water and labor as needed for plant health, growth, and for washing down soiled foliage. Provide fertilizer, deep root fertilization, pesticides, anti-desiccants, and other materials and labor as needed to maintain the existing plants in a healthy and growing condition. Provide plant maintenance for the duration of the Contract, until Final Acceptance.

431.2.7   As-Builts: The Contractor shall keep and maintain separate record drawings (“field redlined as-builts”), corrected shop drawings, or other drawings necessary for the Engineer to show the landscape and irrigation work as constructed. These field redlined as-builts shall be kept on the worksite and they shall be maintained clear, accurate and current as changes occur that may differ with the bid set construction documents and addendums. All landscape and irrigation related elements buried or backfilled shall be recorded in the “field redlined as-builts” prior to burial and backfilling occurs. The Contractor shall submit the updated field redlined as-built plans with monthly pay estimates to the Engineer. Complete field redlined as-built plans that the contractor maintains shall be submitted to the Engineer in a format that will allow the Engineer to create the formal as-built plans. The Contractor shall submit the field redlined as-built plans to the Engineer prior to the end of each construction phase. No extra measurement or direct payment will be made for this work; the cost being considered included in the price of the contract items.

431.4 MEASUREMENT AND BASIS OF PAYMENT:

No separate measurement or payment will be made landscape and irrigation restoration the cost of which is considered included in the cost of the landscape and irrigation items of work.

423 – PLANT SALVAGE

Add the following new Section 432 PLANT SALVAGEas follows:

432.1   DESCRIPTION: This section outlines the requirements for complete salvage of existing on-site plant materials as indicated on the project plans.   This section outlines the requirements for the relocation, storage, and maintenance of salvaged plant materials. This section outlines the requirements for replanting and establishment of salvaged plant materials.

432.2    TREE BOXING, TRANSPORTING, AND MAINTAINING

432.2  REFERENCES:

432.2.1  Abbreviations and Acronyms:

AMQ: Acceptable Mortality Quantity.

432.2.2  Definitions:

Bottoming: The act of affixing the bottom material to the side boxing applied to the root ball of plant material to minimize the loss of soil from the bottom of the root ball.

Callus: The tissue that forms over the wounds of plants, protecting the inner tissues and causing healing.

Landscape Establishment Period: The time required for a species of plant to acclimate itself to its transplanted location.

Top Wood: Material affixed to the top of the side boxing applied to the root ball of plant materials to minimize movement of the plant and its root system, and to reduce loss of soil, during transportation and handling.

432.3  ADMINISTRATIVE REQUIREMENTS:

432.3.1   Coordination: The Contractor is responsible for the safety of the public, other contractors, and his/her crew members during the relocation operations.

432.3.2   Sequencing: Coordinate the salvage and replanting of the salvaged materials with anticipated phasing and sequencing of other construction activities. Submit methods for coordinating the plant salvage operations with other construction activities to the Construction Manager for approval. If the exact areas where plants are to be relocated are not immediately available, develop a temporary nursery or nurseries in the interim for storing the plants. Submit methods for developing the temporary nursery or nurseries to the Construction Manager for approval.

432.3.3  Submittals:

Action Submittals:

Submit the following to the Construction Manager for approval in accordance with the requirements of Section 100, Submittal Procedures:

Product Data:

• List of pesticide materials proposed for use, and their application methods and documentation.
• Fertilizer/nutrients.

Shop Drawings:

• Boxes for plants.

Delegated Design Submittals:

• Location of the temporary holding yard for storing salvaged plants.
• Equipment proposed for removing and transporting salvaged plants.
  • Methods for coordinating the plant salvage operations with other construction activities.
  • Methods for developing the temporary nursery or nurseries.
  •    List of mechanical and hand equipment to be used to accomplish salvage and replanting operations.
    • Location and layout of the temporary irrigation system to establish the plant material.

Qualification Statements:

• Plant Nursery Qualification Statement.
• Landscape subcontractor qualifications.

Informational Submittals:

Submit the following to the Construction Manager for information in accordance with the requirements of Section 105, Submittal Procedures:

Test and Evaluation Reports:

• Written record of plant salvageability discussion and decisions.

Site Quality Control Submittals:

• Daily Plant Salvage Log.
• Salvaged Plant Watering Log.

Qualifications:

The Construction Manager reserves the right to approve or disapprove of the offsite plant nursery based on review of the qualification statement.

Landscape Subcontractor Qualifications: Employ a landscape subcontractor licensed as a landscape contractor in the State of Arizona and in good standing. The licensed landscape subcontractor must have a minimum of 10 years experience relocating plants similar to those shown in the Contract Drawings, and must have a proven record of successful tree transplanting and survival rate of at least 80 percent for 3 years after transplanting.

Submit the landscape subcontractor qualifications to the Construction Manager for approval prior to initiation of any salvage operations, and include the following written documentation:

• A list of a minimum of 5 tree, shrub, salvaging projects the landscape subcontractor has satisfactorily completed, each of which involved the relocation of a minimum of 30 trees Include the dates of the project work; the type of equipment used; a description of the project and work performed; and the name and phone number of a contact person representing the agency, company, or owner for which the work was completed.

• A written record of successful tree transplanting demonstrating a survival rate of at least 80 percent for 3 years after transplanting.

432.4  DELIVERY, STORAGE, AND HANDLING:

432.4.1    Delivery and Acceptance Requirements: Transport the materials for the Work of this Section in compliance with all State and local requirements. Obtain all necessary permits and tags for transporting plant materials on public roadways. Make permits and tags available to the Construction Manager upon request.

432.4.2   Storage, Handling, and Irrigation Requirements:

Temporary Holding Yard: Prior to commencing plant salvage work, submit the location of a temporary holding yard and the proposed equipment for removing and transporting the salvaged plants to the Construction Manager for approval. Provide a fenced and secure temporary holding yard. Prevent damage to the salvaged vegetation boxes by grading the temporary holding yard to prevent ponding, to promote positive drainage away from the salvaged plant materials, and to control offsite runoff. Grade the nursery site to be level, with a slope no greater than 1 percent in any direction, and to safely retain all water within the established boundaries of the holding area. Use hand equipment and labor to keep the holding yard weed free. Using chemicals or herbicides within a 6 foot radius of salvaged plant material to combat weeds is not allowed.

Temporary Irrigation System: Provide a temporary irrigation system in the salvage plant holding yard and on the project site once plant material is replanted constructed using methods and materials that prevent rodents, insects, and pests from damaging and/or impeding the intent of the system’s operation. A water truck and hose is not an acceptable means of providing irrigation water. Provide a pressurized water source for watering plant material. Provide a water source capable of delivering the necessary water to the salvaged plant materials that require irrigation. Provide the water source for the life of the holding yard and until the plant material is fully reestablished after replanting. If a storage tank is provided for the purpose, it must be capable of providing sufficient water during a 24-hour period for the required irrigation without refilling based on the salvaged plant materials. Use an automatic controller or automatic controllers to insure a regular watering schedule. The temporary irrigation system shall be in place for no less than one (1) year from final project acceptance. Contractor shall remove all components of the temporary irrigation system at the end of the one year period unless otherwise directed by the City. Contractor and City may negotiate a contract modification to extend the temporary irrigation system if the City so desires.

Emitters: Distribute emitters evenly across the surfaces of the rootballs. If a drip irrigation system is proposed, design the system so no emitter point is capable of emitting water flows greater than 2 gallons per hour. Large boxes may need additional emitters. Record the date, time, and frequency of watering for each plant in a Salvaged Plant Watering Log, and submit this log to the Construction Manager on a weekly basis for information.

Store and maintain salvaged material at the approved holding yard until it can be planted in its new location. Provide optimum conditions for salvaged plants to overcome transplant shock and maintain viability throughout boxing and the storage period.

Plant Placement: In order to avoid sunburn damage, take care when plant material is placed in the holding area that the plant is placed facing the direction in which it originally grew. Properly orient the specified mark to the north side of the plant during placement. Do not allow lifting or replanting activities to damage or deform tree branches and canopies of salvaged trees.

432.5  SITE CONDITIONS:

432.5.1  Salvage Season:

Trees and Shrubs: Salvage and transport salvaged trees and shrubs to a temporary holding yard as specified between the dates of April 1 through September 30.

Existing Conditions: An Existing Plant Inventory and Salvage Summary appears in the Contract Drawings.

432.6  MATERIALS:

432.6.1   Boxes: The following material specifications for construction of box sides are based on storage and transportation requirements.

The following guidelines are for plants that are to be lifted upright as opposed to being tipped. If plants are to be tipped, modify the materials used to withstand the additional stress of being tipped.

Box Member Standards:

One inch members: Standard 1 by 12 Number 5 pine minimum.

Two inch members: Standard 2 by 6, or 2 by 12, economy grade minimum.

Provide Horizontal box members as follows:

• Up to a 60-inch box: 1 inch members.
• Over a 60-inch box: 2 inch members.

Provide Vertical box members as follows:

• Up to a 48-inch box: 1 inch members.
• Over a 60-inch box: 2 inch members.

Submit Shop Drawings of boxes to the Construction Manager for approval.

432.6.2   Pesticide: Provide materials approved by the governing regulatory agencies that are suitable for the identified needs. Submit a list of pesticide materials proposed for use, and their application methods and documentation.

432.6.3  Soil Sulfur: Provide agricultural dusting type of soil sulfur.

432.6.4  Fertilizer/Nutrients:

Provide the following types of fertilizer/nutrients:

• Slow release fertilizer: Provide 19/3/10 slow release fertilizer.

• Nutrient replacement for salvage trees:

Manufacturers: PHC BioPak (Artistic Arborist 602-2638889), or approved equal.

• Organic Compost:

Manufacturers: Western Organics (602-269-5756), or approved equal.

Submit Product Data for the fertilizer/nutrients to the Construction Manager for approval.

432.6.5   Plant Identification Tags: Provide heavy duty vinyl identification tags or plastic tape, color coded as specified. Provide tags and/or tape that does not damage or deface the plant materials being tagged and identified.

432.7  CONSTRUCTION REQUIREMENTS:

432.7.1   Verification of Conditions: Confine Work performed to within the Contract limits as defined by the Contract Drawings and Specifications and field verified by the Construction Manager.

432.7.2   Evaluation and Assessment: Protected plants within the Contract have been identified in the Native Plant Inventory and on the Existing Plant Inventory and Salvage Summary on the Contract Drawings. Flag all inventoried plants with plastic tape or vinyl tags to correspond to the determinations made in the plant Inventory in the following manner:

• White tape or vinyl tag – Plants to remain in place.
• Red tape or vinyl tag – Plants to be moved to another location.
• Blue tape or vinyl tag – Plants to be destroyed.

Maintain the identification tags or tape for the duration of the Contract and landscape establishment period.

Investigation of Plant Salvageability: Use accepted methods and equipment to investigate conditions in the area surrounding each plant, including all utility, soil, and rock conditions. If upon this investigation a plant is found to have a decreased chance of being successfully boxed and relocated, contact the Construction Manager and any other parties the City requires, to come out and review the field conditions. A decision will then be made as to whether the plant will be relocated. Individual decisions will be made for each plant in question. Substitution or other possible alternatives will be discussed at this time. Prepare and submit a written record of plant salvageability discussion and decisions.

Marking Orientation: Mark all plants to be salvaged on their north side to provide proper orientation during storage and planting. Apply a mark and use an installation process that does not damage or deface the salvaged plant materials. Apply a mark that is capable of withstanding poor weather and expected working conditions without the possibility of erasure or detachment for the duration of the Contract, including the plant establishment period.

Shaded Plant Material: Properly document all salvaged plant material originally growing in a shaded condition and subsequently transplanted to a nursery as “shaded plant material”. Place the “shaded plant material” in a shaded area or areas in the nursery created by using screening or other methods approved by the Construction Manager and sized to adequately store these materials. Gradually expose salvaged material documented as shaded plant material to continual sunlight during its period in the nursery and prior to being transplanted to its final location as approved by the Construction Manager.

432.7.3  Preparation:

Protect-In-Place Limits: The Construction Manager may direct that areas or features on or adjacent to the Site are to be protected by fencing, flagging, or staking in accordance with the limits of disturbance shown on the project plans. Contractor and Construction Manager shall agree upon on limits of disturbance prior to any work occurring on the project site. Provide the equipment, labor, and materials to define and protect such areas and features at no increase in Contract Price. Replace plant material to be salvaged that has been damaged or destroyed during pre-construction and construction activities with like-kind and size plant material as approved in advance by the Construction Manager and at no increase in Contract Price. The acceptable mortality quantity (AMQ) for each species as indicated in Section 432.7.6 for replacements applies to all plant materials identified as salvageable.

Surface Preparation: The Contractor is responsible for safety considerations of the public, the Construction Manager’s personnel, and the Contractor’s crew during relocation operations. Provide barricades as necessary during salvage operations to insure the safety of the public, other trades, and the salvage crew. Follow the safety requirements of ANSI Z133.1.

432.7.4   Salvage Operations: Prior to commencement of the plant salvage Work, submit a list of mechanical and hand equipment to be used to accomplish removing, transporting, and replanting salvaged plants to the Construction Manager for approval.

Watering: Provide adequate water to each plant during digging operations to maintain its optimum health.

Pruning:   Prune plants as needed; and hand dig, box, and relocate them to a temporary holding yard as specified. Prune plants to be relocated in a way that removes an amount of foliage proportionate to the root system that will be eliminated by the salvage operations. Prune plants so that an aesthetic framework of branches is left which preserves the size and best features of the plant so the plant will fill in for a balanced appearance. Use current standards for arboriculture. Remove dead and diseased branches at the direction of the Construction Manager

Excavating Plant Materials: Use only non-mechanized methods for the excavation of plants to be salvaged.

Saw roots off at the edge of the root ball with a sharp pruning saw. Excavate the root ball to be rectilinear, widest at the top and tapering toward the bottom in accordance with the industry standard.

Boxing Plant Materials: Hand dig and box plants as necessary, as indicated by Contract Drawings and Specifications, and as directed by the Construction Manager. Water plants as needed depending on the season or as otherwise instructed by the Construction Manager.

Box/Root Ball Size: Choose box sizes that will maximize the chances of survival for the roots but that are within economic constraints.

Base box sizes for trees/shrubs on Table 432-1.

Indicate the box size on flagging tape attached to the plant. Label the caliper of the tree and the identification (ID) number corresponding to the tag on the tree on the box itself.

Side Boxing: Provide side boxing consisting of 4 tapered box sides that enclose and preserve a rectilinear root ball, while exposing the top and bottom of the root ball with minimum damage to the root system. Secure the box sides with horizontal banding. Provide 3/4-inch wide steel strip banding with a minimum thickness of 0.025 inch. Pack dirt tightly into any space between the box sides and the root ball. Water thoroughly and repack dirt as needed.

Topwood:   Place topwood so it minimizes the movement of the plant and its root system, and reduces loss of soil. Securely anchor topwood to the box.

Bottoming: Leave plants side boxed for a minimum of 2 weeks and a maximum of 3 weeks, prior to bottoming. Bottom each plant after cutting the remaining roots, minimizing the loss of soil from the bottom of the root ball.

Removing and Transporting Salvaged Plants: Before salvaged plants can be transplanted to the indicated new locations or locations designated by the Construction Manager, the condition of the plant materials must be reviewed by the Construction Manager. In order for the condition of the salvaged plants can be reviewed, notify the Construction Manager prior to transplanting each salvaged plant to the indicated new locations. Remove and transport salvaged plants to the approved temporary holding yard without damaging the plant or box. Take care so that branches are not broken or otherwise damaged by equipment or while transporting the plant materials.

Repair and Restoration: Replace and/or repair, in kind, any plant material, geological, natural or manmade features disturbed or destroyed within or outside the limits of the Contract which were to be protected during transplanting operations. Repair damaged areas to their previous condition to the satisfaction of the Construction Manager. Fill-in and compact all pits left from removal of salvaged plants or as directed by the Construction Manager.

Temporary Holding Yard: At the completion of salvage and replanting efforts and activities, remove the temporary holding yard and the associated equipment as directed by the Construction Manager. Remove temporary fences, tanks, and other equipment used during the holding yard operation. Re-grade the temporary holding yard site to return it to its pre-construction conditions, including replacing ground plane treatment provided to be in compliance with Maricopa County Dust Control measures. Provide decomposed granite, apply a soil stabilization product, or re-establishment of native seed or ground cover. Prior to restoring the temporary holding yard to its pre-construction conditions, submit the proposed methods for t performing his Work to the Construction Manager for approval.

432.7.5  Replanting:

For replanting, follow the requirements set out in the relevant specification for each plant type in accordance with the requirements specified in Section 430 Landscaping and Planting. Replant salvaged materials approximately at their original growing depth, but not more than 2 inches higher than their original growing depth. For salvaged materials transplanted deeper than their original growing depth, the root collars must be in a callused condition, and replanting will require advanced approval from the Construction Manager.

432.7.6  Site Quality Control:

Daily Plant Salvage Log: Keep a daily log of all plant salvage related activities on the Contract. The daily log must contain a record of the number of trees that are dug and side boxed per day, and when bottoming and moving takes place. Refer to the plant inventory provided by the Construction Manager listing all plants to be boxed. Pre-printed log sheets will be available to record the necessary information. Submit the Daily Plant Salvage Log to the Construction Manager for approval weekly. The Construction Manager will observe salvage, transportation, and storage operations periodically to review overall conditions including compliance with accepted maintenance standards. The Work and equipment will be observed by the Construction Manager, and must be approved by him. The recorded Saguaro Cacti calibrated measurements, photographs, and visual inspections will be used as tools by the Construction Manager to determine if the health and/or vigor of the Saguaro cacti are in reasonably close conformity to the appearance each displayed prior to its initial removal and transplant. The Construction Manager will review transplanted material every month for overall condition. The

Construction Manager and the Contractor will together calculate the acceptable mortality quantity (AMQ) of each species. The acceptable mortality quantity (AMQ) for each species is determined by multiplying the assigned acceptable mortality quantity percent (AMQP) as indicated in Table 432-2 by the total species amount, and rounding the result down to the nearest whole number.

Non-Conforming Work: If the material inspected is deemed by the Construction Manager to be in unsatisfactory condition prior to completion of the Contract, replace the material with like kind and size at no increase in Contract Price.

If the acceptable mortality quantity (AMQ) is exceeded for any species, obtain replacement trees or saguaros of the same species and of equal size, quality, and caliper and/or height (saguaro) from other approved sources for the unacceptable plant materials. Replacement plant materials will likewise be observed by the Construction Manager, and are subject to the same inspection and acceptance requirements as salvaged plants. Remove salvaged and replacement plant materials determined to be unacceptable by the Construction Manager from the nursery and/or temporary holding yard within 15 working days from notification.

Cleaning: Clean up the debris from salvage operations, and remove it offsite in a legal manner.

Waste Management: Gather and dispose of spoils and vegetative waste, including dead and damaged plants and the trimmings accumulated from the operations. Dispose of spoils and vegetative waste offsite in conformance with the regulations imposed by the local authorities, and in an area approved for such disposal by the local authorities.

432.7.7  Maintenance:

Watering Salvaged Plants: Watering is the responsibility of the Contractor.

Salvaged Plant Watering Schedule: Water the plants as needed, depending on the season, to keep the plants healthy. Water plants 3 times a week from May through October. Water plants 2 times a week from November to April.

Boxed Material: Water boxed material until water runs from the bottom of the box to insure the soil is totally saturated. The entire root ball should be saturated in 4 hours.

Periodically check rootballs for excessive runoff caused by cavities in the soil and holes in box sides. Repack soil and repair boxes as necessary, causing minimal damage to the root ball.

Weeding and trimming:   Maintain the boxed plants in a weed free condition and trim all suckers at the base of the plants.

Pest Control: Spray trees with appropriate pesticides as directed by Program/Project Manager.

Irrigation: Check the irrigation system and delivery to each plant for proper function and distribution of appropriate water quantities.

Fertilization: Fertilize trees with 19-3-10 slow release fertilizer in late February and early July per Table 432-3.

Nutrient Replacement: Apply nutrient replacement to all trees and shrubs. Use one-half pound per 25 gallons of water for 2 applications at 30 Day intervals. For additional monthly applications use one-fourth pound per 25 gallons of water. Apply nutrient replacement to boxes per Table 432-4.

Mulching: Cover the top of the root ball of boxed plants with 4 inches of organic compost.

432.8  MEASUREMENT AND PAYMENT:

The basis of Measurement and Payment for salvaged plants is the price bid per each complete in place as shown on the project plans, details, and special conditions. Payment shall be full compensation for all labor, material, equipment, storage, maintenance, salvage, relocations, replanting, and incidental and appurtenant work for salvaging and relocating plant material.

434  – ADDITIONAL LANDSCAPE REQUIREMENTS

Add the following new Section 434 ADDITIONAL LANDSCAPING REQUIREMENTS as follows:

434.1  PLANT SWALES AND TREE STAKING

Prior to preparing plant swales and staking trees, the Contractor shall have a representative sample of tree and shrub swales, and tree staking inspected and approved by the Engineer and Landscape Architect for

conformance with project plans and specifications.

The Contractor shall correct any swales or staking that do not conform to the approved representative samples.

There will be no separate measurement or payment for swales or staking. The cost shall be considered incidental to the cost of the plant materials.

434.2                 TRIMMING NEWLY PLANTED TREES

The Contractor shall trim all newly planted trees as necessary prior to staking so that low branches are removed where standard trees are required. Trees shall be trimmed so that the tree is balanced and a central leader is maintained. When necessary, excess branching shall be thinned so that a strong branching structure will develop. The Contractor shall trim with a hand-held pruner. Trimming shall be done to the satisfaction of the Engineer and the Landscape Architect.

There will be no separate measurement or payment for trimming new trees. The cost of the work shall be considered incidental to the cost of furnishing and/or installing new trees.

434.3                 TRIMMING EXISTING TREES AND/OR SHRUBS IN PLACE

Where there are existing trees to remain in place, the Contractor is to perform any trimming operation required to maintain pedestrian clearance to a height of 7′ and to maintain sight visibility. Trimming which involves removal of branches over 3″ in diameter or removal of branches which will alter the structure of the trees shall be done by a person trained and Certified in the Practice of Arboriculture. The arborist shall present certification papers to the Engineer and Landscape Architect for approval upon request. If the tree(s) become damaged or disfigured as a result of the trimming, the Engineer and Landscape Architect may require that the tree(s) be removed and replaced in size and kind by the Contractor. Removal and replacement shall be done at the Contractor’s expense.

Trimming existing trees and shrubs in place includes trimming of branches or foliage which overhang existing walls or fences where the branches create a problem for pedestrian clearance or for visibility. Trimming of existing trees shall be done according to plans as noted and as directed by the Engineer and Landscape Architect.

There will be no separate measurement or payment for trimming existing trees in place. The cost of the work shall be considered incidental to the cost of the project.

434.4                 PRUNING ROOTS OF EXISTING TREES

If construction impacts the roots, trunk or branches of existing trees that are designated to remain in place, the Contractor shall take all necessary precautions to ensure the survival and protection of the tree. The Contractor shall hire a Certified Arborist to investigate the areas surrounding existing trees to be saved in place, and locate existing roots. Existing roots shall be excavated by hand, and hand-pruned as necessary to where the root is healthy. The Arborist shall also make necessary recommendations for care of the tree(s) with respect to root feeding, fertilizing, or any other items required to ensure survival.

The Arborist shall present certification papers for approval by the Engineer and Landscape Architect upon request.

There will be no separate measurement or payment for root pruning. The cost shall be considered incidental to the cost of the project.

434.5                 PROVIDE PROTECTION FOR EXISTING TREES

The Contractor shall be responsible for protecting existing trees to remain in place as tagged in the field and/or as noted on the plans. The Contractor shall provide fencing around all trees and plants which are to remain in

place that could be damaged by construction activity or equipment. Fencing shall be located as defined on the Landscape Inventory/Salvage Plan. The fencing shall provide protection to the trunks and limbs from damage that could be caused by construction activity or equipment.

Any trimming that is necessary to prevent construction damage to existing trees shall be pre-approved by the Landscape Architect. If the roots of existing trees could be affected in any way by construction they shall be hand excavated and trimmed as described in the Special Provision, “PRUNING ROOTS OF EXISTING TREES”. Root pruning shall also be pre-approved by the Landscape Architect.

The Contractor shall be responsible for all costs associated with protection of existing trees in place. If any damage occurs to trees or other plants to remain that, in the opinion of the Engineer and Landscape Architect, destroys, aesthetically disfigures, or threatens the plant’s future survival, the Contractor shall be responsible for replacing the tree in kind. Replacement trees shall be the same size as the damaged tree. Prior to selection of any replacement tree, the Contractor shall obtain approval of the size, type and purchase source from the Engineer and Landscape Architect.

There will be no separate measurement or payment for providing protection for existing trees and plants in place. The cost shall be considered incidental to the cost of the project.

440  LANDSCAPE IRRIGATION SYSTEM INSTALLATION,

440.1  GENERAL: Add the following:

The plans indicate a detailed layout of irrigation lines, laterals, and emitter locations; however, some of the piping may be shown diagrammatically outside of the planting areas for graphic clarity. The contractor shall follow the intent of the plan layout and shall review and obtain written approval from the Owner’s Authorized Representative for any requested changes.

The irrigation system shall be constructed using the emitters, valves, piping, fittings, and other components, of sizes and types as shown on the drawings and as called for in these specifications. The system shall be constructed to grades and conform to areas and locations as shown on the drawings.

A landscape maintenance period is a part of this contract and shall include monitoring of the irrigation systems on a weekly basis or more often as required to keep the system in proper operating condition. Maintenance activities shall include all controller adjustments, all repairs to any type of irrigation equipment installed as a part of the construction phase of the contract. All repairs to the irrigation system shall be completed within 24 hours notice of the required repair. Any loss of plant material due to irrigation system deficiencies shall be replaced with like sized and quality material.

The contractor shall maintain the work during construction and until the project is accepted.

If quantities are furnished either in specifications or on drawings, quantities are furnished for information only. It is Contractor’s responsibility to determine actual quantities of material, equipment, and supplies required by the project and to complete independent estimate of quantities and wastage.

Provide work and materials in accordance with latest edition of National Electric Code, Uniform Plumbing Code as published by the International Association of Plumbing and Mechanical Officials, and applicable laws, regulations and codes of governing authorities.

All irrigation equipment and materials shall be supplied by the manufacturers as indicated on the plans, details and specifications. If no manufacturer is specified, the contractor shall supply as part of his submittal package complete manufacturer cut sheets detailing materials, construction methods and standards

All materials utilized on this project are intended to be new and of the best grade available. No used, salvaged, reclaimed, remanufactured, or seconds will be accepted.

440.3 QUALITY ASSURANCES: Add the following:

The irrigation contractor shall be licensed by the State of Arizona with a K-21 classification “Landscaping and Irrigation Systems” license in good standing. The irrigation contractor shall also be a “Certified Irrigation Contractor” as certified by the Irrigation Association.

The irrigation contractor shall submit evidence of possession in good standing for the required licenses and certifications at the pre-construction meeting.

The irrigation contractor shall, at the pre-construction conference, submit the name of the project superintendent and the on-site foreman who will be in charge of daily project activities. The superintendent and foreman shall have a minimum of 5 years experience in the construction of similar projects in size and complexity.

The irrigation contractor shall not change the approved superintendent or on-site foreman without prior approval of the Engineer.

Once construction activities have commenced, it is the intention of this project that the job site be fully manned/staffed until the completion of the work without gaps in progress.

The contractor shall provide two week look ahead schedules of work site activities and material deliveries. Regularly scheduled weekly meetings shall be held to review the schedules, progress, quality control and other items as needed.

All materials and each part or detail of the work shall be subject to inspection by the Engineer. The Engineer shall be allowed access to all parts of the work and shall be furnished such information and assistance by the contractor as required to make a complete and detailed inspection.

The contractor shall schedule its operations to allow a reasonable amount of time for inspection of the work. The contractor shall not be entitled to additional compensation or an extension of the work time for delay resulting from such inspections.

All work found to be unacceptable or work or materials that were installed without inspection shall be removed and replaced at no additional cost.

Upon failure on the part of the contractor to comply with any order of the Engineer under provisions of this subsection, the Engineer will have the authority to cause unacceptable work to be removed and to deduct the costs from any monies due the contractor.

440.3.2 Coordinate Work with Other Trades: Add the following:

The irrigation contractor shall coordinate his work with the general contractor and the work of other trades conducting construction activities on the project site. The irrigation contractor shall receive grades plus or minus

0.10 foot of the finished grade of the project. Beginning work shall constitute acceptance of grade and soil conditions.

The irrigation contractor shall arrange his work and shall place and dispose of the materials being used so as not to interfere with the operations of the other contractors within the limits of the same project and on adjoining projects. The contractor shall join the contractor’s work with that of the others in an acceptable manner and shall perform it in proper sequence to that of the others.

440.4 SUBMITTALS: Add the following irrigation items to be submitted:

• Ball valves
• Backflow Preventers
• Irrigation Controller
  • Master Valve
  • Flow Sensor
  • Quick couplers
  • Turf Remote Control Valves
  • Drip Remote Control Valves
  • Turf Spray Heads
  • Single Outlet Emitters
  • Multi Outlet Emitters
  • Emitter Boxes
  • Rigid PVC pipes- all sizes and materials
  • Flex pipes
  • Distribution tubing
  • Pipe glue, primer, tapes
  • Fittings
  • Swing joints
  • Flushing end cap ball valves
  • Geotextile Fabric

440.4.2  Record Drawings: Add the following locations to be recorded:

• Sleeve locations

Add the following:

Do not permanently cover work until as-built information is recorded.

The record drawings shall show all changes in the Contract work, or work added, on these Record Drawings in a contrasting color, including work changed by Addendum or Bulletin

440.4.4 Operation and Maintenance Manuals: Add the following:

The controller programs shall include programming indicating which programs will be operated concurrently and the total; system flow during individual and concurrent run programs. All programs will include cycle and soak periods for slope and soil considerations to minimize runoff. Programs shall also demonstrate adherence to a 6 hour (10:00pm to 4:00am) water window.

Maintenance manuals shall include manufacturer’s parts sheets for all equipment installed. Provide an equipment source name address and phone number for each piece of equipment.

440.6.2  Trench Excavation: Replace the minimum depth over pipeline with the following:

1. Electrical Conduit for 120/240/480 volt conductors – 48 inches cover
2. Electrical conduit for irrigation control/communication – mainline depth or 20 inches minimum
3. Waterlines continuously pressurized:

• ¾” – 2”: 18 inches cover
• 2 ½” – 3”: 24 inches cover
• 4” – 6”:     36 inches cover
• 8” – 12”: 48 inches cover

1. Sleeving under pavement – 36 inches minimum

Add the following:

Pipe trenches shall be straight but if obstructions necessitate a change of direction, the limits of curvature for PVC pipe shall be followed in strict accordance with pipe manufacturer recommendations.

Trenches may be curved to change direction or avoid obstructions within the limits of the curvature for PVC pipe.

Minimum radii of curvature are 25 feet for 2-inch diameter pipe, 100 feet for 3- and 4-inch diameter pipe, and 150 feet for 6-inch pipe. All curvature results from the bending of the pipe lengths. No deflection will be allowed at a pipe joint.

440.6.4   Piping: Add the following:

All 3” and larger mainline pipes shall be Class 200 PVC rubber gasketed pipe conforming to ASTM-D-2241. All mainline piping 2 ½” and smaller shall be solvent weld schedule 40 PVC conforming to ASTM D-1785. All turf and drip lateral pipes shall be solvent weld schedule 40 PVC conforming to ASTM D-1785.

All fittings for use on 2 ½” and smaller mainline pressure pipe shall be schedule 80. Fittings for use on lateral piping shall be schedule 40. Only schedule 80 PVC fittings may be threaded. Use Teflon tape on threaded connections, pipe dope is not acceptable.

Fittings for use on 3” and larger pipe shall be deep bell ductile iron.

Install 3” detectable warning tape over all mainline pipes, 6” above the top of the installed pipe.

Install thrust blocks for fittings on pipe greater than or equal to 3-inch diameter or any diameter rubber gasketed pipe. Use 3,000 PSI concrete, 2-mil plastic, and No. 4 Rebar. Use cast-in-place concrete bearing against undisturbed soil. Size, orientation and placement shall be as shown on the installation details. Wrap fitting with plastic to protect bolts, joint, and fitting from concrete. Install rebar as shown on the installation details. Do not allow PVC to come in contact with the thrust block.

Use a joint restraint harness on pipe greater than or equal to 3-inch diameter or any diameter rubber gasketed pipe wherever joints are not positively restrained by flanged fittings, threaded fittings, and/or thrust blocks. Use a joint restraint harness with transition fittings between metal and PVC pipe, where weak trench banks or vertical directional changes do not allow the use of thrust blocks, or where extra support is required to retain a fitting or joint. Use bolts, nuts, retaining clamps, all-thread, or other joint restraint harness materials that are zinc plated or galvanized.

440.6.5  Wiring: Add the following:

Grounding for the irrigation controllers shall be a combination of a 5/8” x 8’ copper ground rod in conjunction with a 4” x 96” x .0064” copper ground plate, connect to controller with 6 AWG solid bare copper wires. Contractor shall Cadweld the connection to the grounding rod. Install per plan details. Provide each controller with a complete ground rod/ground strap combination.

Wire connections to remote control electric valves, flow sensors, moisture sensors and splices in the field, shall be made in the following manner and as shown on the details using Pen-Tite wire connectors and sealant:

(1)     Strip ends of wires and push wires through the holes of the base socket.

(2)     Twist wires together and mechanically bond together using crimp sleeve and crimp pliers.

(3)     Pull wire connection back into base socket as far as possible.

(4)     Apply sealant to outside of scaling plug, then fill cavity of sealing plug completely with sealant.

(5)     Push sealing plug into base socket, using slight twisting motion, until it bottoms.

(6)     Push wires unseating sealing plug. This assures cement completely sealing around wire insulation and waterproofing the connection.

It is important that the joint be absolutely waterproof so that there is no chance for leakage of water and corrosion build-up on the joint.

Each controller shall have its own common wire to respective valves. If placed in the same trench as pipes, the minimum horizontal separation shall be two (2) inches.

Each controller shall utilize pilot wires with an insulating jacket that is unique in color to that controller. Each controller shall utilize common wires that have a white insulating jacket with a stripe of color to match the pilot wire for that controller. Each controller shall utilize spare wires that are uniquely colored for that controller. See plans for wire color designations.

440.6.6   Valves, Valve Boxes, and Special Equipment: Add the following:

All valve boxes are to be green when in turf or tan when in granite.

440.6.7   Sprinklers, Bubblers, and Emitters: Delete the fourth paragraph in its entirety and replace with the following:

Emitter assemblies provide a connection to the 3/4” lateral line using a ½” S.D.R. 13.5, class 315 PVC (maximum length 15’), extension utilizing schedule 40 PVC fittings, and 1/2” flex hose riser (schedule 40)(maximum length 18”) with 1/2” threaded male adaptor to receive the emitter.

The 1/2” PVC will not be measured or paid and is to be considered included in the cost of the emitter assembly. The emitters shall be installed to the high side of the plant. Install emitters with the port quantity and flow rate as shown on the plans emitter schedule. Emitters shall extend 1/2” above finished grade. No use of 1/4” distribution tubing is allowed. Do not substitute multi-port emitters for single-port emitters.

Add the following:

Drip lateral flush end caps shall be installed at the end of the 3/4” drip lateral runs. Install at the locations shown on the plans per the plan details. Locate drip flush end caps within 10” round valve boxes. Where both tree and shrub drip laterals end at the same location it will be acceptable for both lateral line end caps to be located within the same 10” round valve box. No separate measurement or payment will be made for the flush end cap assembly as shown on the project plans the cost of which is considered included in other items of work.

440. 8 PRELIMINARY, SUBSTANTIAL AND FINAL WALK –THROUGH INSPECTIONS: Add the following:

The Contractor shall be responsible for controller, and emitter outlet adjustments for a period of ninety (90) days as described in the establishment period.

440.9 MEASUREMENTS AND PAYMENTS:

Add the following to subsection to the second paragraph:

(H) Quick Coupler Valve: The contract price for this item shall include the valve box, lid with stainless steel bolt, geotextile fabric, pea gravel sump, unitized PVC swing joint, galvanized or epoxy coated rebar, stainless steel clamps, and two sets of quick coupler keys with swivel hose bibs and locking cover keys.

(J) Multi-port and single-port emitter assemblies: The contract price for this item shall include the emitter,

½” schedule 40 PVC emitter lateral pipe, emitter box (Multi-port emitters) and all necessary fittings between the emitter and the ¾” PVC pipe shown on the drawings.

Add the following new section:

441  – IRRIGATION SLEEVING

441.1  DESCRIPTION:

Sleeving for under asphalt, concrete, pavements or other hardscape elements shall be sized and schedule as noted on the plans. If no size is provided the sleeve shall be a minimum of two times the aggregate size of the pipes to be installed within the sleeve.

Boring will be permitted only where sleeving must pass under obstructions which cannot be removed or when approved by the Engineer. Any boring operations will be at no additional cost to the Contracting Agency. When any cutting or removal of asphalt and/or concrete work is necessary, it shall be saw cut in accordance with MAG Section 601.2.7 and City of Phoenix supplements to MAG. When sleeving on the drawings is shown in paved area, but running parallel and adjacent to planted areas, the intent of the drawings is to install the sleeving in the planted area.

Extend sleeve ends twelve inches beyond edge of hardscape, or sidewalks. Cap sleeve ends and mark with rebar stakes. Provide rope or wire through sleeve and secure to rebar stake at surface grade at each end for future sleeve location.  Sleeve ends shall be covered with duct tape prior to backfill.

Asphalt cut and patch operations necessary for sleeve installation outside of the street prism between curbs shall be considered incidental to the sleeve installation. All asphalt cutting shall be done with proper equipment to allow straight and true cuts through the entire depth of the asphalt being removed. Contractor shall replace any patch work if the patch compacts more than ½” or if any of the patches becomes dislodged within one year. All asphalt shall comply with MAG section 336 and COP standard detail P1200 Type B “T-Top”.

Add the following new section:

513  – SITE FURNISHINGS

513.1  – DESCRIPTION:

Work specified in this item shall include all labor, equipment, and materials to provide and install the site furnishings as shown in the project plans and details and in accordance with the manufacturer’s specifications and these special provisions.

513.2  – GENERAL:

Site amenity manufactures listed in the plans are to establish a baseline for quality and desired aesthetic intent. Contractor may submit an equal substitution, for City approval, in accordance with MAG Standard Section 106.4 Trade Names and Substitutions.

513.3  – CONSTRUCTION REQUIREMENTS:

All site furnishings shall have shop drawings and submittals provided for review and approval by the City of Phoenix per MAG standard section 105 Control of Work. All site furnishings shall be placed in the field and have the layout reviewed and approved by the Engineer prior to final installation.

All site furnishings shall be installed per manufacture specifications and as shown on the project plans and details. All Site furnishings shall be mounted with stainless steel hardware. All mounting hardware shall be vandal resistant. Any nuts shall be tack welded to bolts.

Picnic tables, barbeque grills, benches, trash receptacles, and drinking fountains as shown on the plans will be measured per each unit installed, complete in place.

Volleyball courts complete in place as shown on the drawings, including all posts, nets, boundary lines, hardware, equipment, materials, labor, excavation, sand, geotextile fabric, concrete footings, concrete header and incidentals necessary for complete installation of the volleyball court will be measured per each court installed.

Basketball courts complete in place as shown on the drawings, including all posts, backboards and nets, hardware, equipment, materials, labor, excavation, post tensioned concrete slab, acrylic surfacing, concrete footings, and incidentals necessary for complete installation of the basketball courts will be measured per each court installed.

Exercise station complete in place as shown on the drawings, including all equipment, materials, labor, excavation, concrete footings, and incidentals necessary for complete installation of exercise station will be measured per each installed.

513.5 – PAYMENT:

Payment will be made as measured above for picnic tables, barbeque grills, benches, trash receptacles, and drinking fountains complete in place as shown on the drawings, including all hardware, equipment, materials, labor, excavation, concrete footings, and incidentals necessary for complete installation of the site furnishings.

Payment will be made as measured above for volleyball complete in place as shown on the drawings, including all posts, nets, boundary lines, hardware, equipment, materials, labor, excavation, sand, geotextile fabric, concrete footings, concrete header and incidentals necessary for complete installation of the volleyball court

Payment will be made as measured above for Basketball courts complete in place as shown on the drawings, including all posts, backboards and nets, hardware, equipment, materials, labor, excavation, post tensioned concrete slab, acrylic surfacing, concrete footings, and incidentals necessary for complete installation of the basketball courts

Payment will be made as measured above for the exercise stations complete in place as shown on the drawings, including all equipment, materials, labor, excavation, concrete footings, and incidentals necessary for complete installation of each exercise station.

515  – STEEL STRUCTURES

515.1  DESCRIPTION: Add the following:

The work under this item shall consist of furnishing all materials and labor and constructing Ramadas complete in place as shown on the plans and as described in these specifications. The work will also include furnishing signed and sealed construction drawings and structural calculations by a registered professional engineer licensed in the State of Arizona, which is specialized in structural engineering, for the ramada structure. The work will also include submitting the construction drawings of the ramadas to the City of Phoenix for permit review and obtaining and payment for all permit processes and fees.

The work under this item shall also consist of furnishing all materials and labor and constructing wash crossing and fencing complete in place as shown on the plans and as described in these specifications.

515.1.1  Shop Drawings: Add the following:

The contract drawings will not be used in any way, shape or form to develop the fabrication drawings.

Shop drawings for the steel structures and connections design, for erection details and methods shall be developed and submitted in accordance with Standard Section 105.2 Plans and Shop Drawings. Shop Drawings shall be unique drawings and not standard forms requiring filling in blank spaces unless all extraneous information is deleted and standard forms provide an exact description of work. All relative design information such as member sizes, welding details, construction details, erection details and general notes shall be clearly shown. Drawings shall have cross-referenced details and sheet numbers. The Contractor shall clearly indicate on the working drawings all shop welds and field welds.

Add the following:

515.1.5 Materials: Materials shall conform to the requirements specified on the plans and these specifications.

If a discrepancy exists between the project plans and these specifications the more stringent of the requirements shall prevail. The contractor shall furnish complete copies, in triplicate, of all mill reports on steel materials furnished.

All metal components shall be weathered steel in accordance with ASTM A242 and A588. Grade B with a minimum yield stress (Fy) of 46,000 psi.

Anchor bolts shall conform to the requirements of ASTM F1554. High strength bolts shall conform to the requirements of ASTM A325.

Concrete shall conform to MAG Class ‘A’, with a 28-day minimum compressive strength f’c, of 3,000 psi. Reinforcing steel shall conform to the requirements of ASTM A615 and be furnished as Grade 60.

Signage/Reflectors shall be in accordance with all MUTCD standards and City of Phoenix supplements.

Add the following:

515.3.1 Construction Requirements: The work under this item shall conform to applicable sections of the Standard Specifications as amended by these Special Provisions. Any concrete structures associated with steel structures shall be in accordance with Section 505 Concrete Structures.

The Contractor shall be responsible for reviewing all available geotechnical investigation reports. The geotechnical investigation reports are available at the City of Phoenix, 1034 East Madison, Phoenix, Arizona 85034.

515.3.1.2    Welding and Inspection: Welding of structural steel shall conform to the requirements of the American Welding Society (AWS), Structural Welding Code, D1.1 current edition.

Properly accredited, experienced certified welders, in accordance with the American Welding Society, shall perform all welding. Each welder shall submit to the Engineer satisfactory evidence of passing AWS qualification tests and maintenance of qualifications for welding structural steel joints in the positions required. Submit welding procedure specifications to the Engineer for review.

At minimum, at least one foot of weld for each size and type of weld and type of joint shall be tested using nondestructive testing (NDT). The entire weld shall be tested when rejectable discontinuities are found in any test length of the weld. All welds shall be visually inspected. Correct improper workmanship, remove and replace, or correct as instructed by the Engineer, all welds that are found unacceptable or deficient.

515.3.1.3   Fabrication: All vertical members shall be plumb and true after installation. Out of plumb tolerance shall be 1/8 inch per 10 feet.

515.5  PAINTING: Is modified to add:

Ramadas shall come primed and powder coated from manufacture.

515.6  METHOD OF MEASUREMENT: Delete and replace with the following:

Ramada (Large)(16’x42’) and Ramada (Small)(12’x12’)will be measured per Each complete unit of work including all labor, materials, equipment, excavation and backfill, concrete foundations, steel reinforcing, anchor bolt assembly and structural steel fabrication; including welding, testing, delivery and erection, paint and finishes.

Fence will be measured per Linear Foot complete unit of work including all labor, materials, equipment, excavation and backfill, concrete foundations, steel reinforcing, anchor bolt assembly and structural steel fabrication; including welding, testing, delivery and erection

No separate measurement or payment will be made for Access Barriers at headwalls the cost of which is considered included in the cost of the headwall.

515.7  PAYMENT: Delete in its entirety and replace with the following:

The accepted quantity of Picnic Ramadas, measured as provided above, will be paid by the contract unit price which shall be full compensation for the work, complete, as described above and as shown on the plans and details, including all labor, equipment and materials necessary to construct the Picnic Ramada. No separate measurement or payment will be made for production of construction drawings, permit review process, or permitting fees, the cost of which is considered included in the cost of the ramada itself.

The ramadas shall be bid as alternates to the Base Bid as indicated in the Bid Schedule. After award of the contract the City may select any or all of the following Bid Alternates to construct:

Bid Alternate 1 – Small Ramada #1(12’x12’) Bid Alternate 2 – Small Ramada #2 (12’x12’) Bid Alternate 3 – Small Ramada #3 (12’x12’) Bid Alternate 4 – Small Ramada #4 (12’x12’) Bid Alternate 5 – Large Ramada (16’x42’)

The accepted quantity of Fence, measured as provided above, will be paid by the contract unit price which shall be full compensation for the work, complete, as described above and as shown on the plans and details, including all labor, equipment and materials necessary to construct the fence. No separate measurement or payment will be made for production of construction drawings, permit review process, or permitting fees, the cost of which is considered included in the cost of the fence.

530 – PAINTING

530.8  SURFACE PREPARATION FOR PAINTING: of the Standard Specifications is modified to add:

Surface preparation shall be a minimum of SSPC-SP7, per project plans, details, as stated in other sections of MAG, or standard section 530.8. The stricter surface preparation requirements shall prevail.

530.9  PAINTING: of the Standard Specifications is modified to add:

Paint shall be per project plans, details, as stated in other sections of MAG, or standard section 530.9. The stricter painting requirements shall prevail.

Primer shall be a reinforced inorganic zinc rich primer Devoe Cathacoat 302H at 3-5 mils DFT, or approved equal.

Top coat shall be a high solids aliphatic polyurethane Devoe Devthane 379H at 3-5 mils DFT, or approved equal. Powdercoat Top Coat, when called for in the project plans, shall be TGIC polyester, powder coat shall be a at 3-

5 mills DFT. Any powder coat finish shall come with a compatible zinc rich prime coat from the same manufacture as the top coat.

530.11 PAYMENT: the first paragraph of the Standard Specifications is revised to read:

No separate payment will be made for the preparation of surfaces, shop prime coat and field touch-up coats on structural steel and miscellaneous metal items and shall be considered as included in the prices for the structural steel and miscellaneous metal items. No separate payment will be made for second and finish coats on structural steel or miscellaneous metal items shall be considered as included in payments for the structures. No separate payment will be made for cleaning all painting on miscellaneous metal items and shall be considered as included in the price for the item.

601 TRENCH EXCAVATION, BACKFILLING AND COMPACTION,

Add the following to Subsection 601.2.6 Grading and Stockpiling after the first paragraph:

During excavation, material suitable for backfilling shall be piled in an orderly manner, a sufficient distance back from the edges of trenches, to avoid overloading and to prevent slides or cave-ins. Material unsuitable for backfilling, or excess material, shall be hauled from the job site and disposed of by the Contractor.

Add the following new Subsection 601.2.9 Pavement and Concrete Cutting and Removal:

601.2.9 Pavement and Concrete Cutting and Removal: Where trenches lie within the Portland cement concrete section of streets, alleys, driveways or sidewalks, etc., such concrete shall be sawcut to neat, vertical, true lines in such a manner that the adjoining surface will not be damaged. The minimum depth of cut shall be 1

½ inches or ¼ of the thickness, whichever is greater.

Asphalt pavement shall be clean-cut with approved equipment and by approved methods in accordance with the requirements of Section 336.

No ripping or rooting will be permitted outside limits of cuts. Surfacing materials removed shall be hauled from the job site immediately, and will not be permitted in the backfill.

Add the following new Subsection 601.4.5 Cutting Newly Placed Pavement for Pipe Installation:

601.4.5 Cutting Newly Placed Pavement for Pipe Installation: In the event temporary or base course pavement must be cut in order to install pipe, the cost of sawcutting, removing and replacing the asphalt shall be considered incidental to the cost of the pipe.

Add the following new Subsection 601.6 PROTECTION OF EXISTING UTILITIES:

601.6.1 Utilities: Unless otherwise shown on the plans or stated in the specifications, all utilities, underground or overhead, shall be maintained in continuous service throughout the entire contract period. The Contractor shall be responsible and liable for any damages to or interruption of service caused by the construction.

If the Contractor desires to simplify his operation by temporarily or permanently relocating or shutting down any utility or appurtenance, he shall make the necessary arrangements and agreements with the owner and shall be completely responsible for all costs concerned with the relocation or shutdown and reconstruction. All property shall be reconstructed in its original or new location as soon as possible and to a condition at least as good as its previous condition. This cycle of relocation or shutdown and reconstruction shall be subject to inspection and approval by both the Engineer and the owner of the utility.

The Contractor shall be entirely responsible for safeguarding and maintaining all conflicting utilities that are shown on the plans (Sections 107 and 105 apply). This includes overhead wires and cables and their supporting poles whether they are inside or outside of the open trench. If, in the course of work, a conflicting utility line that was not shown on the plans is discovered, the Contracting Agency will either negotiate with the owner for relocation, relocate the utility, change the alignment and grade of the trench or as a last resort, declare the conflict as “extra work” to be accomplished by the Contractor in accordance with Section 104.

601.6.5      Electronic, Telephonic, Telegraphic, Electrical, Oil and Gas Lines: During trenching operations, underground facilities such as electronic, telephonic, telegraphic, electrical, oil and gas lines shall be supported and protected by the Contractor. Support for plastic pipes shall be continuous along the bottom of the pipe. Support for metal pipe and electrical conduit may be continuous or nylon webbing may be used for suspension at no greater than ten-foot intervals.

The Contractor shall avoid damaging any pipes, conduits or duct bank facilities during excavation, foundation and bedding placement, and trench backfilling and compaction.

601.6.6   Measurement and Payment:

There will be no measurement or payment for this work. The Contractor will include all associated costs in the unit bid price for the pipe installation.

702 – BASE MATERIALS

Add the following to MAG Section 702 BASE MATERIALS:

All Select Material specified on the plans and Standard Details shall be Type “A” in accordance with Table 702-1.

727 – STEEL REINFORCEMENT,

General: of the Standard Specifications is modified to add:

The quality, grade, type, size and quantity designed of steel reinforcement shall be in conformance with the details on the Project Plans, and in accordance with these special provisions and as directed by the Engineer.

757  – SPRINKLER IRRIGATION SYSTEM

Sprinkler Irrigation System shall conform to Section 757 of the MAG Uniform Standard Specifications and City of Phoenix Standard Specifications and Details except as modified herein.

757.1  General: Delete the third paragraph and replace with the following:

No steel or galvanized pipe or fittings shall be allowed for use on the project.

757.2.1   Plastic Pipe: Delete the first paragraph entirely:

757.2.2   Plastic Pipe: Delete the first paragraph and replace with the following:

Rigid Plastic Pipe shall be extruded from 100% virgin normal impact unplasticized polyvinyl chloride (PVC) Type I, Grade I or II resin 2000 psi (PVC 1120 or 1220). Design stress ASTM D1784, Department of Commerce PS- 21-70, PS-22-70, Standard Dimension Ration (SDR) 21 or greater than 200 psi. Pipe shall conform to ASTM D- 2241 and D-2672. See plans for application and exact grade.

Delete the sixth paragraph of and replace with the following:

Mainline piping up to and including 2 ½” size shall be schedule 40 solvent welded. All turf and drip lateral piping up to and including 3” size shall also be schedule 40 solvent welded. Mainline pipe 3” size and larger shall be SDR 21/Class 200 bell end (ring tite) conforming to ASTM F-477.

757.2.3   Pipe and Fittings:

Delete the first paragraph (A) and replace with the following:

(A)   Steel Pipe and fittings or couplings shall not be permitted on the project.

Delete the second paragraph (B) and replace with the following:

Plastic Pipe Fittings and Couplings: For all continuously pressurized mainlines up to and including 2 ½” in size all fittings shall be schedule 80. All lateral line pipe fittings shall be schedule 40. Only schedule 80 fittings shall be threaded. Plastic flange and saddle fittings are not permitted.

Delete the fifth paragraph (C) and replace with the following:

1. Copper Pipe shall be Type K, hard tempered, ASTM B88, with fittings of wrought solder joint type in

accordance with ANSI B16.22.

1. Solder joints with silver solder: 45 percent silver, 15 percent copper, 16 percent zinc, 24 percent cadmium and solidus at 1125 degrees F. and liquids at 1145 degrees F., conforming to ASTM B206 and FS QQB-655C.

757.3  Valves and Valves Boxes: Delete this subsection and replace with the following:

757.3.1  General Valve Boxes:

Valve Boxes:

1.             All valve boxes unless otherwise specified shall be constructed of rigid high density polyethylene (HDPE) resin, chemically inert plastic, and include UV inhibitors with 6-inch extensions available where required.

1.             All valve boxes covers unless otherwise specified shall be bolt down plastic T-style covers secured with a 3/8-inch stainless steel bolt, washer and nut. Apply the appropriate identifying letters and/or numbers with a heat-brand.

1.             Identification letters and numbers shall be 2 inches high and heat branded onto the box cover. Identification shall be as indicated on the detail drawings. Heat branding shall be accomplished using branding irons specifically designed for this purpose utilizing stencil number/letter outlines. Heat branding shall not weaken or in any way puncture the valve box cover.

1.             All valve box bodies and covers unless otherwise specified shall be green in color when located in turf areas, or tan in color when located in granite/desert areas, or purple in color when directed within plans to use with reclaimed water. Reclaimed water valve boxes shall have appropriate reclaimed water warnings embossed onto the cover in English and in Spanish, as well as the international “Do Not Drink” symbol.

1.             Round valve boxes unless otherwise specified shall be 10-inch diameter x 10 inches high. If higher round box is required, either an 18” high box shall be used or a 6” extension may be used if available.

1.             Round emitter boxes shall be 6 1/2 inches diameter x 8 3/8 inches high molded of structural foam polyolefin material with color and UV stabilizers added. Emitter boxes shall be used with multi-port emitter installations only and boxes along with covers shall be green in color when located in turf areas, or tan in color when located in granite/desert areas, or purple in color when directed within plans to use with reclaimed water.

1.             Rectangular valve boxes unless otherwise specified shall be 15 3/4 inches wide x 25 1/4 inches long x 15 1/4″ inches high. If higher rectangular box is required, a 6” extension may be used.

1.             Rectangular valve box at master valve shall be 26 1/4 inches wide x 37 3/4 inches long x 18 inches high and include polymer concrete ring adapter with polymer concrete flush cover.

1. Valve boxes used for irrigation equipment shall be as follows:

1. 10-Inch diameter round valve boxes shall be used for gate valves, ball valves, quick coupler valves, drip system flush end caps, and wire splice boxes if required.

1. 6-Inch diameter round emitter boxes shall be used for multi-port emitters only.

1. 15 3/4 Inches wide x 25 1/4 inches long x 15 1/4″ inches high rectangular valve boxes shall be used for all turf and drip remote control valve assemblies.
   1. 26 1/4 inches wide x 37 3/4 inches long x 18 inches high rectangular valve box shall be used for master valve installation only.

1.             Install valve boxes in planting areas and according to the construction details. Only one valve per box will be allowed. Align valve boxes at right angles to adjacent hardscape whenever possible. Where several valve boxes are located in the same area, arrange them in a uniform and orderly fashion. Valve boxes shall be installed with an 6-inch deep layer of 3/8-inch pea gravel at the base of the box over geotextile fabric. When grouped together, allow a minimum of 12 inches between valve boxes.

Add the following:

757.3.2  Ball Valves:

1. Ball valves 2-inch and smaller shall be of the brand, size and type indicated on the irrigation plans.
2. Ball valves shall have a one-piece body constructed of 600-lb WOG Bronze material conforming to ASTM B-584 alloy 844. Ball valve shall have a vented ball with a blowout proof system. Ball valves shall have a working pressure of not less than 150 P.S.I. and shall conform to AWWA standards.
   1. Ball valves shall include stainless steel handles

757.3.3  Gate Valves:

1. Gate valves 3-inch and larger shall be of the brand, size and type on the irrigation plans.
2. Gate valves shall be manufactured of epoxy coated ductile iron with EPDM rubber encapsulated ductile iron resilient wedge. The valve shall include a 2” square operating nut and non-rising stem. All fasteners shall be stainless steel.
3. Gate valves shall meet the requirements of ANSI/AWWA C515 with 250 psig rating.

757.3.9  Quick Coupler Valves:

1. Quick coupler valves shall be of the brand, size and type indicated on the irrigation plans.
2. Quick coupler valve shall have a body constructed of red brass with a wall thickness guaranteed to withstand normal working pressure of 150 P.S.I. without leakage, with female threads opening at base. Quick coupler valve shall have a hinge cover constructed of red brass with leather like vinyl cover bonded to it in such a manner that it becomes a permanent type of cover. Quick couplers shall include a swing joint and 10” round valve box.

757.3.10  Drip Equipment:

1. Emitters shall be non-pressure compensating type able to work with a maximum filtration of no more than 30 mesh. They shall be of the single and multi-port variety and shall deliver the flow volumes as shown on the plans and details.
2. The drip pressure regulator and filter assemble shall be constructed of brass. The regulator shall be adjustable and include a pressure gauge. The filter shall be a wye type with removable flush plug.

790 – PAINT

790.3  PAINT COATS: of the Standard Specifications is modified to add:

Paint coats shall be per project plans, details, as stated in other sections of MAG, or standard section 790.3. The stricter painting requirements shall prevail.

790.4  MATERIALS: of the Standard Specifications is modified to add:

Materials shall be per project plans, details, as stated in other sections of MAG, or standard section 790.4. The stricter materials requirements shall prevail.

790.5  MIXED PAINTS: of the Standard Specifications is modified to add:

Mixed paints shall be per project plans, details, as stated in other sections of MAG, or standard section 790.5. The stricter mixed paint requirements shall prevail.

EQUAL EMPLOYMENT OPPORTUNITY COMPLIANCE REPORTS

(Project, Training and Annual) Federal-Aid Projects

February 1, 1977; Revised July 1, 1978; Revised November 3, 1980

Revised April 15, 1981; Revised September 7, 1983;

Revised October 15, 1998; Revised August 1, 2005;

Revised March 1, 2015; Revised August 24, 2016

ANNUAL REPORT:

For each contract in the amount of $10,000 or more, and for each subcontract regardless of tier not including material suppliers, in the amount of $10,000 or more, the contractor and each subcontractor regardless of tier shall submit an annual Equal Employment Opportunity (EEO) Report containing all the information required on Form FHWA -1391.

The staffing figures to be reported should represent the project workforce on board in all or any part of the last payroll period preceding the end of July.

The report shall be submitted no later than August 15 to the agency (contract owner) compliance officer.

BECO Rev. 8-24-16                                                                                                                                                             EEO Compliance Reports

Federal-Aid Projects Sheet 1 of 1

D.B.E.C. – 1

Rev 9/21

FEDERAL REQUIREMENTS

SPECIFICATIONS:

All work shall also be performed in accordance with the following additional documents:

Required Contract Provisions for Federal-Aid Construction Contracts (Form FHWA 1273 Revised May 1, 2012)

Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246), July 1, 1978, Revised November 3, 1980 and Revised April 15, 1981,

Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246), July 1, 1978, Revised November 3, 1980 and Revised April 15, 1981,

Equal Employment Opportunity Compliance Reports, Federal-Aid Projects, February 1, 1977, Revised July 1, 1978, Revised November 3, 1980, Revised April 15, 1981, Revised September 7, 1983, Revised October 15, 1998, and

Revised January 1, 2005,

Federal-Aid Proposal (Notices to Prospective Federal-Aid Construction Contractors), September 29, 1975 Wage Determination Decision

Cargo Preference Act of 1954

F.R. – 1

ND30010030 / PA75200609                                                                                                                                                  Rev 9/21

FHWA-1273 — Revised May 1, 2012

REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS

1. General
2. Nondiscrimination
3. Nonsegregated Facilities
4. Davis-Bacon and Related Act Provisions
5. Contract Work Hours and Safety Standards Act Provisions
   1. Subletting or Assigning the Contract
   2. Safety: Accident Prevention
   3. False Statements Concerning Highway Projects
   4. Implementation of Clean Air Act and Federal Water Pollution Control Act
   5. Compliance with Governmentwide Suspension and Debarment Requirements
   6. Certification Regarding Use of Contract Funds for Lobbying

ATTACHMENTS

A. Employment and Materials Preference for Appalachian Development Highway System or Appalachian Local Access Road Contracts (included in Appalachian contracts only)

1. I.   GENERAL

1. Form FHWA-1273 must be physically incorporated in each construction contract funded under Title 23 (excluding emergency contracts solely intended for debris removal). The contractor (or subcontractor) must insert this form in each subcontract and further require its inclusion in all lower tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services).

The applicable requirements of Form FHWA-1273 are incorporated by reference for work done under any purchase order, rental agreement or agreement for other services. The prime contractor shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider.

Form FHWA-1273 must be included in all Federal-aid design- build contracts, in all subcontracts and in lower tier subcontracts (excluding subcontracts for design services, purchase orders, rental agreements and other agreements for supplies or services). The design-builder shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider.

Contracting agencies may reference Form FHWA-1273 in bid proposal or request for proposal documents, however, the Form FHWA-1273 must be physically incorporated (not referenced) in all contracts, subcontracts and lower-tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services related to a construction contract).

1. Subject to the applicability criteria noted in the following sections, these contract provisions shall apply to all work performed on the contract by the contractor’s own organization and with the assistance of workers under the contractor’s immediate superintendence and to all work performed on the contract by piecework, station work, or bysubcontract.
2. A breach of any of the stipulations contained in these Required Contract Provisions may be sufficient grounds for withholding of progress payments, withholding of final payment, termination of the contract, suspension / debarment or any other action determined to be appropriate by the contracting agency and FHWA.

1. Selection of Labor: During the performance of this contract, the contractor shall not use convict labor for any purpose within the limits of a construction project on a Federal-aid highway unless it is labor performed by convicts who are on parole, supervised release, or probation. The term Federal-aid highway does not include roadways functionally classified as local roads or rural minor collectors.

1. II.   NONDISCRIMINATION

The provisions of this section related to 23 CFR Part 230 are applicable to all Federal-aid construction contracts and to all related construction subcontracts of $10,000 or more. The provisions of 23 CFR Part 230 are not applicable to material supply, engineering, or architectural service contracts.

In addition, the contractor and all subcontractors must comply with the following policies: Executive Order 11246, 41 CFR 60, 29 CFR 1625-1627, Title 23 USC Section 140, the Rehabilitation Act of 1973, as amended (29 USC 794), Title VI of the Civil Rights Act of 1964, as amended, and related regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR

Parts 200, 230, and 633.

The contractor and all subcontractors must comply with: the requirements of the Equal Opportunity Clause in 41 CFR 60- 1.4(b) and, for all construction contracts exceeding $10,000, the Standard Federal Equal Employment Opportunity Construction Contract Specifications in 41 CFR 60-4.3.

Note: The U.S. Department of Labor has exclusive authority to determine compliance with Executive Order 11246 and the policies of the Secretary of Labor including 41 CFR 60, and 29 CFR 1625-1627. The contracting agency and the FHWA have the authority and the responsibility to ensure compliance with Title 23 USC Section 140, the Rehabilitation Act of 1973, as amended (29 USC 794), and Title VI of the Civil Rights Act of 1964, as amended, and related regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and 633.

The following provision is adopted from 23 CFR 230, Appendix A, with appropriate revisions to conform to the U.S. Department of Labor (US DOL) and FHWA requirements.

1. 1.  Equal Employment Opportunity: Equal employment opportunity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630, 29 CFR 1625-1627, 41 CFR 60 and 49 CFR 27) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23

U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor’s project activities under

this contract. The provisions of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO:

1. The contractor will work with the contracting agency and the Federal Government to ensure that it has made every good faith effort to provide equal opportunity with respect to all of its terms and conditions of employment and in their review of activities under the contract.

1. The contractor will accept as its operating policy the following statement:

“It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, pre-apprenticeship, and/or on-the- job training.”

1. 2.   EEO Officer: The contractor will designate and make known to the contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active EEO program and who must be assigned adequate authority and responsibility to do so.

1. 3.   Dissemination of Policy: All members of the contractor’s staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, orwho are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor’s EEO policy and contractual responsibilities to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum:

1. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor’s EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer.

1. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor’s EEO obligations within thirty days following their reporting for duty with the contractor.

1. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor’s procedures for locating and hiring minorities and women.

1. Notices and posters setting forth the contractor’s EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees.

1. The contractor’s EEO policy and the procedures to implement such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means.
2. 4.  Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: “An Equal Opportunity Employer.” All such advertisements will be placed in publications having a large circulation among minorities and women in the area from which the project work force would normally be derived.

1. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minorities and women. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority and women applicants may be referred to the contractor for employment consideration.

1. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, the contractor is expected to observe the provisions of that agreement to the extent that the system meets thecontractor’s compliance with EEO contract provisions. Where implementation of such an agreement has the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Federal nondiscrimination provisions.

1. The contractor will encourage its present employees to refer minorities and women as applicants for employment. Information and procedures with regard to referring such applicants will be discussed with employees.

1. 5.  Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed:

1. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel.

1. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory wage practices.

1. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimination. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons.

1. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with its obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of their avenues of appeal.

1. 6.  Training and Promotion:

1. The contractor will assist in locating, qualifying, and increasing the skills of minorities and women who are applicants for employment or current employees. Such efforts should be aimed at developing full journey level status employees in the type of trade or job classification involved.

1. Consistent with the contractor’s work forcerequirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. The contracting agency may reserve training positions for persons who receive welfare assistance in accordance with 23 U.S.C. 140(a).

1. The contractor will advise employees and applicants for employment of available training programs and entrance requirements for each.

1. The contractor will periodically review the training and promotion potential of employees who are minorities and women and will encourage eligible employees to apply for such training and promotion.

1. 7.  Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use good faith efforts to obtain the cooperation of such unions to increase opportunities for minorities and women. Actions by the contractor, either directly or through a contractor’s association acting as agent, will include the procedures set forth below:

1. The contractor will use good faith efforts to develop, in cooperation with the unions, joint training programs aimed toward qualifying more minorities and women for membership in the unions and increasing the skills of minorities and women so that they may qualify for higher paying employment.

1. The contractor will use good faith efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability.

1. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the contracting agency and shall set forth what efforts have been made to obtain such information.

1. In the event the union is unable to provide the contractor with a reasonable flow of referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minorities and women. The failure of a union to provide sufficient referrals (even though it is obligated to provide exclusive referrals under the terms of a collective bargaining agreement) does not relieve the contractor from the requirements of this paragraph. In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the contracting agency.

1. 8.   Reasonable Accommodation for Applicants / Employees with Disabilities: The contractor must be familiar with the requirements for and comply with the Americans with Disabilities Act and all rules and regulations established there under. Employers must provide reasonable accommodation in all employment activities unless to do so would cause an undue hardship.

1. 9.  Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procurement of materials and leases of equipment. The contractor shall take all necessary and reasonable steps to ensure nondiscrimination in the administration of this contract.

1. The contractor shall notify all potential subcontractors and suppliers and lessors of their EEO obligations under this contract.

1. The contractor will use good faith efforts to ensure subcontractor compliance with their EEO obligations.

1. 10.  Assurance Required by 49 CFR 26.13(b):

1. The requirements of 49 CFR Part 26 and the State DOT’s U.S. DOT-approved DBE program are incorporated by reference.

1. The contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the contracting agency deems appropriate.

1. 11.  Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following the date of the final payment to the contractor for all contract work and shall be available at reasonable times and places for inspection by authorized representatives of the contracting agency and the FHWA.

1. The records kept by the contractor shall document the following:

(1)  The number and work hours of minority and non- minority group members and women employed in each work classification on the project;

(2)  The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; and

(3)  The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minorities and women;

1. The contractors and subcontractors will submit an annual report to the contracting agency each July for the duration of the project, indicating the number of minority, women, and non-minority group employees currently engaged in eachwork

classification required by the contract work. This information is to be reported on Form FHWA-1391. The staffing data should represent the project work force on board in all or any part of the last payroll period preceding the end of July. If on-the-job training is being required by special provision, the contractor

will be required to collect and report training data. The employment data should reflect the work force on board during all or any part of the last payroll period preceding the end of July.

1. III.  NONSEGREGATEDFACILITIES

This provision is applicable to all Federal-aid construction contracts and to all related construction subcontracts of

$10,000 or more.

The contractor must ensure that facilities provided for employees are provided in such a manner that segregation on the basis of race, color, religion, sex, or national origin cannot result. The contractor may neither require such segregated use by written or oral policies nor tolerate such use by employee custom. The contractor’s obligation extends further to ensure that its employees are not assigned to perform their services at any location, under the contractor’s control, where the facilities are segregated. The term “facilities” includes waiting rooms, work areas, restaurants and other eating areas, time clocks, restrooms, washrooms, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing provided for employees. The contractor shall provide separate or single-user restrooms and necessary dressing or sleeping areas to assure privacy between sexes.

1. IV.   DAVIS-BACON AND RELATED ACT PROVISIONS

This section is applicable to all Federal-aid construction projects exceeding $2,000 and to all related subcontracts and lower-tier subcontracts (regardless of subcontract size). The requirements apply to all projects located within the right-of- way of a roadway that is functionally classified as Federal-aid highway. This excludes roadways functionally classified as local roads or rural minor collectors, which are exempt.

Contracting agencies may elect to apply these requirements to other projects.

The following provisions are from the U.S. Department of Labor regulations in 29 CFR 5.5 “Contract provisions and related matters” with minor revisions to conform to the FHWA- 1273 format and FHWA program requirements.

1. 1.   Minimum wages

1. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics.

Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph 1.d. of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period.

Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph 1.b. of this section) and the Davis-Bacon poster (WH–1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.

b.(1) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

(i)  The work to be performed by the classification requested is not performed by a classification inthe wage determination; and

(ii)  The classification is utilized in the area by the construction industry; and

(iii)  The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(2)    If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(3)   In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. The Wage and Hour Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or

will notify the contracting officer within the 30-day period that additional time is necessary.

(4)   The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs 1.b.(2) or 1.b.(3) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.

c. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.

d. If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.

1. 2.   Withholding

The contracting agency shall upon its own action or upon written request of an authorized representative of the Department of Labor, withhold or cause to be withheld from the contractor under this contract, or any other Federal contract with the same prime contractor, or any other federally- assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the contracting agency may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

1. 3.   Payrolls and basic records

1. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-

Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

b.(1) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the contracting agency. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (

e.g. , the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH–347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the contracting agency for transmission to the State DOT, the FHWA or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the contracting agency..

(2)  Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall

certify the following:

(i)  That the payroll for the payroll period contains the information required to be provided under §5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under §5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;

(ii)  That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3;

(iii)  That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract.

(3)  The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH–347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph 3.b.(2) of

this section.

(4)  The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of

title 31 of the United States Code.

c. The contractor or subcontractor shall make the records required under paragraph 3.a. of this section available for inspection, copying, or transcription by authorized representatives of the contracting agency, the State DOT, the FHWA, or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the FHWA may, after written notice to the contractor, the contracting agency or the State DOT, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.

1. 4.   Apprenticesand trainees

1. Apprentices (programs of the USDOL).

Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice.

The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed.

Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination.

In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

1. Trainees (programs of the USDOL).

Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration.

The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration.

Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed.

In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

1. Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30.
   1. Apprentices and Trainees (programs of the U.S. DOT).

Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal- aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program.

1. 5.  Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract.

1. 6.  Subcontracts. The contractor or subcontractor shall insert Form FHWA-1273 in any subcontracts and also require the subcontractors to include Form FHWA-1273 in any lower tier subcontracts. The prime contractor shall be responsible forthe compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5.

1. 7.  Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds fortermination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.

1. 8.  Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the Davis- Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract.

1. 9.  Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and

7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.

1. 10.  Certification of eligibility.

1. By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor’s firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

1. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

1. The penalty for making false statements is prescribed in the

U.S. Criminal Code, 18 U.S.C. 1001.

1. V.    CONTRACTWORK HOURS AND SAFETY STANDARDS ACT

The following clauses apply to any Federal-aid construction contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics include watchmen and guards.

1. 1.  Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in suchworkweek.

1. 2.  Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (1.) of this section, the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1.) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (1.) of this section.

3. Withholding for unpaid wages and liquidated damages. The FHWA or the contacting agency shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2.) of this section.

1. 4.  Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (1.) through (4.) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1.) through (4.) of this section.

1. VI.  SUBLETTINGOR ASSIGNING THE CONTRACT

This provision is applicable to all Federal-aid construction contracts on the National Highway System.

1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the contracting agency. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor’s own organization (23 CFR 635.116).

1. The term “perform work with its own organization” refers to workers employed or leased by the prime contractor, and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of a subcontractor or lower tier subcontractor, agents of the prime contractor, or any other assignees. The term may include payments for the costs of hiring leased employees from anemployee leasing firm meeting all relevant Federal and State regulatory requirements. Leased employees may only be included in this term if the prime contractor meets all of the following conditions:

(1)  the prime contractor maintains control over the supervision of the day-to-day activities of the leased employees;

(2)  the prime contractor remains responsible for the quality of the work of the leased employees;

(3)  the prime contractor retains all power to accept or exclude individual employees from work on the project; and

(4)  the prime contractor remains ultimately responsible for the payment of predetermined minimum wages, the submission of payrolls, statements of compliance and all other Federal regulatory requirements.

1. “Specialty Items” shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid or propose on the contract as a whole and in general are to be limited to minor components of the overall contract.

1. The contract amount upon which the requirements set forth in paragraph (1) of Section VI is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions.

1. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract requirements, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the contracting officer determines is necessary to assure the performance of thecontract.

1. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the contracting agency has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract.

1. The 30% self-performance requirement of paragraph (1) is not applicable to design-build contracts; however, contracting agencies may establish their own self-performance requirements.

1. VII.  SAFETY:ACCIDENTPREVENTION

T h i s p r o v i s i o n i s applicable to all Federal-aid construction contracts and to all related subcontracts.

1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the contractingofficer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract.

1. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3704).

1. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C.3704).

1. VIII.  FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS

T h i s p r o v i s i o n i s applicable to all Federal-aid construction contracts and to all related subcontracts.

In order to assure high quality and durable construction in conformity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal- aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, Form FHWA-1022 shall be posted on each Federal-aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project:

18 U.S.C. 1020 reads as follows:

“Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or

Whoever knowingly makes any false statement, false representation, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoever knowingly makes any false statement or false representation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supplemented; Shall be fined under this title or imprisoned not more than 5 years or both.”

1. IX.  IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT

This provision is applicable to all Federal-aid construction contracts and to all related subcontracts.

By submission of this bid/proposal or the execution of this contract, or subcontract, as appropriate, the bidder, proposer, Federal-aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows:

1. That any person who is or will be utilized in the performance of this contract is not prohibited from receiving an award due to a violation of Section 508 of the Clean Water Act or Section 306 of the Clean Air Act.
2. That the contractor agrees to include or cause to be included the requirements of paragraph (1) of this Section X in every subcontract, and further agrees to take such action as the contracting agency may direct as a means of enforcing such requirements.

1. X.  CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION

This provision is applicable to all Federal-aid construction contracts, design-build contracts, subcontracts, lower-tier subcontracts, purchase orders, lease agreements, consultant contracts or any other covered transaction requiring FHWA approval or that is estimated to cost $25,000 or more – as defined in 2 CFR Parts 180 and 1200.

1. 1.  Instructionsfor Certification – First Tier Participants:

1. By signing and submitting this proposal, the prospective first tier participant is providing the certification set out below.

1. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this

covered transaction. The prospective first tier participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency’s determination whether to enter into this transaction. However, failure of the prospective first tier participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction.

1. The certification in this clause is a material representation of fact upon which reliance was placed when the contracting agency determined to enter into this transaction. If it is later determined that the prospective participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the contracting agency may terminate this transaction for cause of default.

d. The prospective first tier participant shall provide immediate written notice to the contracting agency to whom this proposal is submitted if any time the prospective first tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

1. The terms “covered transaction,” “debarred,” “suspended,” “ineligible,” “participant,” “person,” “principal,” and “voluntarily excluded,” as used in this clause, are defined in 2 CFR Parts 180 and 1200. “First Tier Covered Transactions” refers to any covered transaction between a grantee or subgrantee of Federal funds and a participant (such as the prime or general contract). “Lower Tier Covered Transactions” refers to any covered transaction under a First Tier Covered Transaction (such as subcontracts). “First Tier Participant” refers to the participant who has entered into a covered transaction with a grantee or subgrantee of Federal funds (such as the prime or general contractor). “Lower Tier Participant” refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors andsuppliers).

1. The prospective first tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction.

1. The prospective first tier participant further agrees by submitting this proposal that it will include the clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions,” provided by the department or contracting agency, entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions exceeding the $25,000 threshold.

h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any lower tier prospective participants, each participant may, but is not required to, check the Excluded Parties List System website (https://www.epls.gov/), which is compiled by the General Services Administration.

1. Nothing contained in the foregoing shall be construed to require the establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of the prospective participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

1. Except for transactions authorized under paragraph (f) of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction forcause or default.

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1. 2.   Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion – First Tier Participants:

1. The prospective first tier participant certifies to the best of its knowledge and belief, that it and its principals:

(1)    Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency;

(2)    Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

(3)    Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (a)(2) of this certification; and

(4)    Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default.

1. Where the prospective participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to thisproposal.

1. 2.  Instructionsfor Certification – Lower Tier Participants:

(Applicable to all subcontracts, purchase orders and other lower tier transactions requiring prior FHWA approval or estimated to cost $25,000 or more – 2 CFR Parts 180 and 1200)

1. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below.

1. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

1. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances.

1. The terms “covered transaction,” “debarred,” “suspended,” “ineligible,” “participant,” “person,” “principal,” and “voluntarily excluded,” as used in this clause, are defined in 2 CFR Parts 180 and 1200. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. “First Tier Covered Transactions” refers to any covered transaction between a grantee or subgrantee of Federal funds and a participant (such as the prime or general contract). “Lower Tier Covered Transactions” refers to any covered transaction under a First Tier Covered Transaction (such as subcontracts). “First Tier Participant” refers to the participant who has entered into a covered transaction with a grantee or subgrantee of Federal funds (such as the prime or general contractor). “Lower Tier Participant” refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors andsuppliers).

1. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.

1. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions exceeding the $25,000 threshold.

1. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any lower tier prospective participants, each participant may, but is not required to, check the Excluded Parties List System website (https://www.epls.gov/), which is compiled by the General Services Administration.

1. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

1. Except for transactions authorized under paragraph e of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

* * * * *

Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion–Lower Tier Participants:

1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency.

2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

* * * * *

1. XI.  CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING

This provision is applicable to all Federal-aid construction contracts and to all related subcontracts which exceed $100,000 (49 CFR 20).

1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:

1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

1. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

1. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

1. The prospective participant also agrees by submittingits bid or proposal that the participant shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly.

ATTACHMENT A – EMPLOYMENT AND MATERIALS PREFERENCE FOR APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS ROAD CONTRACTS

This provision is applicable to all Federal-aid projects funded under the Appalachian Regional Development Act of 1965.

1. During the performance of this contract, the contractor undertaking to do work which is, or reasonably may be, done as on-site work, shall give preference to qualified persons who regularly reside in the labor area as designated by the DOL wherein the contract work is situated, or the subregion, or the Appalachian counties of the Statewherein the contract work is situated, except:

1. To the extent that qualified persons regularly residing in the area are not available.

1. For the reasonable needs of the contractor to employ supervisory or specially experienced personnel necessary to assure an efficient execution of the contract work.

1. For the obligation of the contractor to offer employment to present or former employees as the result of a lawful collective bargaining contract, provided that the number of nonresident persons employed under this subparagraph (1c) shall not exceed 20 percent of the total number of employees employed by the contractor on the contract work, except as provided in subparagraph (4) below.

1. The contractor shall place a job order with the State Employment Service indicating (a) the classifications of the laborers, mechanics and other employees required to perform the contract work, (b) the number of employees required in each classification, (c) the date on which the participant estimates such employees will be required, and (d) any other pertinent information required by the State Employment Service to complete the job order form. The job order may be placed with the State Employment Service in writing or by telephone. If during the course of the contract work, the information submitted by the contractor in the original job order is substantially modified, the participant shall promptly notify the State Employment Service.

1. The contractor shall give full consideration to all qualified job applicants referred to him by the State Employment Service. The contractor is not required to grant employment to any job applicants who, in his opinion, are not qualified to perform the classification of work required.

4. If, within one week following the placing of a job order by the contractor with the State Employment Service, the State Employment Service is unable to refer any qualified job applicants to the contractor, or less than the number requested, the State Employment Service will forward a certificate to the contractor indicating the unavailability of applicants. Such certificate shall be made a part of the contractor’s permanent project records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions covered by the certificate, notwithstanding the provisions of subparagraph (1c) above.

1. The provisions of 23 CFR 633.207(e) allow the contracting agency to provide a contractual preference for the use of mineral resource materials native to the Appalachian region.

1. The contractor shall include the provisions of Sections 1 through 4 of this Attachment A in every subcontract for work which is, or reasonably may be, done as on-site work.

REQUIRED CONTRACT PROVISIONS:

BIDDING REQUIREMENTS AND CONDITIONS:

Suspension from Bidding:

The City may suspend any person and any subsidiary or affiliate of any person from further bidding to the City and from being a subcontractor to a contractor or supplier or otherwise participating in the work:

(A)   If that person or any officer, director, employee or agent of that person is convicted, in this State, of any other jurisdiction, of a crime involving any of the following elements or actions:

(1)    Entering into any contract, combination, conspiracy or other unlawful act in restraint of trade orcommerce,

(2)    Knowingly and willfully falsifying, concealing, or covering up a material fact by trick, scheme, ordevice,

(3)    Making false, fictitious, or fraudulent statements or representations,

(4)    Making or using a false writing or document knowing it to contain a false, fictitious, or fraudulent statement or entry.

(5)    Misrepresentation or false statement on any application for bonding:

(6)    Misrepresentation or false statement on any application for prequalification; or

(B)   If the City makes a finding of any of the above or finds that the contractor is not a Responsible Bidder or a Responsible Contractor.

Under this Subsection, a person means any individual, partnership, joint venture, corporation, association or other entity formed for the purpose of doing business as a contractor, subcontractor or supplier.

The signature of the bid proposal by a submitter constitutes the submitter’s certification, under penalty of perjury under the laws of the United States, that the submitter, or any person associated therewith in the capacity of owner, partner, director, officer, principal investor, project director, manager, auditor, or any position involving the administration of federal funds, has not been, or is not currently, under suspension, debarment, voluntary exclusion or been determined ineligible by any federal agency within the past three years. Signature of the bid proposal also certifies, under penalty of perjury under the laws of the United States, that the submitter does not have a proposed debarment pending. In addition, signature of the bid proposal certifies that the submitter has not been indicted, convicted, or had a civil judgment rendered against (it) by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three years.

Any exceptions to the above paragraph shall be noted and fully described on a separate sheet and attached to the bid proposal.

Non-Collusion Certification:

Bidders making their submittal shall complete the “AFFIDAVIT BY CONTRACTOR CERTIFYING THAT THERE WAS NO COLLUSION IN BIDDING OF CONTRACT” form included within these project specifications. This form shall be executed by or on behalf of the person, firm, association or corporation submitting the bid, in the followingform:

The bidder certifies that, pursuant to Subsection 112(c) of Title 23, United States Code, and Title 44, Chapter 10, Article 1 and Title 34, Chapter 2, Article 4 of the Arizona Revised Statutes, neither it nor anyone associated with the company, firm, corporation, or individual has, either directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of full competitive bidding in connection with the above referenced project.

SCOPE OF WORK:

Intent of Contract:

(A)              COVENANT OF GOOD FAITH AND FAIR DEALING

This contract imposes an obligation of good faith and fair dealing in its performance and enforcement.

The Contractor and the City, with a positive commitment to honesty and integrity, agree to the following mutual duties:

(1)              Each will function within the laws and statutes applicable to their duties andresponsibilities.

(2)              Each will assist in the other’s performance.

(3)              Each will avoid hindering the other’s performance.

(4)              Each will proceed to fulfill its obligations diligently.

(5)              Each will cooperate in the common endeavor of the contract.

(B)              VOLUNTARYPARTNERING

The City of Phoenix Street Transportation Department intends to encourage the foundation of a cohesive partnership with the Contractor and its principal subcontractors and suppliers. This partnership will be structured to draw on the strengths of each organization to identify and achieve reciprocal goals. The objectives are effective and efficient contract performance and completion within budget, on schedule, and in accordance with plans and Specifications.

This partnership will be bilateral in makeup, and participation will be totally voluntary.

To implement this partner initiative prior to starting work, the Contractor’s management personnel and the City’s Engineering Supervisor will initiate a partnering development session. Persons required to be in attendance will be the City’s Engineering Supervisor and key project personnel; the prime Contractor’s on-site project manager and key project personnel; and principal subcontractor and supplier representatives.

Follow-up workshops may be held periodically throughout the duration of the contract as agreed by the Contractor and the City.

The establishment of a partnership charter on a project will not change the legal relationship of the parties to the contract, nor relieve either party from any of the terms of the contract.

(C)              VALUE ENGINEERING PROPOSALS

Value Engineering proposals may be submitted to the Engineer for modifying the plans, specifications, or other requirements of the contract for the sole purpose of reducing the total cost of construction without impairing in any manner the essential functions or characteristics of the project, including but not limited to service life, economy of operations, ease of maintenance, desired appearance, or design and safety standards.

After execution of the contract, a value engineering proposal may be recommended by the Contractor. A proposal may include modifications to the plans or specifications, construction phasing or procedures, or other contract requirements.

The Engineer reserves the right to make alterations to the contract, in accordance with MAG Specification Section 104.2.1. The Engineer will notify the Contractor in writing of any alterations to the contract. Such alterations shall not be eligible for inclusion in any value engineering initiatives or jointproposals.

A savings resulting solely from the elimination or reduction in quantity of a bid item will not be considered as a value engineering proposal. A savings resulting from the elimination or reduction in quantity of a bid item specified as part of a value engineering proposal will be considered.

The Contractor shall identify a value engineering proposal as such, and it shall contain, at a minimum, the following:

(A)         A description of both the existing contract requirements for performing the work and the proposed changes.

(B)         All engineering drawings and computations necessary for a thorough and expeditious evaluation.

(C)         An itemization of the existing contract requirements that must be changed if the proposal is adopted, and a recommendation as to the manner in which the change should be made.

(D)         A detailed estimate of the cost of performing the work under the existing contract and under the proposed changes, including the cost of implementing the changes.

(E)         The contract items affected by the proposed changes and any variations in quantities resulting from the changes, and any new items not listed in the bid schedule.

(F)         An objective estimate of any effects the proposal will have on collateral costs to the City, costs of related items, and costs of maintenance and operation.

(G)        A statement as to the effect that the proposal will have on the time for the completion of the project.

(H)         A statement in which the Engineer and Contractor jointly establish an acceptable period of time for evaluation of the proposal, and execution of a supplemental agreement. Any delays or extensions must be jointly approved by the Engineer and Contractor, or such proposal shall be consideredrejected.

(I)           A statement as to any contract time extension or time related costs which will be requested by the Contractor as a condition for implementing the proposed changes.

The City will not be liable for any delay in executing a supplemental agreement, nor for any failure to accept a value engineering proposal.

The Engineer will notify the Contractor in writing regarding acceptance or rejection of a proposal. The City’s decision will be final.

If the value engineering proposal is accepted in whole or in part, the necessary contract modifications and contract price adjustments will be made by the execution of a supplemental agreement which will specifically state that it is executed pursuant to the provisions of this subsection. The City will be the sole judge of the acceptability of a proposal, and of the estimated net savings in construction costs from the adoption of all or any part of the proposal.

The Contractor shall not perform any work described in the value engineering proposal until a supplemental agreement incorporating the proposal has been executed, or until the Contractor has been given written approval by the Engineer. If the supplemental agreement has not been executed, or the Contractor has not been given written approval on or before the date jointly determined above in paragraph (H), the proposal shall be deemed rejected.

The executed supplemental agreement shall incorporate the changes in the plans, specifications, or other requirements of the contract which are necessary to permit the proposal, or such part of it which has been accepted, to be put into effect, and shall include any conditions upon which the City’s approval thereof is based. The executed supplemental agreement shall also extend the time for the completion of the contract if, the extension was requested by the Contractor as a condition for implementing the proposal, and such an extension has been deemed warranted by the City.

The executed supplemental agreement shall also establish the estimated net savings in the cost of performing the work attributable to the value engineering proposal. In determining the net savings, the Engineer reserves the right to disregard the contract bid prices if, in the Engineer’s judgement, such prices do not represent a fair measure of the value of the work to be performed or deleted. The executed supplemental agreement shall provide that the Contractor be paid 50 percent of the estimated net savings amount. Administrative or construction engineering costs by the City will not be included in the determination of the estimated net savings. Changes in overhead costs by the Contractor resulting from the proposal, including related time reductions or extensions, shall not beallowed.

The amount specified to be paid to the Contractor in the executed supplemental agreement shall constitute full compensation to the Contractor for the value engineering proposal and the performance of the work thereof pursuant to the said supplemental agreement.

Upon acceptance of a value engineering proposal, any restrictions imposed by the Contractor on its use or on disclosure of the information shall become void, and the City thereafter shall have the right to use all or any part of the proposal without obligation or compensation of any kind to the Contractor.

ALTERATION OF WORK:

Suspensions of Work Ordered by the Engineer:

If the performance of all or any portion of the work is suspended or delayed by the engineer in writing for an unreasonable period of time (not originally anticipated, customary, or inherent to the construction industry) and the contractor believes that additional compensation and/or contract time is due as a result of such suspension or delay, the contractor shall submit to the engineer in writing a request for adjustment within seven calendar days of receipt of the notice to resume work. The request shall set forth the reasons and support for such adjustment.

Upon receipt, the engineer will evaluate the contractor’s request. If the engineer agrees that the cost and/or time required for the performance of the contract has increased as a result of such suspension and the suspension was caused by conditions beyond the control of and not the fault of the contractor, its suppliers, or subcontractors at any approved tier, and not caused by weather, the engineer will make an adjustment (excluding profit) and modify the contract in writing accordingly. The contractor will be notified of the engineer’s determination whether or not an adjustment of the contract is warranted.

No contract adjustment will be allowed unless the contractor has submitted the request for adjustment within the time prescribed.

No contract adjustment will be allowed under this clause to the extent that performance would have been suspended or delayed by any other cause, or for which an adjustment is provided or excluded under any other term or condition of this contract.

CONTROL OF WORK:

Claims:

(A)              Notice of Claim:

It is the purpose of this subsection that claims for additional compensation and any difference between the parties arising under and by virtue of the contract be brought to the attention of the Engineer at the earliest possible time and at the first responsible level to increase the possibility for such matters to be resolved or for appropriate action to be taken promptly. This section shall be construed to apply to all claims including, but not limited to, claims based on contract clauses as well as claims based on breach of contract or tort.

In the event any basis for additional compensation or time extension is perceived by the Contractor to have occurred, the Contractor shall give the Engineer immediate oral or written notice of such basis for additional compensation or time extension for the earliest possible decision, instruction, notice or action duly taken by the Engineer.

Should the Contractor disagree with any decision, order, instruction, notice, act or omission of the Engineer, the Contractor may submit a Notice of Claim to the Engineer. The Notice of Claim shall be submitted in writing within three working days after the Contractor has learned of the Engineer’s action regarding the occurrence or event and before the Contractor begins the work on which he/she based the claim. For projects on which the voluntary partnering process is followed, and the Contractor elects to file a claim, the Notice of Claim shall be submitted within three working days after the completion of the issue resolution process.

The Notice of Claim shall indicate, insofar as possible, the basis and the nature of the claim. If notification is not given, the Contractor hereby agrees to waive any claim for additional compensation. Within a 10-day period from the submission of the Notice of Claim, the Contractor shall submit in writing a projection of the Contractor’s additional costs resulting from the alleged incident. Such costs shall include both present and future costs resulting from the alleged incident.

At the time the Contractor gives written notice of his/her claim, the Contractor shall immediately begin to keep and maintain complete and specific records to the extent possible, including but not limited to, cost records concerning details of the perceived claim.

The Contractor shall give the Engineer access to any such records and, when so requested, shall furnish the Engineer copies of claim documentation.

Unless otherwise agreed to in writing, the Contractor shall continue with and carry on the work and progress during the pendency of any claim, dispute, decision or determination by the Engineer, and any mediation or arbitration proceedings, and the City will continue to make progress payments to the Contractor in accordance with the contract documents.

(B)              Submission of Claims:

As promptly as possible following the submission of a Notice of Claim in accordance with Subsection (A) of this section, but in no event later than 30 calendar days after all of the Contractor’s costs have been incurred, the Contractor shall submit his/her claim to the Engineer concerning the matter so noticed.

The claim shall set forth clearly and in detail, for each item of additional compensation or extension of time requested, the reasons for the claim, references to applicable provisions of the specifications, the nature and the specific cost ascribed to each element of the claim or for each period of time involved, the basis used in ascribing each such element of cost or for each such period of time, and all other pertinent factualdata.

The Contractor shall, insofar as it is possible to do so, promptly furnish any clarification and additional information or data deemed necessary and requested in writing by the Engineer.

(C)              Decision on Claims:

The Engineer will make a written decision in relation to any claim presented by the Contractor within the following time frames:

(1)              For an adjustment in compensation, or other contractual dispute between the parties where the amount in controversy is $200,000.00 or less, 30 calendar days from receipt of the Contractor’s claim;

(2)              For an adjustment in compensation or other contractual dispute between the parties where the amount in controversy is more than $200,000.00, 60 calendar days from receipt of the Contractor’s claim.

Unless the Contractor and the Engineer otherwise stipulate in writing to a later time, if the Engineer does not make a decision or determination within the time frames prescribed in this subsection, the claim shall be deemed denied and the Contractor may proceed with the legal remedy prescribed herein.

The decision of the Engineer in relation to the Contractor’s claim shall be final unless the Contractor commences arbitration or litigation as follows:

(1)              Where the amount in controversy is $200,000.00 or less, the Contractor’s sole legal remedy shall be arbitration.

(2)              Where the amount in controversy is more than $200,000.00, the Contractor shall initiate litigation within twelve months after the cause of action accrues as prescribed in Section 12-821 of the Arizona Revised Statues.

(D)              Mediation:

If the Contractor is not satisfied with the decision of the Engineer, and prior to filing for arbitration or litigation, the Contractor may

request a non-binding mediation by filing a request for mediation in writing with the Engineer. The Engineer will then arrange for a mutually agreeable mediator. Such request for mediation shall be made within 30 calendar days from actual receipt of the Engineer’s decision as provided for in this section.

In connection with the mediation, each party shall bear its own costs, and any fees and expenses assessed by the mediator shall be borne equally by the parties.

(E)              Arbitration of Claims and Disputes:

(1)              If the Contractor elects to invoke his/her right to arbitration, the Contractor shall file a Demand for Arbitration in writing with the American Arbitration Association, United States Arbitration and Mediation of Arizona, or any equivalent arbitration service, and serve a copy thereof upon the Engineer. Such Demand for Arbitration shall be made by claimant within 30 calendar days measured from actual receipt of the Engineer’s decision unless a mediation process is already underway, in which case the Demand for Arbitration shall be made within 30 days of the termination of the mediation process. The scope of the arbitration proceeding shall be restricted and limited to the matters presented to the Engineer upon which the decision or determination was made and shall include no other matters. All arbitration of claims shall be conducted in Phoenix, Arizona in accordance with the rules of the arbitration service hearing the dispute.

(2)              The decision or award of the arbitrator shall be supported by substantial evidence and, in writing, contain the basis for the decision or award and findings of fact. The decision or award by the arbitrator when made shall be final and non-appealable except as provided in Section 12-1512, Arizona Revised Statutes. Both the Contractor and the Engineer shall be bound by the Arbitration Award for all purposes and judgment may be entered upon it in accordance with applicable law in the Superior Court of Arizona in and for the County of Maricopa.

(3)              For the purposes of this section, a claim for adjustment in compensation shall mean an aggregate of operative facts that give rise to the rights that the Contractor seeks to enforce. That is to say, a claim under this section is defined as the event, transaction or set of facts that give rise to a claim for compensation, costs or expenses or damages which do not exceed $200,000.00 in amount.

In making a determination whether the amount in controversy is $200,000.00 or less, the parties shall not consider, quantify or take into account any requested extensions of contract time, or the release or remission of liquidated damages previously assessed.

(4)              Any contractor having a claim, adjustment or dispute for an amount in excess of $200,000.00 may waive or abandon the dollar amount of any such claim in excess of $200,000.00 so as to bring the claim, adjustment or dispute within the scope and coverage of this section, provided that the amount allowed to any such contractor by the arbitration award shall not exceed $200,000.00. Various damages claimed by the Contractor for a single claim may not be divided into separate proceedings to create claims within the $200,000.00 limit.

(5)              The claim shall be submitted to a single arbitrator who shall be selected by the parties from a list of arbitrators furnished by the arbitration service. Each party shall alternately strike names from the list until only one name remains. The person whose name thus remains on the list of arbitrators is their first choice but if that person is not available to serve, the two persons whose names were last stricken are acceptable, with the one whose name was last stricken being the first alternate.

(6)              Unless agreed to otherwise, the parties shall select the arbitrator within ten calendar days after each has received a copy of the list of arbitrators.

(7)              Each party to the arbitration shall bear its own costs and any other cost and fees assessed shall be divided equally between the parties to the arbitration.

CONTROL OF MATERIAL:

(A)    Source of Supply and Quality Requirements:

Whenever water is required on a project, as part of either a process or a product, it shall be free of contaminants which, in the judgment of the Engineer, constitute a health hazard to those individuals employed on the project and to the general public.

Untreated effluent shall not be utilized in any aspect of the work.

(B)    Certificates:

1. 1.      General:

The Contractor shall submit to the Engineer an original or copy of either a Certificate of Compliance or a Certificate of Analysis, as required, prior to the use of any materials or manufactured assemblies for which these specifications or the special provisions require that such a certificate be furnished.

The Engineer may permit the use of certain materials or manufactured assemblies prior to, or without, sampling and testing if accompanied by a Certificate of Compliance or Certificate of Analysis, as herein specified. Materials or manufactured assemblies for which a certificate is furnished may be sampled and tested at any time, and, if found not in conformity with the requirements of the plans and the specifications, will be subject to rejection, whether in place or not.

Certificates shall comply with the requirements specified herein.

1. 2.      Certificate of Compliance:

A Certificate of Compliance shall be submitted on the manufacturer’s or suppliers’ official letterhead, and contain the following information:

(1)              The name, address and phone number of the manufacturer or supplier of the material.

(2)              A description of the material supplied.

(3)              Quantity of material represented by the certificate.

(4)              Means of material identification, such as label, lot number, ormarking.

(5)              Statement that the material complies in all respects with the requirements of the cited specifications. Certificates shall state compliance to the specific cited specification, such as AASHTO M-194, ASTM A-588; or specific table or section of the MAG Uniform Standard Specifications, City of Phoenix Supplement to MAG, or Special Provisions. Certificates may cite all, if applicable.

(6)              A statement that the individual identified in item seven below has the legal authority to bind the manufacturer or the supplier of the material.

(7)              The name, title, and signature the responsible individual. The date of the signature shall also be given.

Each of the first six items specified above shall be completed prior to the signing as defined in item seven. No certificate will be accepted that has been altered, added to, or changed in any way after the authorized signature has been affixed to the original certificate. However, notations of a clarifying nature, such as project number, contractor, or quantity shipped are acceptable, provided the basic requirements of the certificate are not affected.

A copy or facsimile reproduction (FAX) will be acceptable; however, the original certificate shall be made available upon request.

1. 3.      Certificate of Analysis:

A Certificate of Analysis shall include all the information required in a Certificate of Compliance and, in addition, shall include the results of all tests required by the specifications.

(C)    Domestic Materials:

Buy America

Steel and iron materials and products used on all projects shall comply with the current “Buy America” requirements of 23 CFR 635.410.

All manufacturing processes to produce all steel and iron products used on this project shall occur in the United States. Raw materials used in manufacturing the steel and iron products may be foreign or domestic. Steel or iron not meeting these requirements may be used in products on this project provided that the invoiced cost to the Contractor for such steel products incorporated into the work does not exceed either one-tenth of one percent of the total (final) contract cost or $2,500, whichever is greater.

Any process which involves the application of a coating to iron or steel shall occur in the United States. These processes include epoxy coating, galvanizing, painting, or any other coating which protects or enhances the value of covered material.

The requirements specified herein shall only apply to steel and iron products permanently incorporated into the project. “Buy America” provisions do not apply to temporary steel items, such as sheet piling, temporary bridges, steel scaffolding and falsework, or to materials which remain in place at the contractor’s convenience.

Certificates of Compliance, conforming to the requirements of these Specifications, will accompany each shipment of material that includes steel or iron products and will be submitted to the Engineer prior to its use. The Certificates of Compliance must state that the steel or iron products utilized on the project meets the requirements specified herein and shall also certify that all manufacturing processes to produce steel or iron products, and any application of a coating to iron or steel, occurred in the United States.

Convict-produced materials may not be used unless the materials were produced prior to July 1, 1991 at a prison facility specifically producing convict-made materials for Federal-aid construction projects.

(D)    Procurement of Recovered Materials:

Contractor and subcontractors agree to comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, and the regulatory provisions of 40 C.F.R. Part 247. In the performance of this Contract and to the extent practicable, the Contractor and subcontractors are to use of products containing the highest percentage of recovered materials for items designated by the Environmental Protection Agency (EPA) under 40 C.F.R. Part 247 whenever:

1. 1.   The Contract requires procurement of $10,000 or more of a designated item during the fiscal year or,

1. 2.   The Contractor has procured $10,000 or more of a designated item using federal funding during the previous fiscal year.

Contractor and Subcontractors will be responsible for reviewing EPA’s website, including the Comprehensive Procurement Guidelines for Construction Products, for the most updated information under 40 C.F.R Part 247. Section 6002(c) establishes exceptions to the preference for recovery of EPA-designated products if the Contractor can demonstrate the item is:

1. 1.   Not reasonably available within a timeframe providing for compliance with the Contract performance schedule;
2. 2.   Fails to meet reasonable contract performance requirements; or
3. 3.   Is only available at an unreasonable price.

LEGAL RELATIONS AND RESPONSIBILITY TO PUBLIC:

(A)    Sanitary, Health, and Safety Provisions:

Occupational Safety and Health Standards shall apply at all times. The Contractor shall have, in accordance with OSHA requirements, Material Safety Data Sheets (MSDS) available for all applicable materials stored or utilized on the project. Should the Contractor fail to follow OSHA regulations, the Engineer may suspend the work by written notice until compliance has been achieved. Any such failure to comply with OSHA regulations shall constitute waiver of any right to claim for such suspended work. If regulations are in conflict, the more strict regulation will apply.

(B)    Public Convenience and Safety:

The Contractor shall abide by all OSHA 29 CFR Part 1926 and 29 CFR Part 1910 Regulations, as well as all applicable standards of the Environmental Protection Agency (EPA), the Arizona Department of Environmental Quality (ADEQ), and the Mine Safety and Health Administration (MSHA). The Contractor shall maintain a copy of the specified OSHA Standards on the construction site at all times.

The Contractor shall submit a Safety Plan at the preconstruction conference. The Safety Plan shall specify the procedures the Contractor will implement to satisfy OSHA and any state occupational safety guidelines related to the worker as well as the public in the construction of excavations, structures and confined air spaces along with all other activities involved in the project. The Engineer will review the Safety Plan within 10 working days and identify any additional elements of the project to be included. The Contractor shall then modify the Safety Plan, if necessary, for re- submittal to the Engineer within 5 working days. The Contractor shall not commence work until the Safety Plan has been approved, unless authorized by the Engineer.

The safety plan shall include a list of emergency procedures, phone numbers, and methods of communication for medical facilities, Police, Fire Department, and other emergency services which may become necessary. The Contractor shall be responsible for providing First Aid treatment and medical supplies on the project site, in accordance with OSHA 29 CFR Part 1910, and for producing and maintaining records of any injury-related incidents. The Safety Plan shall include the requirement that all workers must wear OSHA approved hard hats, reflective safety vests or other approved high visibility warning garments, work shoes, and, when appropriate, safety glasses while in construction areas. The Engineer and Project Superintendent shall each ensure that their visitors comply with the above requirements as appropriate.

The Contractor shall designate a competent person as Safety Supervisor to be responsible for implementation of the Safety Plan throughout the contract period. The competent person shall be capable of identifying existing and predictable hazards in the surroundings, or working conditions which are unsanitary, hazardous, or dangerous to employees, and have authority to take prompt corrective measures to eliminate them. The Safety Supervisor shall also conduct safety meetings, oversee and maintain safe job-site conditions, and ensure that emergency procedures, phone numbers, and all applicable OSHA notification posters are conspicuously placed in all work areas.

The Safety Supervisor shall maintain records demonstrating that all workers have sufficient experience to operate their equipment, and have been instructed in the proper operation of the equipment. The Safety Supervisor shall furnish evidence that crane operators have been instructed in accordance with the requirements of OSHA 29 CFR Part 1926.550 Subpart N, and 1926.955 Subpart V.

(C)    Damage by Storm, Flood, or Earthquake:

Damage by Storm, Flood, or Earthquake: Attention is directed to MAG Section 107.10, “Contractor’s Responsibility for Work”. In the event damage to the work is caused by a storm, flood, or earthquake which constitutes an “Occurrence,” as hereinafter defined, the provisions of this Section shall be applicable and the Contractor may apply in writing to the Engineer for the City to pay or participate in the cost of repairing damage to the work from such cause or, in lieu thereof, and at the sole discretion of the Department/City, terminate the contract and relieve the Contractor of further obligation to perform the work, subject to the following:

1. 1.      Occurrence:

“Occurrence” shall include tornadoes; earthquakes in excess of a magnitude of 3.5 on the Richter Scale; and storms and floods for which the Governor has proclaimed a state of emergency, when the damaged work is located within the territorial limits to which such proclamation is applicable; or which were a catastrophic, unusual, sudden, and unforeseeable manifestation of the

forces of nature, the effect of which could not have been prevented or minimized by reasonable human foresight and effort.

1. 2.      Application by Contractor:

The Contractor shall immediately begin performing emergency work necessary to provide for the safety and passage of public traffic, and such other emergency work necessary to mitigate damages to the facilities. The Contractor’s written request for the City to pay or to participate in the cost of rebuilding, repairing, restoring or otherwise remedying the damage to the work caused by the occurrence shall be submitted to the Engineer. The repair work may begin prior to authorization by the Engineer, but the Contractor shall keep accurate costs of all such work performed.

1. 3.      Repair Work:

Repair of damaged work under the provisions of this subsection shall be pursuant to a supplemental agreement issued hereunder and specifying the repair work to be performed on the damaged facility. Such repair work shall consist of restoring the in-place construction (for the purposes of this subsection erected falsework and formwork shall be considered in-place construction) to the same state of completion to which such work had advanced prior to the Occurrence. Emergency work which the Engineer determines would have been part of the repair work if it had not previously been performed, will be considered to be part of said repair work. The City reserves the right to make changes in the plans and specifications applicable to the portions of the work to be repaired, and if such changes will increase the cost of repairing the damage over the Engineer’s estimate of the cost of repair without the changes, the Contractor will be paid for such increased costs in accordance with Subsection 4 below.

Nothing in this section shall be construed to relieve the Contractor of full responsibility for the risk or injury, loss or damage to materials not yet incorporated in the work and to materials, tools, and equipment (except erected   falsework and formwork) used to perform the work, nor to relieve the Contractor of his liability. The City will be responsible for any portion of the work accepted by the Engineer in accordance with MAG Section 105.15, and the Supplementary Conditions section, “MAG SUBSECTION 105.15(B) FINAL ACCEPTANCE” contained herein.

1. 4.      Determination of Costs:

Unless otherwise agreed between the Engineer and the Contractor, the cost of the work performed pursuant to this Section will be determined in accordance with an approved contract change order. The cost of emergency work, which the Engineer determines would have been part of the repair work if it had not previously been performed will be determined in the same manner as the authorized repair work. The cost of superintendence and other documented direct project costs associated with recovering the site, including idled equipment, remobilization costs and project office overhead shall be included in the cost of emergency and repair work. No payment shall be made for home office overhead.

1. 5.      Payment for Repair Work:

The City will pay the cost of the repair work as determined in Subsection 4.

1. 6.      Termination of Contract:

If the City elects to terminate the contract, the termination and the determination of the total compensation payable to the Contractor shall be governed by the provisions of MAG Section 108.11- Termination of Contract.

PROVIDE ON-THE-JOB TRAINING:

The Contractor shall provide on-the-job training aimed at developing full journeymen in the type of trade or job classification involved.

The number of trainees to be trained under this project shall be at least 0, and the required number of training hours shall be 0; however, the Contractor shall make every possible effort to provide additional trainees with training and shall see that all trainees are afforded every opportunity to participate in as much training as is practically possible to provide. Due to turnover and attrition of trainees in any single trainee slot, it is expected that continuous trainee replacements may be necessary during the contract work period.

In the event that a Contractor subcontracts a portion of the contract work, he shall determine how many, if any, of the trainees are to be trained by the subcontractor, provided, however, that the Contractor shall retain the primary responsibility for meeting the training requirements imposed by this special provision. The Contractor shall also insure that this training special provision is made applicable to such subcontract. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training.

The number of trainees shall be distributed among the work classifications on the basis of the Contractor’s needs and the availability of journeymen in the various classifications within a reasonable area of recruitment. Prior to commencing construction, the Contractor shall submit to the City for approval, the number of trainees to be trained in each selected classification and training program to be used. Furthermore, the Contractor shall specify the starting time for training in each of the classifications. The Contractor will be credited for each trainee employed by him on the contract work who is currently enrolled or becomes enrolled in an approved program and will be reimbursed for such trainees as provided hereinafter.

Training and upgrading of minorities and women toward journeyman status is a primary objective of this Training Special Provision. Accordingly, the Contractor shall make every effort to enroll minority trainees and women (e.g., by conducting systematic and direct recruitment through public and private sources likely to yield minority and women trainees) to the extent that such persons are available within a reasonable area of recruitment. The Contractor will be responsible for demonstrating the steps that he has taken in pursuance thereof, prior to a determination as to whether the Contractor is in compliance with this Training Special Provision. This training commitment is not intended, and shall not be used, to discriminate against any applicant for training, whether a member of a minority group or not.

No employee shall be employed as a trainee in any classification in which he has successfully completed a training course leading to journeyman status or in which he has been employed as a journeyman. The Contractor shall satisfy this requirement by including appropriate questions in the employee application or by other suitable means. Regardless of the method used, the Contractor’s records shall document the findings in eachcase.

The minimum length and type of training for each classification will be as established in the training program selected by the Contractor and approved by the City and the Federal Highway Administration. The City and the Federal Highway Administration will approve a program if it is reasonably calculated to meet the equal employment opportunity obligations of the Contractor and to qualify the average trainee for journeyman status in the classification concerned by the end of the training period. Furthermore, Apprenticeship programs registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau and training programs approved but not necessarily sponsored by the U.S. Department of Labor, Bureau of Apprenticeship and Training will also be considered acceptable provided they are being administered in a manner consistent with the equal employment obligations of Federal-aid highway construction contracts. Specifically, union apprenticeship programs, Associated Builders and Contractor’s apprenticeship program and Associated General Contractor’s Arizona Training program may be used. Additionally, in-house training programs are approved on a case-by-case basis. Approval or acceptance of a training program shall be obtained from the City prior to commencing work on the classification covered by the program. It is the intention of these provisions that training is to be provided in the construction crafts rather than clerk-typists or secretarial-type positions. Training is permissible in lower level management positions such as office engineers, estimators, timekeepers, etc., where the training is oriented toward construction applications. Training in the laborer classification may be permitted provided that significant and meaningful training is provided and approved by the Federal Highway Administration. Some off-site training is permissible as long as the training is an integral part of an approved training program and does not comprise a significant part of the overall training.

Except as otherwise noted below, the Contractor will be reimbursed 80 cents per hour of training given an employee on this contract in accordance with an approved training program. As approved by the Engineer, reimbursement will be made for training persons in excess of the number specified herein. This reimbursement will be made even though the Contractor receives additional training program funds from other sources, provided such other source does not specifically prohibit the Contractor from receiving other reimbursement. Reimbursement for off-site training indicated above may only be made to the Contractor where he contributes to the cost of the training, provides the instruction to the trainee or pays the trainee’s wages during the off-site training period.

No payment will be made to the Contractor if either the failure to provide the required training, or the failure to hire the trainee as a journeyman, is caused by the Contractor and evidences a lack of good faith on the part of the Contractor in meeting the

requirements of this Training Special Provision. It is normally expected that a trainee will begin his training on the project as soon as feasible after start of work utilizing the skill involved and remain on the project as long as training opportunities exist in his work classification or until he has completed his training program. However, when such training opportunities are suspended or interrupted under the contract which the trainee was designated, the Contractor may continue training under other contracts regardless of their funding, except that no reimbursement for such training shall be made on non-federal aid contracts, under this training special provision. It is not required that all trainees be on board for the entire length of the contract. A Contractor will have fulfilled his responsibilities under this Training Special Provision if he has provided acceptable training to the number of trainees specified. The number trained shall be determined on the basis of the total number enrolled on the contract for a significant period.

Trainees will be paid at least 60 percent of the appropriate minimum journeyman’s rate specified in the contract for the first half of the training period, 75 percent for the third quarter of the training period, and 90 percent of the last quarter of the training period, unless apprentices or trainees in an approved existing program are enrolled as trainees on this project. In that case, the appropriate rates approved by the Departments of Labor or Transportation in connection with the existing program will apply to all trainees being trained for the same classification who are covered by this Training Special Provision.

The Contractor shall furnish the trainee a copy of the program he will follow in providing the training. The Contractor shall provide each trainee with a certification showing the type and length of training satisfactorily completed.

The Contractor shall provide for the maintenance of records and furnish periodic reports documenting his performance under this Training Special Provision.

The Contractor shall submit a weekly training report to the Engineer. The report shall be prepared on forms obtained from the City of Phoenix Equal Opportunity Department, Business Relations Division, 200 W. Washington Street, 15th Floor, Phoenix, AZ 85003.

At the preconstruction conference, the Contractor shall submit a schedule which will indicate each trainee’s name, social security number, sex, race/ethnicity, the program in which the trainee is enrolled, the approximate number of hours each trainee will be trained in each phase of the work, the crafts to which the trainees belong and the estimated period of time that they will be employed as trainees. A supplemental schedule shall be submitted to the Engineer when a revision in the original schedule is necessary. At the time each trainee is scheduled to begin work, the Contractor shall submit to the Engineer each trainee’s name, social security number, sex, and race/ethnicity. The Contractor must also submit proof that the trainee is enrolled in an approved training program.

At the conclusion of the project or at the end of each calendar year for multi-year projects, the Contractor must submit to the City of Phoenix Equal Opportunity Department (via the Engineer), the same information described hereinbefore for each trainee that worked on the project. Additionally, the Contractor must indicate if the trainee graduated from the program, was terminated due to cause, or was transferred to another project to continue his/her training.

If, at the preconstruction conference, the Contractor does not provide a schedule containing the specified information, the Engineer will notify the Contractor of the infraction. Failure to provide the schedule within 15 calendar days from the date of notification shall be considered as willful non-compliance. The Engineer will cause to be withheld from the Contractor’s monthly payments additional retainage in the amounts specified below. The amount withheld from the monthly payment shall be held until an acceptable schedule or supplemental schedule has beensubmitted.

The Engineer will monitor the use of trainees based on the Contractor’s schedule, supplemental schedules, and weekly training report. If the use of trainees is not in conformance with the schedule or supplemental information, the Engineer will cause to be withheld from the Contractor’s monthly payments additional retainage in the amounts specified below. Conformance with the schedule will be considered acceptable when the cumulative number of trainee hours earned to date under the bid item, PROVIDE ON THE JOB TRAINING is at least 90 percent of that shown on the schedule, for the work performed to date.

ADDITIONAL RETAINAGE

First and Second monthly payments following infraction:                                              $1,000.00 each month

Third monthly payment and thereafter:                                                                           $5,000.00 each month

The amount withheld from the monthly payment shall be held until an acceptable schedule or supplemental schedule has been submitted and until conformance with the schedule has been determined.

If, at the completion of the contract, the City is holding additional retainage in accordance with this specification, the retainage will become the property of the City, not as penalty but as liquidated damages.

NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION:

The Contractor shall complete the “Information Furnished Pursuant to the NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY (EXECUTIVE ORDER 11246)” form (copy included in this

Federal Requirement section of these Special Provisions), and submit it to the Engineer at the pre-construction meeting.   This form will be filed with the U.S. Department of Labor by the City of Phoenix.

NOTICE OF REQUIREMENT FOR CARGO ACT OF 1954:

The Federal Highway Administration (FHWA) in partnership with the Federal Maritime Administration has mandated the implementation of 46 CFR 381 making the requirements of the Cargo Preference Act (CPA) applicable to the Federal Aid Highway Program.

The requirements apply to items transported by ocean vessel.

The requirements of 46 CFR 381 apply to materials or equipment acquired for a specific federal-aid highway project.   In general, the requirements are not applicable to goods or materials that come from inventories independent of FHWA-funded contracts.

Information related to the CPA is presented in “Cargo Preference Requirements – Questions and Answers” available from the FHWA at https://www.fhwa.dot.gov/construction/cqit/cargo/qa.cfm.

The Contractor shall comply with the requirements of the Cargo Preference Act 46 CFR 381.7(a)-(b). By executing a construction contract for this project, the Contractor agrees:

1. To utilize privately owned United States-flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material or commodities pursuant to this contract, to the extent such vessels are available at fair and reasonable rates for United States-flag commercial vessels.

1. To furnish within 20 days following the date of loading for shipments originating within the United States or within 30 working days following the date of loading for shipments originating outside the United States, a legible copy of a rated, ‘on-board’ commercial ocean bill-of-lading in English for each shipment of cargo described in the paragraph above to both the Engineer and to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590.

1. To insert the substance of the provisions of this clause in all subcontracts issued pursuant to this contract.

INFORMATION FURNISHED PURSUANT TO THE NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY

(EXECUTIVE ORDER 11246)

Set Forth in Paragraph 3 in Federal Register, Vol. 43, No. 68

Contract in Excess of $10,000

CITY OF PHOENIX PROJECT NO: ND30010030 / PA75200609

PROJECT DESCRIPTION: West Plaza Park Renovation (CDBG) LOCATION: 6549 N. 43rd Avenue

Contractor Identification Number (as used on U.S. Treasury Department Form 941): Name and Address of Contractor:

Telephone Number:

Amount of Contract:

Estimated Starting Date:

Estimated Completion Date:

Geographical Area:                                    State of Arizona

(County)

(City)

STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS

EXECUTIVE ORDER 11246, July 1, 1978 (Revised November 3, 1980)

1. As used in these specifications:
2. “Covered area” means the geographical area described in the solicitation from which this contract resulted;
3. “Director” means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority;
4. “Employer Identification number” means the Federal Social Security number used on the Employer’s Quarterly Federal Tax Return, U.S. Treasury Department Form 941.
   1. “Minority” includes:

(i)   Black (all persons having origins in any of the Black African racial groups not of Hispanic origin);

(ii)             Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central of South American or other Spanish Culture or origin, regardless of race);

(iii)           Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and

(iv)           American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification).

1. Whenever the Contractor, or any Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted.
2. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor’s or Subcontractor’s failure to take good faith efforts to achieve the Plan goals and timetable.

1. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7 a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area.
2. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor’s obligations under these specifications. Executive Order 11246, or the regulations promulgated pursuant thereto.
3. In order for the non-working training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor.
4. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor’s compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully and shall implement affirmative action steps at least as extensive as the following:
5. Ensure and maintain a working environment free of harassment, intimidation and coercion at all sites, and in all facilities at which the Contractor’s employees are assigned to work. The Contractor, where possible will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents and other on-site supervisory personnel are aware of and carry out the Contractor’s obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities.
6. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations’ responses.
7. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken

F.R. – 28

with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason herefore, along with whatever additional actions the Contractor may have taken.

1. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor’s efforts to meet its obligations.

e. Develop on-the-job training opportunities and/or participate in training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor’s employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under 7b above.

1. Disseminate the Contractor’s EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc; by specific review of the policy with all management personnel and with all minority and female employees at least once a year, and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed.

g. Review, at least annually, the company’s EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions, including specific review of these items with onsite supervisory personnel such as Superintendents, General Foremen, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed and disposition of the subject matter.

h. Disseminate the Contractor’s EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor’s EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business.

1. Direct its recruitment efforts, both oral and written to minority, female and

community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor’’ recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process.

1. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor’s workforce.
2. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3.
3. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities.
4. Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor’s obligation under these specifications are being carried out.
5. Ensure that all facilities and company activities are non-segregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes.
6. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations.
7. Conduct a review, at least annually, of all supervisors; adherence to and performance under the Contractor’s EEO policies and affirmative action obligations.
8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through p). The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these Specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor’s minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor’s and failure of such a group to fulfill an obligation shall not be a defense for the Contractor’s noncompliance.

1. A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non- minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized).
2. The Contractor shall not use the goals and timetables of affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin.
3. The Contractor shall not enter into any Subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246.
4. The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any Contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended.
5. The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8.
6. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form;

F.R. – 29

however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records.

1. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program).

NOTICE OF REQUIREMENTS FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY (EXECUTIVE ORDER 11246)

JULY 1, 1978 (Revised November 3, 1980)

(Revised April 15, 1981)

1. The bidder’s attention is called to the “Equal Opportunity Clause” and the “Standard Federal Equal Employment Specifications” set forth herein.

1. The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor’s aggregate work force in each trade on all construction work in the covered area, are as follows:

These goals are applicable to all the Contractor’s construction work (whether or not it is Federal of federally assisted) performed in all areas where he has Federal or federally assisted work.

The Contractor’s compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3 (a), and its effort to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor’s goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

F.R. – 30

Federal-Aid Highway Program Manual                                                                         Vol, 6, Ch. 4,

Transmittal 155, September 18, 1975                                                                           Sec. 1, Subsec. 1

(Effective September 29, 1975)                                                                                      Attach. 2

FEDERAL-AID PROPOSAL NOTICES

NOTICES TO PROSPECTIVE FEDERAL-AID CONSTRUCTION CONTRACTORS

1. CERTIFICATIONOF NONSEGREGATED FACILITIES
   1. a.                 A certification of Nonsegregated Facilities, as required by the May 9, 1967, Order of the Secretary of Labor (32 F.R. 7439, May 19, 1967) on Elimination of Segregated Facilities (is included in the proposal and must be submitted prior to the award of a Federal-aid highway construction contract exceeding

$10,000 which is not exempt from the provisions of the Equal Opportunity clause).

1. b.                 Bidders are cautioned as follows: By signing this bid, the bidder will be deemed to have signed and agreed to the provisions of the “Certification of Nonsegregated Facilities” in this proposal. This certification provides that the bidder does not maintain or provide for his employee facilities which are segregated on a basis of race, creed, color, or national origin, whether such facilities are segregated by directive or on a de facto basis. The certification also provides that the bidder will not maintain such segregated facilities.

1. c.                                       Bidders receiving Federal-aidhighway construction contract awards exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity clause, will be required to provide for the forwarding of the following notice to prospective subcontractors for construction contracts and material suppliers where the subcontracts or materials supply agreements exceed $10,000 and are not exempt from the provisions of the Equal Opportunity clause.
   1. NOTICE TO PROSPECTIVE SUBCONTRACTORS AND MATERIAL SUPPLIERSOF REQUIREMENT FOR CERTIFICATION OF NONSEGREGATED FACILITIES
      1. a.                A Certification of Nonsegregated Facilities as required by the May 9, 1967, Order of the Secretary of Labor (32 F.R. 7439, May 19, 1967) on Elimination of Segregated Facilities, which is included in the proposal, or attached hereto, must be submitted by each subcontractor and material supplier prior to the award of the subcontract or consummation of a material supply agreement if such subcontract or agreement exceeds $10,000 and is not exempt from the provisions of the Equal Opportunity clauses.
      2. b.           contractors and material suppliers are cautioned as follows: By signing the subcontract or entering into a material supply agreement, the subcontractor or material supplier will be deemed to have signed and agreed to the provisions of the “Certification of Nonsegregated Facilities” in the subcontract or material supply agreement. This certification provides that the subcontractor or material supplier does not maintain or provide for his employees facilities which are segregated on the basis of race, creed, color, or national origin, whether such facilities are segregated by directive or on a de facto basis. The certification also provides that the subcontractor or material supplier will not maintain such

segregatedfacilities.

1. c.          Subcontractors or material suppliers receiving subcontract awards or material supply agreements exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity clause will be required to provide for the forwarding of this notice to prospective subcontractors for construction contracts and materials suppliers where the subcontracts or material supply agreements exceed $10,000 and are not exempt from the provisions of the Equal Opportunity clause.
2. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATERPOLLUTION CONTROL ACT

By signing this bid, the bidder will be deemed to have stipulated as follows:

1. a.                 That any facility to be utilized in the performance of this contract, unless such contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1957 et seq., as amended by Pub. L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seq., as amended by Pub. L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR, Part 15), is not listed on the U.S. Environmental Protection 40 CFR 15.20.
2. b.                 That the State highway department shall be promptly notified prior to contract award of the receipt by the bidder of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility to be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities.

TITLE 29 PART 3—CONTRACTORS AND SUBCONTRACTORS ON PUBLIC BUILDING OR PUBLIC WORK FINANCED IN WHOLE OR IN PART BY LOANS OR GRANTS FROM THE UNITED STATES

Contents

§3.1 Purpose and scope.

§3.2 Definitions.

§3.3 Weekly statement with respect to payment of wages.

§3.4 Submission of weekly statements and the preservation and inspection of weekly payroll records.

§3.5 Payroll deductions permissible without application to or approval of the Secretary of Labor.

§3.6 Payroll deductions permissible with the approval of the Secretary of Labor.

§3.7 Applications for the approval of the Secretary of Labor.

§3.8 Action by the Secretary of Labor upon applications.

§3.9 Prohibited payroll deductions.

§3.10 Methods of payment of wages.

§3.11 Regulations part of contract.

Authority: R.S. 161, sec. 2, 48 Stat. 848; Reorg. Plan No. 14 of 1950, 64 Stat. 1267; 5 U.S.C. 301; 40 U.S.C. 3145;

Secretary’s Order 01-2014 (Dec. 19, 2014), 79 FR 77527 (Dec. 24, 2014).

Source: 29 FR 97, Jan. 4, 1964, unless otherwise noted.

§3.1 Purpose and scope.

This part prescribes “anti-kickback” regulations under section 2 of the Act of June 13, 1934, as amended (40 U.S.C. 276c), popularly known as the Copeland Act. This part applies to any contract which is subject to Federal wage standards and which is for the construction, prosecution, completion, or repair of public buildings, public works or buildings or works financed in whole or in part by loans or grants from the United States. The part is intended to aid in the enforcement of the minimum wage provisions of the Davis-Bacon Act and the various statutes dealing with federally assisted construction that contain similar minimum wage provisions, including those provisions which are not subject to Reorganization Plan No. 14 (e.g., the College Housing Act of 1950, the Federal Water Pollution Control Act, and the Housing Act of 1959), and in the enforcement of the overtime provisions of the Contract Work Hours Standards Act whenever they are applicable to construction work. The part details the obligation of contractors and subcontractors relative to the weekly submission of statements regarding the wages paid on work covered thereby; sets forth the circumstances and procedures governing the making of payroll deductions from the wages of those employed on such work; and delineates the methods of payment permissible on such work.

§3.2 Definitions.

As used in the regulations in this part:

(a)   The terms building or work generally include construction activity as distinguished from manufacturing, furnishing of materials, or servicing and maintenance work. The terms include, without limitation, buildings, structures, and improvements of all types, such as bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, powerlines, pumping stations, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, and canals; dredging, shoring, scaffolding, drilling, blasting, excavating, clearing, and landscaping. Unless conducted in connection with and at the site of such a building or work as is described in the foregoing sentence, the manufacture or furnishing of materials, articles, supplies, or equipment (whether or not a Federal or State agency acquires title to such materials, articles, supplies, or equipment during the course of the manufacture or furnishing, or owns the materials from which they are manufactured or furnished) is not a building or work within the meaning of the regulations in this part.

(b)   The terms construction, prosecution, completion, or repair mean all types of work done on a particular building or work at the site thereof, including, without limitation, altering, remodeling, painting and decorating, the transporting of materials and supplies to or from the building or work by the employees of the construction contractor or construction subcontractor, and the manufacturing or furnishing of materials, articles, supplies, or equipment on the site of the building or work, by persons employed at the site by the contractor or subcontractor.

(c)   The terms public building or public work include building or work for whose construction, prosecution, completion, or repair, as defined above, a Federal agency is a contracting party, regardless of whether title thereof is in a Federal agency.

(d)   The term building or work financed in whole or in part by loans or grants from the United States includes building or work for whose construction, prosecution, completion, or repair, as defined above, payment or part payment is made directly or indirectly from funds provided by loans or grants by a Federal agency. The term includes building or work for which the Federal assistance granted is in the form of loan guarantees or insurance.

(e)   Every person paid by a contractor or subcontractor in any manner for his labor in the construction, prosecution, completion, or repair of a public building or public work or building or work financed in whole or in part by loans or grants from the United States is employed and receiving wages, regardless of any contractual relationship alleged to exist between him and the real employer.

(f)  The term any affiliated person includes a spouse, child, parent, or other close relative of the contractor or subcontractor; a partner or officer of the contractor or subcontractor; a corporation closely connected with the contractor or subcontractor as parent, subsidiary, or otherwise, and an officer or agent of such corporation.

(g)   The term Federal agency means the United States, the District of Columbia, and all executive departments, independent establishments, administrative agencies, and instrumentalities of the United States and of the District of Columbia, including corporations, all or substantially all of the stock of which is beneficially owned by the United States, by the District of Columbia, or any of the foregoing departments, establishments, agencies, and instrumentalities.

[29 FR 97, Jan. 4, 1964, as amended at 38 FR 32575, Nov. 27, 1973]

§3.3 Weekly statement with respect to payment of wages.

(a)   As used in this section, the term employee shall not apply to persons in classifications higher than that of laborer or mechanic and those who are the immediate supervisors of such employees.

(b)   Each contractor or subcontractor engaged in the construction, prosecution, completion, or repair of any public building or public work, or building or work financed in whole or in part by loans or grants from the United States, shall furnish each week a statement with respect to the wages paid each of its employees engaged on work covered by this part 3 and part 5 of this title during the preceding weekly payroll period. This statement shall be executed by the contractor or subcontractor or by an authorized officer or employee of the contractor or subcontractor who supervises the payment of wages, and shall be on the back of Form WH 347, “Payroll (For Contractors Optional Use)” or on any form with identical wording. Copies of WH 347 may be obtained from the Government contracting or sponsoring agency or from the Wage and Hour Division Web site at http://www.dol.gov/whd/forms/index.htm or its successor site.

(c)   The requirements of this section shall not apply to any contract of $2,000 or less.

(d)   Upon a written finding by the head of a Federal agency, the Secretary of Labor may provide reasonable limitations, variations, tolerances, and exemptions from the requirements of this section subject to such conditions as the Secretary of Labor may specify.

[29 FR 97, Jan. 4, 1964, as amended at 33 FR 10186, July 17, 1968; 47 FR 23679, May 28, 1982; 73 FR 77511, Dec. 19,

2008; 82 FR 2224, Jan. 9, 2017]

§3.4 Submission of weekly statements and the preservation and inspection of weekly payroll records.

(a)   Each weekly statement required under §3.3 shall be delivered by the contractor or subcontractor, within seven days after the regular payment date of the payroll period, to a representative of a Federal or State agency in charge at the site of the building or work, or, if there is no representative of a Federal or State agency at the site of the building or work, the statement shall be mailed by the contractor or subcontractor, within such time, to a Federal or State agency contracting for or financing the building or work. After such examination and check as may be made, such statement, or a copy thereof, shall be kept available, or shall be transmitted together with a report of any violation, in accordance with applicable procedures prescribed by the United States Department of Labor.

(b)   Each contractor or subcontractor shall preserve his weekly payroll records for a period of three years from date of completion of the contract. The payroll records shall set out accurately and completely the name and address of each laborer and mechanic, his correct classification, rate of pay, daily and weekly number of hours worked, deductions made, and actual wages paid. Such payroll records shall be made available at all times for inspection by the contracting officer or his authorized representative, and by authorized representatives of the Department of Labor.

(Reporting and recordkeeping requirements in paragraph (b) have been approved by the Office of Management and Budget under control number 1235-0008)

[29 FR 97, Jan. 4, 1964, as amended at 47 FR 145, Jan. 5, 1982; 82 FR 2224, Jan. 9, 2017]

§3.5 Payroll deductions permissible without application to or approval of the Secretary of Labor.

Deductions made under the circumstances or in the situations described in the paragraphs of this section may be made without application to and approval of the Secretary of Labor:

(a)   Any deduction made in compliance with the requirements of Federal, State, or local law, such as Federal or State withholding income taxes and Federal social security taxes.

(b)   Any deduction of sums previously paid to the employee as a bona fide prepayment of wages when such prepayment is made without discount or interest. A bona fide prepayment of wages is considered to have been made only when cash or its equivalent has been advanced to the person employed in such manner as to give him complete freedom of disposition of the advanced funds.

(c)   Any deduction of amounts required by court process to be paid to another, unless the deduction is in favor of the contractor, subcontractor, or any affiliated person, or when collusion or collaboration exists.

(d)   Any deduction constituting a contribution on behalf of the person employed to funds established by the employer or representatives of employees, or both, for the purpose of providing either from principal or income, or both, medical or hospital care, pensions or annuities on retirement, death benefits, compensation for injuries, illness, accidents, sickness, or disability, or for insurance to provide any of the foregoing, or unemployment benefits, vacation pay, savings accounts, or similar payments for the benefit of employees, their families and dependents: Provided, however, That the following standards are met:

(1)   The deduction is not otherwise prohibited by law;

(2)   It is either:

(i)  Voluntarily consented to by the employee in writing and in advance of the period in which the work is to be done and such consent is not a condition either for the obtaining of or for the continuation of employment, or

(ii)   provided for in a bona fide collective bargaining agreement between the contractor or subcontractor and representatives of its employees;

(3)   No profit or other benefit is otherwise obtained, directly or indirectly, by the contractor or subcontractor or any affiliated person in the form of commission, dividend, or otherwise; and

(4)   The deductions shall serve the convenience and interest of the employee.

(e)   Any deduction contributing toward the purchase of United States Defense Stamps and Bonds when voluntarily authorized by the employee.

(f)  Any deduction requested by the employee to enable him to repay loans to or to purchase shares in credit unions organized and operated in accordance with Federal and State credit union statutes.

(g)   Any deduction voluntarily authorized by the employee for the making of contributions to governmental or quasi- governmental agencies, such as the American Red Cross.

(h)   Any deduction voluntarily authorized by the employee for the making of contributions to Community Chests, United Givers Funds, and similar charitable organizations.

(i)  Any deductions to pay regular union initiation fees and membership dues, not including fines or special assessments: Provided, however, That a collective bargaining agreement between the contractor or subcontractor and representatives of its employees provides for such deductions and the deductions are not otherwise prohibited by law.

(j)  Any deduction not more than for the “reasonable cost” of board, lodging, or other facilities meeting the requirements of section 3(m) of the Fair Labor Standards Act of 1938, as amended, and part 531 of this title. When such a deduction is made the additional records required under §516.25(a) of this title shall be kept.

(k)   Any deduction for the cost of safety equipment of nominal value purchased by the employee as his own property for his personal protection in his work, such as safety shoes, safety glasses, safety gloves, and hard hats, if such equipment is not required by law to be furnished by the employer, if such deduction is not violative of the Fair Labor Standards Act or prohibited by other law, if the cost on which the deduction is based does not exceed the actual cost to the employer where the equipment is purchased from him and does not include any direct or indirect monetary return to the employer where the equipment is purchased from a third person, and if the deduction is either

(1)   Voluntarily consented to by the employee in writing and in advance of the period in which the work is to be done and such consent is not a condition either for the obtaining of employment or its continuance; or

(2)   Provided for in a bona fide collective bargaining agreement between the contractor or subcontractor and representatives of its employees.

[29 FR 97, Jan. 4, 1964, as amended at 36 FR 9770, May 28, 1971]

§3.6 Payroll deductions permissible with the approval of the Secretary of Labor.

Any contractor or subcontractor may apply to the Secretary of Labor for permission to make any deduction not permitted under §3.5. The Secretary may grant permission whenever he finds that:

(a)   The contractor, subcontractor, or any affiliated person does not make a profit or benefit directly or indirectly from the deduction either in the form of a commission, dividend, or otherwise;

(b)   The deduction is not otherwise prohibited by law;

(c)   The deduction is either (1) voluntarily consented to by the employee in writing and in advance of the period in which the work is to be done and such consent is not a condition either for the obtaining of employment or its continuance, or (2) provided for in a bona fide collective bargaining agreement between the contractor or subcontractor and representatives of its employees; and

(d)   The deduction serves the convenience and interest of the employee.

§3.7 Applications for the approval of the Secretary of Labor.

Any application for the making of payroll deductions under §3.6 shall comply with the requirements prescribed in the following paragraphs of this section:

(a)   The application shall be in writing and shall be addressed to the Secretary of Labor.

(b)   The application need not identify the contract or contracts under which the work in question is to be performed. Permission will be given for deductions on all current and future contracts of the applicant for a period of 1 year. A renewal of permission to make such payroll deduction will be granted upon the submission of an application which makes reference to the original application, recites the date of the Secretary of Labor’s approval of such deductions, states affirmatively that there is continued compliance with the standards set forth in the provisions of §3.6, and specifies any conditions which have changed in regard to the payroll deductions.

(c)   The application shall state affirmatively that there is compliance with the standards set forth in the provisions of §3.6. The affirmation shall be accompanied by a full statement of the facts indicating such compliance.

(d)   The application shall include a description of the proposed deduction, the purpose to be served thereby, and the classes of laborers or mechanics from whose wages the proposed deduction would be made.

(e)   The application shall state the name and business of any third person to whom any funds obtained from the proposed deductions are to be transmitted and the affiliation of such person, if any, with the applicant.

[29 FR 97, Jan. 4, 1964, as amended at 36 FR 9771, May 28, 1971]

§3.8 Action by the Secretary of Labor upon applications.

The Secretary of Labor shall decide whether or not the requested deduction is permissible under provisions of §3.6; and shall notify the applicant in writing of his decision.

§3.9 Prohibited payroll deductions.

Deductions not elsewhere provided for by this part and which are not found to be permissible under §3.6 are prohibited.

§3.10 Methods of payment of wages.

The payment of wages shall be by cash, negotiable instruments payable on demand, or the additional forms of compensation for which deductions are permissible under this part. No other methods of payment shall be recognized on work subject to the Copeland Act.

§3.11 Regulations part of contract.

All contracts made with respect to the construction, prosecution, completion, or repair of any public building or public work or building or work financed in whole or in part by loans or grants from the United States covered by the regulations in this part shall expressly bind the contractor or subcontractor to comply with such of the regulations in this part as may be applicable. In this regard, see §5.5(a) of this subtitle.

TITLE 29 PART 5—LABOR STANDARDS PROVISIONS APPLICABLE TO CONTRACTS COVERING FEDERALLY FINANCED AND ASSISTED CONSTRUCTION (ALSO LABOR STANDARDS PROVISIONS APPLICABLE TO NONCONSTRUCTION CONTRACTS SUBJECT TO THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT)

Section Contents

Subpart A—Davis-Bacon and Related Acts Provisions and Procedures

§5.1 Purpose and scope.

§5.2 Definitions.

§§5.3-5.4 [Reserved]

§5.5 Contract provisions and related matters.

§5.6 Enforcement.

§5.7 Reports to the Secretary of Labor.

§5.8 Liquidated damages under the Contract Work Hours and Safety Standards Act.

§5.9 Suspension of funds.

§5.10 Restitution, criminal action.

§5.11 Disputes concerning payment of wages.

§5.12 Debarment proceedings.

§5.13 Rulings and interpretations.

§5.14 Variations, tolerances, and exemptions from parts 1 and 3 of this subtitle and this part.

§5.15 Limitations, variations, tolerances, and exemptions under the Contract Work Hours and Safety Standards Act.

§5.16 Training plans approved or recognized by the Department of Labor prior to August 20, 1975.

§5.17 Withdrawal of approval of a training program.

Subpart B—Interpretation of the Fringe Benefits Provisions of the Davis-Bacon Act

§5.20 Scope and significance of this subpart.

§5.21 [Reserved]

§5.22 Effect of the Davis-Bacon fringe benefits provisions.

§5.23 The statutory provisions.

§5.24 The basic hourly rate of pay.

§5.25 Rate of contribution or cost for fringe benefits.

§5.26 “* * * contribution irrevocably made * * * to a trustee or to a third person”.

§5.27 “* * * fund, plan, or program”.

§5.28 Unfunded plans.

§5.29 Specific fringe benefits.

§5.30 Types of wage determinations.

§5.31 Meeting wage determination obligations.

§5.32 Overtime payments.

Authority: 5 U.S.C. 301; R.S. 161, 64 Stat. 1267; Reorganization Plan No. 14 of 1950, 5 U.S.C. appendix; 40 U.S.C. 3141 et seq.; 40 U.S.C. 3145; 40 U.S.C. 3148; 40 U.S.C. 3701 et seq.; and the laws listed in 5.1(a) of this part; Secretary’s Order No. 01-2014 (Dec. 19, 2014), 79 FR 77527 (Dec. 24, 2014); 28 U.S.C. 2461 note (Federal Civil Penalties Inflation Adjustment

Act of 1990); Pub. L. 114-74 at §701, 129 Stat 584.

Source: 48 FR 19541, Apr. 29, 1983, unless otherwise noted.

Subpart A—Davis-Bacon and Related Acts Provisions and Procedures Source: 48 FR 19540, Apr. 29, 1983, unless otherwise noted.

Editorial Note: Nomenclature changes to subpart A of part 5 appear at 61 FR 19984, May 3, 1996.

§5.1 Purpose and scope.

(a)   The regulations contained in this part are promulgated under the authority conferred upon the Secretary of Labor by Reorganization Plan No. 14 of 1950 and the Copeland Act in order to coordinate the administration and enforcement of the labor standards provisions of each of the following acts by the Federal agencies responsible for their administration and of such additional statutes as may from time to time confer upon the Secretary of Labor additional duties and responsibilities similar to those conferred upon the Secretary of Labor under Reorganization Plan No. 14 of 1950:

1. The Davis-Bacon Act (sec. 1-7, 46 Stat. 1949, as amended; Pub. L. 74-403, 40 U.S.C. 276a-276a-7).

1. Copeland Act (40 U.S.C. 276c).

1. The Contract Work Hours and Safety Standards Act (40 U.S.C. 327-332).

1. National Housing Act (sec. 212 added to c. 847, 48 Stat. 1246, by sec. 14, 53 Stat. 807; 12 U.S.C. 1715c and repeatedly amended).

1. Housing Act of 1950 (college housing) (amended by Housing Act of 1959 to add labor provisions, 73 Stat. 681; 12 U.S.C. 1749a(f)).

1. Housing Act of 1959 (sec. 401(f) of the Housing Act of 1950 as amended by Pub. L. 86-372, 73 Stat. 681; 12 U.S.C. 1701q(c)(3)).

1. Commercial Fisheries Research and Development Act of 1964 (sec. 7, 78 Stat. 199; 16 U.S.C. 779e(b)).

1. Library Services and Construction Act (sec. 7(a), 78 Stat. 13; 20 U.S.C. 355c(a)(4), as amended).

1. National Technical Institute for the Deaf Act (sec. 5(b)(5), 79 Stat. 126; 20 U.S.C. 684(b)(5)).

1. National Foundation on the Arts and Humanities Act of 1965 (sec. 5(k), 79 Stat. 846 as amended; 20 U.S.C. 954(j)).

1. Elementary and Secondary Education Act of 1965 as amended by Elementary and Secondary and other Education Amendments of 1969 (sec. 423 as added by Pub. L. 91-230, title IV, sec. 401(a)(10), 84 Stat. 169, and renumbered sec. 433, by Pub. L. 92-318; title III, sec. 301(a)(1), 86 Stat. 326; 20 U.S.C. 1232(b)). Under the amendment coverage is extended to all programs administered by the Commissioner of Education.

1. The Federal-Aid Highway Acts (72 Stat. 895, as amended by 82 Stat. 821; 23 U.S.C. 113, as amended by the Surface Transportation Assistance Act of 1982, Pub. L. 97-424).

1. Indian Self-Determination and Education Assistance Act (sec. 7, 88 Stat. 2205; 25 U.S.C. 450e).

1. Indian Health Care Improvement Act (sec. 303(b), 90 Stat. 1407; 25 U.S.C. 1633(b)).

15. Rehabilitation Act of 1973 (sec. 306(b)(5) 87 Stat. 384, 29 U.S.C. 776(b)(5)).

1. Comprehensive Employment and Training Act of 1973 (sec. 606, 87 Stat. 880, renumbered sec. 706 by 88 Stat. 1845; 29 U.S.C. 986; also sec. 604, 88 Stat. 1846; 29 U.S.C. 964(b)(3)).

1. State and Local Fiscal Assistance Act of 1972 (sec. 123(a)(6), 86 Stat. 933; 31 U.S.C. 1246(a)(6)).

1. Federal Water Pollution Control Act (sec. 513 of sec. 2, 86 Stat. 894; 33 U.S.C. 1372).

1. Veterans Nursing Home Care Act of 1964 (78 Stat. 502, as amended; 38 U.S.C. 5035(a)(8)).
2. Postal Reorganization Act (sec. 410(b)(4)(C); 84 Stat. 726 as amended; 39 U.S.C. 410(b)(4)(C)).

1. National Visitors Center Facilities Act of 1966 (sec. 110, 32 Stat. 45; 40 U.S.C. 808).

1. Appalachian Regional Development Act of 1965 (sec. 402, 79 Stat. 21; 40 U.S.C. App. 402).

1. Health Services Research, Health Statistics, and Medical Libraries Act of 1974 (sec. 107, see sec. 308(h)(2) thereof, 88 Stat. 370, as amended by 90 Stat. 378; 42 U.S.C. 242m(h)(2)).

1. Hospital Survey and Construction Act, as amended by the Hospital and Medical Facilities Amendments of 1964 (sec. 605(a)(5), 78 Stat. 453; 42 U.S.C. 291e(a)(5)).

1. Health Professions Educational Assistance Act (sec. 303(b), 90 Stat. 2254; 42 U.S.C. 293a(g)(1)(C); also sec. 308a, 90 Stat. 2258, 42 U.S.C. 293a(c)(7)).

26. Nurse Training Act of 1964 (sec. 941(a)(1)(C), 89 Stat. 384; 42 U.S.C. 296a(b)(5)).

1. Heart Disease, Cancer, and Stroke Amendments of 1965 (sec. 904, as added by sec. 2, 79 Stat. 928; 42 U.S.C. 299d(b)(4)).

1. Safe Drinking Water Act (sec. 2(a) see sec. 1450e thereof, 88 Stat. 1691; 42 U.S.C. 300j-9(e)).

1. National Health Planning and Resources Act (sec. 4, see sec. 1604(b)(1)(H), 88 Stat. 2261, 42 U.S.C. 300o-3(b)(1)(H)).

1. U.S. Housing Act of 1937, as amended and recodified (88 Stat. 667; 42 U.S.C. 1437j).

1. Demonstration Cities and Metropolitan Development Act of 1966 (secs. 110, 311, 503, 1003, 80 Stat. 1259, 1270, 1277, 1284; 42 U.S.C. 3310; 12 U.S.C. 1715c; 42 U.S.C. 1437j).

1. Slum clearance program: Housing Act of 1949 (sec. 109, 63 Stat. 419, as amended; 42 U.S.C. 1459).

1. Farm housing: Housing Act of 1964 (adds sec. 516(f) to Housing Act of 1949 by sec. 503, 78 Stat. 797; 42 U.S.C. 1486(f)).

1. Housing Act of 1961 (sec. 707, added by sec. 907, 79 Stat. 496, as amended; 42 U.S.C. 1500c-3).

1. Defense Housing and Community Facilities and Services Act of 1951 (sec. 310, 65 Stat. 307; 42 U.S.C. 1592i).

1. Special Health Revenue Sharing Act of 1975 (sec. 303, see sec. 222(a)(5) thereof, 89 Stat. 324; 42 U.S.C. 2689j(a)(5)).

1. Economic Opportunity Act of 1964 (sec. 607, 78 Stat. 532; 42 U.S.C. 2947).

1. Headstart, Economic Opportunity, and Community Partnership Act of 1974 (sec. 11, see sec. 811 thereof, 88 Stat. 2327; 42 U.S.C. 2992a).

1. Housing and Urban Development Act of 1965 (sec. 707, 79 Stat. 492 as amended; 42 U.S.C. 3107).

1. Older Americans Act of 1965 (sec. 502, Pub. L. 89-73, as amended by sec. 501, Pub. L. 93-29; 87 Stat. 50; 42 U.S.C. 3041a(a)(4)).

1. Public Works and Economic Development Act of 1965 (sec. 712; 79 Stat. 575 as amended; 42 U.S.C. 3222).

1. Juvenile Delinquency Prevention Act (sec. 1, 86 Stat. 536; 42 U.S.C. 3884).

1. New Communities Act of 1968 (sec. 410, 82 Stat. 516; 42 U.S.C. 3909).

1. Urban Growth and New Community Development Act of 1970 (sec. 727(f), 84 Stat. 1803; 42 U.S.C. 4529).

1. Domestic Volunteer Service Act of 1973 (sec. 406, 87 Stat. 410; 42 U.S.C. 5046).

1. Housing and Community Development Act of 1974 (secs. 110, 802(g), 88 Stat. 649, 724; 42 U.S.C. 5310, 1440(g)).
2. Developmentally Disabled Assistance and Bill of Rights Act (sec. 126(4), 89 Stat. 488; 42 U.S.C. 6042(4); title I, sec. 111, 89 Stat. 491; 42 U.S.C. 6063(b)(19)).

1. National Energy Conservation Policy Act (sec. 312, 92 Stat. 3254; 42 U.S.C. 6371j).

1. Public Works Employment Act of 1976 (sec. 109, 90 Stat. 1001; 42 U.S.C. 6708; also sec. 208, 90 Stat. 1008; 42 U.S.C. 6728).

1. Energy Conservation and Production Act (sec. 451(h), 90 Stat. 1168; 42 U.S.C. 6881(h)).

1. Solid Waste Disposal Act (sec. 2, 90 Stat. 2823; 42 U.S.C. 6979).

1. Rail Passenger Service Act of 1970 (sec. 405d, 84 Stat. 1337; 45 U.S.C. 565(d)).

1. Urban Mass Transportation Act of 1964 (sec. 10, 78 Stat. 307; renumbered sec. 13 by 88 Stat. 715; 49 U.S.C. 1609).

1. Highway Speed Ground Transportation Study (sec. 6(b), 79 Stat. 893; 49 U.S.C. 1636(b)).

1. Airport and Airway Development Act of 1970 (sec. 22(b), 84 Stat. 231; 49 U.S.C. 1722(b)).

1. Federal Civil Defense Act of 1950 (50 U.S.C. App. 2281i).

1. National Capital Transportation Act of 1965 (sec. 3(b)(4), 79 Stat. 644; 40 U.S.C. 682(b)(4).

Note. Repealed December 9, 1969, and labor standards incorporated in sec. 1-1431 of the District of Columbia Code).

1. Model Secondary School for the Deaf Act (sec. 4, 80 Stat. 1027, Pub. L. 89-694, but not in the United States Code).

1. Delaware River Basin Compact (sec. 15.1, 75 Stat. 714, Pub. L. 87-328) (considered a statute for purposes of the plan but not in the United States Code).

1. Energy Security Act (sec. 175(c), Pub. L. 96-294, 94 Stat. 611; 42 U.S.C. 8701 note).

(b)   Part 1 of this subtitle contains the Department’s procedural rules governing requests for wage determinations and the issuance and use of such wage determinations under the Davis-Bacon Act and its related statutes as listed in that part.

§5.2 Definitions.

(a)   The term Secretary includes the Secretary of Labor, the Deputy Under Secretary for Employment Standards, and their authorized representatives.

(b)   The term Administrator means the Administrator of the Wage and Hour Division, U.S. Department of Labor, or authorized representative.

(c)   The term Federal agency means the agency or instrumentality of the United States which enters into the contract or provides assistance through loan, grant, loan guarantee or insurance, or otherwise, to the project subject to a statute listed in

§5.1.

(d)   The term Agency Head means the principal official of the Federal agency and includes those persons duly authorized to act in the behalf of the Agency Head.

(e)   The term Contracting Officer means the individual, a duly appointed successor, or authorized representative who is designated and authorized to enter into contracts on behalf of the Federal agency.

(f)  The term labor standards as used in this part means the requirements of the Davis-Bacon Act, the Contract Work Hours and Safety Standards Act (other than those relating to safety and health), the Copeland Act, and the prevailing wage provisions of the other statutes listed in §5.1, and the regulations in parts 1 and 3 of this subtitle and this part.

(g)   The term United States or the District of Columbia means the United States, the District of Columbia, and all executive departments, independent establishments, administrative agencies, and instrumentalities of the United States and of the District of

Columbia, including corporations, all or substantially all of the stock of which is beneficially owned by the United States, by the foregoing departments, establishments, agencies, instrumentalities, and including nonappropriated fund instrumentalities.

(h)   The term contract means any prime contract which is subject wholly or in part to the labor standards provisions of any of the acts listed in §5.1 and any subcontract of any tier thereunder, let under the prime contract. A State or local Government is not regarded as a contractor under statutes providing loans, grants, or other Federal assistance in situations where construction is performed by its own employees. However, under statutes requiring payment of prevailing wages to all laborers and mechanics employed on the assisted project, such as the U.S. Housing Act of 1937, State and local recipients of Federal-aid must pay these employees according to Davis-Bacon labor standards.

(i)  The terms building or work generally include construction activity as distinguished from manufacturing, furnishing of materials, or servicing and maintenance work. The terms include without limitation, buildings, structures, and improvements of all types, such as bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, canals, dredging, shoring, rehabilitation and reactivation of plants, scaffolding, drilling, blasting, excavating, clearing, and landscaping. The manufacture or furnishing of materials, articles, supplies or equipment (whether or not a Federal or State agency acquires title to such materials, articles, supplies, or equipment during the course of the manufacture or furnishing, or owns the materials from which they are manufactured or furnished) is not a building or work within the meaning of the regulations in this part unless conducted in connection with and at the site of such a building or work as is described in the foregoing sentence, or under the United States Housing Act of 1937 and the Housing Act of 1949 in the construction or development of the project.

(j)  The terms construction, prosecution, completion, or repair mean the following:

(1)   All types of work done on a particular building or work at the site thereof, including work at a facility which is deemed a part of the site of the work within the meaning of (paragraph (l) of this section by laborers and mechanics employed by a construction contractor or construction subcontractor (or, under the United States Housing Act of 1937; the Housing Act of 1949; and the Native American Housing Assistance and Self-Determination Act of 1996, all work done in the construction or development of the project), including without limitation—

(i)  Altering, remodeling, installation (where appropriate) on the site of the work of items fabricated off-site;

(ii)   Painting and decorating;

(iii)   Manufacturing or furnishing of materials, articles, supplies or equipment on the site of the building or work (or, under the United States Housing Act of 1937; the Housing Act of 1949; and the Native American Housing Assistance and Self- Determination Act of 1996 in the construction or development of the project);

(iv)(A) Transportation between the site of the work within the meaning of paragraph (l)(1) of this section and a facility which is dedicated to the construction of the building or work and deemed a part of the site of the work within the meaning of paragraph (l)(2) of this section; and

(B) Transportation of portion(s) of the building or work between a site where a significant portion of such building or work is constructed, which is a part of the site of the work within the meaning of paragraph (l)(1) of this section, and the physical place or places where the building or work will remain.

(2)   Except for laborers and mechanics employed in the construction or development of the project under the United States Housing Act of 1937; the Housing Act of 1949; and the Native American Housing Assistance and Self-Determination Act of 1996, and except as provided in paragraph (j)(1)(iv)(A) of this section, the transportation of materials or supplies to or from the site of the work by employees of the construction contractor or a construction subcontractor is not “construction, prosecution, completion, or repair” (see Building and Construction Trades Department, AFL-CIO v. United States Department of Labor Wage Appeals Board (Midway Excavators, Inc.), 932 F.2d 985 (D.C. Cir. 1991)).

(k)   The term public building or public work includes building or work, the construction, prosecution, completion, or repair of which, as defined above, is carried on directly by authority of or with funds of a Federal agency to serve the interest of the general public regardless of whether title thereof is in a Federal agency.

(l)  The term site of the work is defined as follows:

(1)   The site of the work is the physical place or places where the building or work called for in the contract will remain; and any other site where a significant portion of the building or work is constructed, provided that such site is established specifically for the performance of the contract or project;

(2)   Except as provided in paragraph (l)(3) of this section, job headquarters, tool yards, batch plants, borrow pits, etc., are part of the site of the work, provided they are dedicated exclusively, or nearly so, to performance of the contract or project, and provided they are adjacent or virtually adjacent to the site of the work as defined in paragraph (l)(1) of this section;

(3)   Not included in the site of the work are permanent home offices, branch plant establishments, fabrication plants, tool yards, etc., of a contractor or subcontractor whose location and continuance in operation are determined wholly without regard to a particular Federal or federally assisted contract or project. In addition, fabrication plants, batch plants, borrow pits, job headquarters, tool yards, etc., of a commercial or material supplier, which are established by a supplier of materials for the project before opening of bids and not on the site of the work as stated in paragraph (l)(1) of this section, are not included in the site of the work. Such permanent, previously established facilities are not part of the site of the work, even where the operations for a period of time may be dedicated exclusively, or nearly so, to the performance of a contract.

(m)   The term laborer or mechanic includes at least those workers whose duties are manual or physical in nature (including those workers who use tools or who are performing the work of a trade), as distinguished from mental or managerial. The term laborer or mechanic includes apprentices, trainees, helpers, and, in the case of contracts subject to the Contract Work Hours and Safety Standards Act, watchmen or guards. The term does not apply to workers whose duties are primarily administrative, executive, or clerical, rather than manual. Persons employed in a bona fide executive, administrative, or professional capacity as defined in part 541 of this title are not deemed to be laborers or mechanics. Working foremen who devote more than 20 percent of their time during a workweek to mechanic or laborer duties, and who do not meet the criteria of part 541, are laborers and mechanics for the time so spent.

(n)   The terms apprentice, trainee, and helper are defined as follows:

(1)   Apprentice means (i) a person employed and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Bureau, or (ii) a person in the first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice;

(2)   Trainee means a person registered and receiving on-the-job training in a construction occupation under a program which has been approved in advance by the U.S. Department of Labor, Employment and Training Administration, as meeting its standards for on-the-job training programs and which has been so certified by that Administration.

(3)   These provisions do not apply to apprentices and trainees employed on projects subject to 23 U.S.C. 113 who are enrolled in programs which have been certified by the Secretary of Transportation in accordance with 23 U.S.C. 113(c).

(4)   A distinct classification of “helper” will be issued in wage determinations applicable to work performed on construction projects covered by the labor standards provisions of the Davis-Bacon and Related Acts only where:

(i)  The duties of the helper are clearly defined and distinct from those of any other classification on the wage determination;

(ii)   The use of such helpers is an established prevailing practice in the area; and

(iii)   The helper is not employed as a trainee in an informal training program. A “helper” classification will be added to wage determinations pursuant to §5.5(a)(1)(ii)(A) only where, in addition, the work to be performed by the helper is not performed by a classification in the wage determination.

(o)   Every person performing the duties of a laborer or mechanic in the construction, prosecution, completion, or repair of a public building or public work, or building or work financed in whole or in part by loans, grants, or guarantees from the United States is employed regardless of any contractual relationship alleged to exist between the contractor and such person.

(p)   The term wages means the basic hourly rate of pay; any contribution irrevocably made by a contractor or subcontractor to a trustee or to a third person pursuant to a bona fide fringe benefit fund, plan, or program; and the rate of costs to the contractor or subcontractor which may be reasonably anticipated in providing bona fide fringe benefits to laborers and mechanics pursuant to an enforceable commitment to carry out a financially responsible plan of program, which was communicated in writing to the laborers and mechanics affected. The fringe benefits enumerated in the Davis-Bacon Act

include medical or hospital care, pensions on retirement or death, compensation for injuries or illness resulting from occupational activity, or insurance to provide any of the foregoing; unemployment benefits; life insurance, disability insurance, sickness insurance, or accident insurance; vacation or holiday pay; defraying costs of apprenticeship or other similar programs; or other bona fide fringe benefits. Fringe benefits do not include benefits required by other Federal, State, or local law.

(q)   The term wage determination includes the original decision and any subsequent decisions modifying, superseding, correcting, or otherwise changing the provisions of the original decision. The application of the wage determination shall be in accordance with the provisions of §1.6 of this title.

[48 FR 19541, Apr. 29, 1983, as amended at 48 FR 50313, Nov. 1, 1983; 55 FR 50149, Dec. 4, 1990; 57 FR 19206, May 4,

1992; 65 FR 69693, Nov. 20, 2000; 65 FR 80278, Dec. 20, 2000; 82 FR 2225, Jan. 9, 2017]

§§5.3-5.4 [Reserved]

§5.5 Contract provisions and related matters.

(a)   The Agency head shall cause or require the contracting officer to insert in full in any contract in excess of $2,000 which is entered into for the actual construction, alteration and/or repair, including painting and decorating, of a public building or public work, or building or work financed in whole or in part from Federal funds or in accordance with guarantees of a Federal agency or financed from funds obtained by pledge of any contract of a Federal agency to make a loan, grant or annual contribution (except where a different meaning is expressly indicated), and which is subject to the labor standards provisions of any of the acts listed in §5.1, the following clauses (or any modifications thereof to meet the particular needs of the agency, Provided, That such modifications are first approved by the Department of Labor):

(1)   Minimum wages. (i) All laborers and mechanics employed or working upon the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics.

Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in §5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a)(1)(ii) of this section) and the Davis- Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.

(ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

(1)   The work to be performed by the classification requested is not performed by a classification in the wage determination; and

(2)   The classification is utilized in the area by the construction industry; and

(3)   The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(B)   If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(C)   In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

(D)   The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.

(iii)   Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.

(iv)   If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.

(2)   Withholding. The (write in name of Federal Agency or the loan or grant recipient) shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the contract, the (Agency) may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

(3)   Payrolls and basic records. (i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the project). Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

(ii)(A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the (write in name of appropriate federal agency) if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant, sponsor, or owner, as the case may be, for transmission to the (write in name of agency). The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee

(e.g., the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the (write in name of appropriate federal agency) if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit them to the applicant, sponsor, or owner, as the case may be, for transmission to the (write in name of agency), the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the sponsoring government agency (or the applicant, sponsor, or owner).

(B)   Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:

(1)   That the payroll for the payroll period contains the information required to be provided under §5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under §5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;

(2)   That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3;

(3)   That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract.

(C)   The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph (a)(3)(ii)(B) of this section.

(D)   The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code.

(iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the (write the name of the agency) or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.

(4)   Apprentices and trainees—(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the

apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(ii)   Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(iii)   Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30.

(5)   Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract.

(6)   Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the (write in the name of the Federal agency) may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5.

(7)   Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.

(8)   Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract.

(9)   Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.

(10)   Certification of eligibility. (i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor’s firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(ii)   No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(iii)   The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.

(b)   Contract Work Hours and Safety Standards Act. The Agency Head shall cause or require the contracting officer to insert the following clauses set forth in paragraphs (b)(1), (2), (3), and (4) of this section in full in any contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by §5.5(a) or §4.6 of part 4 of this title. As used in this paragraph, the terms laborers and mechanics include watchmen and guards.

(1)   Overtime requirements. No contractor or subcontractor contracting for any part of the conract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.

(2)   Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of $26 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1) of this section.

(3)   Withholding for unpaid wages and liquidated damages. The (write in the name of the Federal agency or the loan or grant recipient) shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section.

(4)   Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (b)(1) through (4) of this section.

(c)   In addition to the clauses contained in paragraph (b), in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in §5.1, the Agency Head shall cause or require the contracting officer to insert a clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Further, the Agency Head shall cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the (write the name of agency) and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job.

(The information collection, recordkeeping, and reporting requirements contained in the following paragraphs of this section were approved by the Office of Management and Budget:

[48 FR 19540, Apr. 29, 1983, as amended at 51 FR 12265, Apr. 9, 1986; 55 FR 50150, Dec. 4, 1990; 57 FR 28776, June 26,

1992; 58 FR 58955, Nov. 5, 1993; 61 FR 40716, Aug. 5, 1996; 65 FR 69693, Nov. 20, 2000; 73 FR 77511, Dec. 19, 2008; 81

FR 43450, July 1, 2016; 82 FR 2225, 2226, Jan. 9, 2017; 83 FR 12, Jan 2, 2018]

§5.6 Enforcement.

(a)(1) It shall be the responsibility of the Federal agency to ascertain whether the clauses required by §5.5 have been inserted in the contracts subject to the labor standards provisions of the Acts contained in §5.1. Agencies which do not directly enter into such contracts shall promulgate the necessary regulations or procedures to require the recipient of the Federal assistance to insert in its contracts the provisions of §5.5. No payment, advance, grant, loan, or guarantee of funds shall be approved by the Federal agency unless the agency insures that the clauses required by §5.5 and the appropriate wage determination of the Secretary of Labor are contained in such contracts. Furthermore, no payment, advance, grant, loan, or guarantee of funds shall be approved by the Federal agency after the beginning of construction unless there is on file with the agency a certification by the contractor that the contractor and its subcontractors have complied with the provisions of §5.5 or unless there is on file with the agency a certification by the contractor that there is a substantial dispute with respect to the required provisions.

(2)   Payrolls and Statements of Compliance submitted pursuant to §5.5(a)(3)(ii) shall be preserved by the Federal agency for a period of 3 years from the date of completion of the contract and shall be produced at the request of the Department of Labor at any time during the 3-year period.

(3)   The Federal agency shall cause such investigations to be made as may be necessary to assure compliance with the labor standards clauses required by §5.5 and the applicable statutes listed in §5.1. Investigations shall be made of all contracts with such frequency as may be necessary to assure compliance. Such investigations shall include interviews with employees, which shall be taken in confidence, and examinations of payroll data and evidence of registration and certification with respect to apprenticeship and training plans. In making such examinations, particular care shall be taken to determine the correctness of classifications and to determine whether there is a disproportionate employment of laborers and of apprentices or trainees registered in approved programs. Such investigations shall also include evidence of fringe benefit plans and payments thereunder. Complaints of alleged violations shall be given priority.

(4)   In accordance with normal operating procedures, the contracting agency may be furnished various investigatory material from the investigation files of the Department of Labor. None of the material, other than computations of back wages and liquidated damages and the summary of back wages due, may be disclosed in any manner to anyone other than Federal officials charged with administering the contract or program providing Federal assistance to the contract, without requesting the permission and views of the Department of Labor.

(5)   It is the policy of the Department of Labor to protect the identity of its confidential sources and to prevent an unwarranted invasion of personal privacy. Accordingly, the identity of an employee who makes a written or oral statement as a complaint or in the course of an investigation, as well as portions of the statement which would reveal the employee’s identity, shall not be disclosed in any manner to anyone other than Federal officials without the prior consent of the employee. Disclosure of employee statements shall be governed by the provisions of the “Freedom of Information Act” (5 U.S.C. 552, see 29 CFR part 70) and the “Privacy Act of 1974” (5 U.S.C. 552a).

(b) The Administrator shall cause to be made such investigations as deemed necessary, in order to obtain compliance with the labor standards provisions of the applicable statutes listed in §5.1, or to affirm or reject the recommendations by the Agency Head with respect to labor standards matters arising under the statutes listed in §5.1. Federal agencies, contractors, subcontractors, sponsors, applicants, or owners shall cooperate with any authorized representative of the Department of Labor in the inspection of records, in interviews with workers, and in all other aspects of the investigations. The findings of such an investigation, including amounts found due, may not be altered or reduced without the approval of the Department of Labor. Where the underpayments disclosed by such an investigation total $1,000 or more, where there is reason to believe that the violations are aggravated or willful (or, in the case of the Davis-Bacon Act, that the contractor has disregarded its obligations to employees and subcontractors), or where liquidated damages may be assessed under the Contract Work Hours and Safety Standards Act, the Department of Labor will furnish the Federal agency an enforcement report detailing the labor standards violations disclosed by the investigation and any action taken by the contractor to correct the violative practices, including any payment of back wages. In other circumstances, the Federal agency will be furnished a letter of notification summarizing the findings of the investigation.

§5.7 Reports to the Secretary of Labor.

(a)   Enforcement reports. (1) Where underpayments by a contractor or subcontractor total less than $1,000, and where there is no reason to believe that the violations are aggravated or willful (or, in the case of the Davis-Bacon Act that the contractor

has disregarded its obligations to employees and subcontractors), and where restitution has been effected and future compliance assured, the Federal agency need not submit its investigative findings and recommendations to the Administrator, unless the investigation was made at the request of the Department of Labor. In the latter case, the Federal agency shall submit a factual summary report detailing any violations including any data on the amount of restitution paid, the number of workers who received restitution, liquidated damages assessed under the Contract Work Hours and Safety Standards Act, corrective measures taken (such as “letters of notice”), and any information that may be necessary to review any recommendations for an appropriate adjustment in liquidated damages under §5.8.

(2) Where underpayments by a contractor or subcontractor total $1,000 or more, or where there is reason to believe that the violations are aggravated or willful (or, in the case of the Davis-Bacon Act, that the contractor has disregarded its obligations to employees and subcontractors), the Federal agency shall furnish within 60 days after completion of its investigation, a detailed enforcement report to the Administrator.

(b)   Semi-annual enforcement reports. To assist the Secretary in fulfilling the responsibilities under Reorganization Plan No. 14 of 1950, Federal agencies shall furnish to the Administrator by April 30 and October 31 of each calendar year semi-annual reports on compliance with and enforcement of the labor standards provisions of the Davis-Bacon Act and its related acts covering the periods of October 1 through March 31 and April 1 through September 30, respectively. Such reports shall be prepared in the manner prescribed in memoranda issued to Federal agencies by the Administrator. This report has been cleared in accordance with FPMR 101-11.11 and assigned interagency report control number 1482-DOL-SA.

(c)   Additional information. Upon request, the Agency Head shall transmit to the Administrator such information available to the Agency with respect to contractors and subcontractors, their contracts, and the nature of the contract work as the Administrator may find necessary for the performance of his or her duties with respect to the labor standards provisions referred to in this part.

(d)   Contract termination. Where a contract is terminated by reason of violations of the labor standards provisions of the statutes listed in §5.1, a report shall be submitted promptly to the Administrator and to the Comptroller General (if the contract is subject to the Davis-Bacon Act), giving the name and address of the contractor or subcontractor whose right to proceed has been terminated, and the name and address of the contractor or subcontractor, if any, who is to complete the work, the amount and number of the contract, and the description of the work to be performed.

§5.8 Liquidated damages under the Contract Work Hours and Safety Standards Act.

(a)   The Contract Work Hours and Safety Standards Act requires that laborers or mechanics shall be paid wages at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in any workweek. In the event of violation of this provision, the contractor and any subcontractor shall be liable for the unpaid wages and in addition for liquidated damages, computed with respect to each laborer or mechanic employed in violation of the Act in the amount of

$26 for each calendar day in the workweek on which such individual was required or permitted to work in excess of forty hours without payment of required overtime wages. Any contractor of subcontractor aggrieved by the withholding of liquidated damages shall have the right to appeal to the head of the agency of the United States (or the territory of District of Columbia, as appropriate) for which the contract work was performed or for which financial assistance was provided.

(b)   Findings and recommendations of the Agency Head. The Agency Head has the authority to review the administrative determination of liquidated damages and to issue a final order affirming the determination. It is not necessary to seek the concurrence of the Administrator but the Administrator shall be advised of the action taken. Whenever the Agency Head finds that a sum of liquidated damages administratively determined to be due is incorrect or that the contractor or subcontractor violated inadvertently the provisions of the Act notwithstanding the exercise of due care upon the part of the contractor or subcontractor involved, and the amount of the liquidated damages computed for the contract is in excess of

$500, the Agency Head may make recommendations to the Secretary that an appropriate adjustment in liquidated damages be made or that the contractor or subcontractor be relieved of liability for such liquidated damages. Such findings with respect to liquidated damages shall include findings with respect to any wage underpayments for which the liquidated damages are determined.

(c)   The recommendations of the Agency Head for adjustment or relief from liquidated damages under paragraph (a) of this section shall be reviewed by the Administrator or an authorized representative who shall issue an order concurring in the recommendations, partially concurring in the recommendations, or rejecting the recommendations, and the reasons therefor. The order shall be the final decision of the Department of Labor, unless a petition for review is filed pursuant to part 7 of this title, and the Administrative Review Board in its discretion reviews such decision and order; or, with respect to contracts subject to the Service Contract Act, unless petition for review is filed pursuant to part 8 of this title, and the Administrative Review Board in its discretion reviews such decision and order.

(d)   Whenever the Agency Head finds that a sum of liquidated damages administratively determined to be due under section 104(a) of the Contract Work Hours and Safety Standards Act for a contract is $500 or less and the Agency Head finds that the sum of liquidated damages is incorrect or that the contractor or subcontractor violated inadvertently the provisions of the Contract Work Hours and Safety Standards Act notwithstanding the exercise of due care upon the part of the contractor or

subcontractor involved, an appropriate adjustment may be made in such liquidated damages or the contractor or subcontractor may be relieved of liability for such liquidated damages without submitting recommendations to this effect or a report to the Department of Labor. This delegation of authority is made under section 105 of the Contract Work Hours and Safety Standards Act and has been found to be necessary and proper in the public interest to prevent undue hardship and to avoid serious impairment of the conduct of Government business.

[48 FR 19541, Apr. 29, 1983, as amended at 51 FR 12265, Apr. 9, 1986; 51 FR 13496, Apr. 21, 1986; 81 FR 43450, July 1,

2016; 83 FR 12, Jan. 2, 2018]

§5.9 Suspension of funds.

In the event of failure or refusal of the contractor or any subcontractor to comply with the labor standards clauses contained in §5.5 and the applicable statutes listed in §5.1, the Federal agency, upon its own action or upon written request of an authorized representative of the Department of Labor, shall take such action as may be necessary to cause the suspension of the payment, advance or guarantee of funds until such time as the violations are discontinued or until sufficient funds are withheld to compensate employees for the wages to which they are entitled and to cover any liquidated damages which may be due.

§5.10 Restitution, criminal action.

(a)   In cases other than those forwarded to the Attorney General of the United States under paragraph (b), of this section, where violations of the labor standards clauses contained in §5.5 and the applicable statutes listed in §5.1 result in underpayment of wages to employees, the Federal agency or an authorized representative of the Department of Labor shall request that restitution be made to such employees or on their behalf to plans, funds, or programs for any type of bona fide fringe benefits within the meaning of section 1(b)(2) of the Davis-Bacon Act.

(b)   In cases where the Agency Head or the Administrator finds substantial evidence that such violations are willful and in violation of a criminal statute, the matter shall be forwarded to the Attorney General of the United States for prosecution if the facts warrant. In all such cases the Administrator shall be informed simultaneously of the action taken.

§5.11 Disputes concerning payment of wages.

(a) This section sets forth the procedure for resolution of disputes of fact or law concerning payment of prevailing wage rates, overtime pay, or proper classification. The procedures in this section may be initiated upon the Administrator’s own motion, upon referral of the dispute by a Federal agency pursuant to §5.5(a)(9), or upon request of the contractor or subcontractor(s).

(b)(1) In the event of a dispute described in paragraph (a) of this section in which it appears that relevant facts are at issue, the Administrator will notify the affected contractor and subcontractor(s) (if any), by registered or certified mail to the last known address, of the investigation findings. If the Administrator determines that there is reasonable cause to believe that the contractor and/or subcontractor(s) should also be subject to debarment under the Davis-Bacon Act or §5.12(a)(1), the letter will so indicate.

(2)   A contractor and/or subcontractor desiring a hearing concerning the Administrator’s investigative findings shall request such a hearing by letter postmarked within 30 days of the date of the Administrator’s letter. The request shall set forth those findings which are in dispute and the reasons therefor, including any affirmative defenses, with respect to the violations and/or debarment, as appropriate.

(3)   Upon receipt of a timely request for a hearing, the Administrator shall refer the case to the Chief Administrative Law Judge by Order of Reference, to which shall be attached a copy of the letter from the Administrator and response thereto, for designation of an Administrative Law Judge to conduct such hearings as may be necessary to resolve the disputed matters. The hearing shall be conducted in accordance with the procedures set forth in 29 CFR part 6.

(c)(1) In the event of a dispute described in paragraph (a) of this section in which it appears that there are no relevant facts at issue, and where there is not at that time reasonable cause to institute debarment proceedings under §5.12, the Administrator shall notify the contractor and subcontractor(s) (if any), by registered or certified mail to the last known address, of the investigation findings, and shall issue a ruling on any issues of law known to be in dispute.

(2)(i) If the contractor and/or subcontractor(s) disagree with the factual findings of the Administrator or believe that there are relevant facts in dispute, the contractor or subcontractor(s) shall so advise the Administrator by letter postmarked within 30 days of the date of the Administrator’s letter. In the response, the contractor and/or subcontractor(s) shall explain in detail the facts alleged to be in dispute and attach any supporting documentation.

(ii) Upon receipt of a response under paragraph (c)(2)(i) of this section alleging the existence of a factual dispute, the Administrator shall examine the information submitted. If the Administrator determines that there is a relevant issue of fact, the Administrator shall refer the case to the Chief Administrative Law Judge in accordance with paragraph (b)(3) of this section. If the Administrator determines that there is no relevant issue of fact, the Administrator shall so rule and advise the contractor and subcontractor(s) (if any) accordingly.

(3) If the contractor and/or subcontractor(s) desire review of the ruling issued by the Administrator under paragraph (c)(1) or

(2) of this section, the contractor and/or subcontractor(s) shall file a petition for review thereof with the Administrative Review Board within 30 days of the date of the ruling, with a copy thereof the Administrator. The petition for review shall be filed in accordance with part 7 of this title.

(d) If a timely response to the Administrator’s findings or ruling is not made or a timely petition for review is not filed, the Administrator’s findings and/or ruling shall be final, except that with respect to debarment under the Davis-Bacon Act, the Administrator shall advise the Comptroller General of the Administrator’s recommendation in accordance with §5.12(a)(1). If a timely response or petition for review is filed, the findings and/or ruling of the Administrator shall be inoperative unless and until the decision is upheld by the Administrative Law Judge or the Administrative Review Board.

§5.12 Debarment proceedings.

(a)(1) Whenever any contractor or subcontractor is found by the Secretary of Labor to be in aggravated or willful violation of the labor standards provisions of any of the applicable statutes listed in §5.1 other than the Davis-Bacon Act, such contractor or subcontractor or any firm, corporation, partnership, or association in which such contractor or subcontractor has a substantial interest shall be ineligible for a period not to exceed 3 years (from the date of publication by the Comptroller General of the name or names of said contractor or subcontractor on the ineligible list as provided below) to receive any contracts or subcontracts subject to any of the statutes listed in §5.1.

(2) In cases arising under contracts covered by the Davis-Bacon Act, the Administrator shall transmit to the Comptroller General the names of the contractors or subcontractors and their responsible officers, if any (and any firms in which the contractors or subcontractors are known to have an interest), who have been found to have disregarded their obligations to employees, and the recommendation of the Secretary of Labor or authorized representative regarding debarment. The Comptroller General will distribute a list to all Federal agencies giving the names of such ineligible person or firms, who shall be ineligible to be awarded any contract or subcontract of the United States or the District of Columbia and any contract or subcontract subject to the labor standards provisions of the statutes listed in §5.1.

(b)(1) In addition to cases under which debarment action is initiated pursuant to §5.11, whenever as a result of an investigation conducted by the Federal agency or the Department of Labor, and where the Administrator finds reasonable cause to believe that a contractor or subcontractor has committed willful or aggravated violations of the labor standards provisions of any of the statutes listed in §5.1 (other than the Davis-Bacon Act), or has committed violations of the Davis- Bacon Act which constitute a disregard of its obligations to employees or subcontractors under section 3(a) thereof, the Administrator shall notify by registered or certified mail to the last known address, the contractor or subcontractor and its responsible officers, if any (and any firms in which the contractor or subcontractor are known to have a substantial interest), of the finding. The Administrator shall afford such contractor or subcontractor and any other parties notified an opportunity for a hearing as to whether debarment action should be taken under paragraph (a)(1) of this section or section 3(a) of the Davis-Bacon Act. The Administrator shall furnish to those notified a summary of the investigative findings. If the contractor or subcontractor or any other parties notified wish to request a hearing as to whether debarment action should be taken, such a request shall be made by letter postmarked within 30 days of the date of the letter from the Administrator, and shall set forth any findings which are in dispute and the reasons therefor, including any affirmative defenses to be raised. Upon receipt of such request for a hearing, the Administrator shall refer the case to the Chief Administrative Law Judge by Order of Reference, to which shall be attached a copy of the letter from the Administrator and the response thereto, for designation of an Administrative Law Judge to conduct such hearings as may be necessary to determine the matters in dispute. In considering debarment under any of the statutes listed in §5.1 other than the Davis-Bacon Act, the Administrative Law Judge shall issue an order concerning whether the contractor or subcontractor is to be debarred in accordance with paragraph (a)(1) of this section. In considering debarment under the Davis-Bacon Act, the Administrative Law Judge shall issue a recommendation as to whether the contractor or subcontractor should be debarred under section 3(a) of the Act.

(2) Hearings under this section shall be conducted in accordance with 29 CFR part 6. If no hearing is requested within 30 days of receipt of the letter from the Administrator, the Administrator’s findings shall be final, except with respect to recommendations regarding debarment under the Davis-Bacon Act, as set forth in paragraph (a)(2) of this section.

(c) Any person or firm debarred under paragraph (a)(1) of this section may in writing request removal from the debarment list after six months from the date of publication by the Comptroller General of such person or firm’s name on the ineligible list. Such a request should be directed to the Administrator of the Wage and Hour Division, U.S. Department of Labor, Washington, DC 20210, and shall contain a full explanation of the reasons why such person or firm should be removed from the ineligible list. In cases where the contractor or subcontractor failed to make full restitution to all underpaid employees, a request for removal will not be considered until such underpayments are made. In all other cases, the Administrator will examine the facts and circumstances surrounding the violative practices which caused the debarment, and issue a decision as to whether or not such person or firm has demonstrated a current responsibility to comply with the labor standards provisions of the statutes listed in §5.1, and therefore should be removed from the ineligible list. Among the factors to be considered in reaching such a decision are the severity of the violations, the contractor or subcontractor’s attitude towards compliance, and the past compliance history of the firm. In no case will such removal be effected unless the Administrator determines after an investigation that such person or firm is in compliance with the labor standards provisions applicable to Federal contracts and Federally assisted construction work subject to any of the applicable statutes listed in §5.1 and other labor statutes providing wage protection, such as the Service Contract Act, the Walsh-Healey Public Contracts Act, and the Fair Labor Standards Act. If the request for removal is denied, the person or firm may petition for review by the Administrative Review Board pursuant to 29 CFR part 7.

(d)(1) Section 3(a) of the Davis-Bacon Act provides that for a period of three years from date of publication on the ineligible list, no contract shall be awarded to any persons or firms placed on the list as a result of a finding by the Comptroller General that such persons or firms have disregarded obligations to employees and subcontractors under that Act, and further, that no contract shall be awarded to “any firm, corporation, partnership, or association in which such persons or firms have an interest.” Paragraph (a)(1) of this section similarly provides that for a period not to exceed three years from date of publication on the ineligible list, no contract subject to any of the statutes listed in §5.1 shall be awarded to any contractor or subcontractor on the ineligible list pursuant to that paragraph, or to “any firm, corporation, partnership, or association” in which such contractor or subcontractor has a “substantial interest.” A finding as to whether persons or firms whose names appear on the ineligible list have an interest (or a substantial interest, as appropriate) in any other firm, corporation, partnership, or association, may be made through investigation, hearing, or otherwise.

(2)(i) The Administrator, on his/her own motion or after receipt of a request for a determination pursuant to paragraph (d)(3) of this section may make a finding on the issue of interest (or substantial interest, as appropriate).

(ii)   If the Administrator determines that there may be an interest (or substantial interest, as appropriate), but finds that there is insufficient evidence to render a final ruling thereon, the Administrator may refer the issue to the Chief Administrative Law Judge in accordance with paragraph (d)(4) of this section.

(iii)   If the Administrator finds that no interest (or substantial interest, as appropriate) exists, or that there is not sufficient information to warrant the initiation of an investigation, the requesting party, if any, will be so notified and no further action taken.

(iv)(A) If the Administrator finds that an interest (or substantial interest, as appropriate) exists, the person or firm affected will be notified of the Administrator’s finding (by certified mail to the last known address), which shall include the reasons therefor, and such person or firm shall be afforded an opportunity to request that a hearing be held to render a decision on the issue.

(B)   Such person or firm shall have 20 days from the date of the Administrator’s ruling to request a hearing. A detailed statement of the reasons why the Administrator’s ruling is in error, including facts alleged to be in dispute, if any, shall be submitted with the request for a hearing.

(C)   If no hearing is requested within the time mentioned in paragraph (d)(2)(iv)(B) of this section, the Administrator’s finding shall be final and the Administrator shall so notify the Comptroller General. If a hearing is requested, the ruling of the Administrator shall be inoperative unless and until the administrative law judge or the Administrative Review Board issues an order that there is an interest (or substantial interest, as appropriate).

(3)(i) A request for a determination of interest (or substantial interest, as appropriate), may be made by any interested party, including contractors or prospective contractors and associations of contractor’s representatives of employees, and interested Government agencies. Such a request shall be submitted in writing to the Administrator, Wage and Hour Division, U.S. Department of Labor, Washington, DC 20210.

(ii) The request shall include a statement setting forth in detail why the petitioner believes that a person or firm whose name appears on the debarred bidders list has an interest (or a substantial interest, as appropriate) in any firm, corporation, partnership, or association which is seeking or has been awarded a contract of the United States or the District of Columbia, or which is subject to any of the statutes listed in §5.1. No particular form is prescribed for the submission of a request under this section.

(4)   Referral to the Chief Administrative Law Judge. The Administrator, on his/her own motion under paragraph (d)(2)(ii) of this section or upon a request for hearing where the Administrator determines that relevant facts are in dispute, will by order refer the issue to the Chief Administrative Law Judge, for designation of an Administrative Law Judge who shall conduct such hearings as may be necessary to render a decision solely on the issue of interest (or substantial interest, as appropriate). Such proceedings shall be conducted in accordance with the procedures set forth at 29 CFR part 6.

(5)   Referral to the Administrative Review Board. If the person or firm affected requests a hearing and the Administrator determines that relevant facts are not in dispute, the Administrator will refer the issue and the record compiled thereon to the Administrative Review Board to render a decision solely on the issue of interest (or substantial interest, as appropriate). Such proceeding shall be conducted in accordance with the procedures set forth at 29 CFR part 7.

[48 FR 19541, Apr. 29, 1983, as amended at 48 FR 50313, Nov. 1, 1983; 82 FR 2226, Jan. 9, 2017]

§5.13 Rulings and interpretations.

All questions relating to the application and interpretation of wage determinations (including the classifications therein) issued pursuant to part 1 of this subtitle, of the rules contained in this part and in parts 1 and 3, and of the labor standards provisions of any of the statutes listed in §5.1 shall be referred to the Administrator for appropriate ruling or interpretation. The rulings and interpretations shall be authoritative and those under the Davis-Bacon Act may be relied upon as provided for in section 10 of the Portal-to-Portal Act of 1947 (29 U.S.C. 259). Requests for such rulings and interpretations should be addressed to the Administrator, Wage and Hour Division, U.S. Department of Labor, Washington, DC 20210.

[82 FR 2226, Jan. 9, 2017]

§5.14 Variations, tolerances, and exemptions from parts 1 and 3 of this subtitle and this part.

The Secretary of Labor may make variations, tolerances, and exemptions from the regulatory requirements of this part and those of parts 1 and 3 of this subtitle whenever the Secretary finds that such action is necessary and proper in the public interest or to prevent injustice and undue hardship. Variations, tolerances, and exemptions may not be made from the statutory requirements of any of the statutes listed in §5.1 unless the statute specifically provides such authority.

§5.15 Limitations, variations, tolerances, and exemptions under the Contract Work Hours and Safety Standards Act.

(a)   General. Upon his or her own initiative or upon the request of any Federal agency, the Secretary of Labor may provide under section 105 of the Contract Work Hours and Safety Standards Act reasonable limitations and allow variations, tolerances, and exemptions to and from any or all provisions of that Act whenever the Secretary finds such action to be necessary and proper in the public interest to prevent injustice, or undue hardship, or to avoid serious impairment of the conduct of Government business. Any request for such action by the Secretary shall be submitted in writing, and shall set forth the reasons for which the request is made.

(b)   Exemptions. Pursuant to section 105 of the Contract Work Hours and Safety Standards Act, the following classes of contracts are found exempt from all provisions of that Act in order to prevent injustice, undue hardship, or serious impairment of Government business:

(1)   Contract work performed in a workplace within a foreign country or within territory under the jurisdiction of the United States other than the following: A State of the United States; the District of Columbia; Puerto Rico; the Virgin Islands; Outer Continental Shelf lands defined in the Outer Continental Shelf Lands Act (ch. 345, 67 Stat. 462); American Samoa; Guam; Wake Island; Eniwetok Atoll; Kwajalein Atoll; and Johnston Island.

(2)   Agreements entered into by or on behalf of the Commodity Credit Corporation providing for the storing in or handling by commercial warehouses of wheat, corn, oats, barley, rye, grain sorghums, soybeans, flaxseed, rice, naval stores, tobacco, peanuts, dry beans, seeds, cotton, and wool.

(3)   Sales of surplus power by the Tennessee Valley Authority to States, counties, municipalities, cooperative organization of citizens or farmers, corporations and other individuals pursuant to section 10 of the Tennessee Valley Authority Act of 1933 (16 U.S.C. 8311).

(c)   Tolerances. (1) The “basic rate of pay” under section 102 of the Contract Work Hours and Safety Standards Act may be computed as an hourly equivalent to the rate on which time-and-one-half overtime compensation may be computed and paid under section 7 of the Fair Labor Standards Act of 1938, as amended (29 U.S.C. 207), as interpreted in part 778 of this title. This tolerance is found to be necessary and proper in the public interest in order to prevent undue hardship.

(2)   Concerning the tolerance provided in paragraph (c)(1) of this section, the provisions of section 7(d)(2) of the Fair Labor Standards Act and §778.7 of this title should be noted. Under these provisions, payments for occasional periods when no work is performed, due to vacations, and similar causes are excludable from the “regular rate” under the Fair Labor Standards Act. Such payments, therefore, are also excludable from the “basic rate” under the Contract Work Hours and Safety Standards Act.

(3)   See §5.8(c) providing a tolerance subdelegating authority to the heads of agencies to make appropriate adjustments in the assessment of liquidated damages totaling $500 or less under specified circumstances.

(4)(i) Time spent in an organized program of related, supplemental instruction by laborers or mechanics employed under bona fide apprenticeship or training programs may be excluded from working time if the criteria prescribed in paragraphs (c)(4)(ii) and (iii) of this section are met.

(ii)   The apprentice or trainee comes within the definition contained in §5.2(n).

(iii)   The time in question does not involve productive work or performance of the apprentice’s or trainee’s regular duties.

(d)   Variations. (1) In the event of failure or refusal of the contractor or any subcontractor to comply with overtime pay requirements of the Contract Work Hours and Safety Standards Act, if the funds withheld by Federal agencies for the violations are not sufficient to pay fully both the unpaid wages due laborers and mechanics and the liquidated damages due the United States, the available funds shall be used first to compensate the laborers and mechanics for the wages to which they are entitled (or an equitable portion thereof when the funds are not adequate for this purpose); and the balance, if any, shall be used for the payment of liquidated damages.

(2)   In the performance of any contract entered into pursuant to the provisions of 38 U.S.C. 620 to provide nursing home care of veterans, no contractor or subcontractor under such contract shall be deemed in violation of section 102 of the Contract Work Hours and Safety Standards Act by virtue of failure to pay the overtime wages required by such section for work in excess of 40 hours in the workweek to any individual employed by an establishment which is an institution primarily engaged in the care of the sick, the aged, or the mentally ill or defective who reside on the premises if, pursuant to an agreement or understanding arrived at between the employer and the employee before performance of the work, a work period of 14 consecutive days is accepted in lieu of the workweek of 7 consecutive days for the purpose of overtime compensation and if such individual receives compensation for employment in excess of 8 hours in any workday and in excess of 80 hours in such 14-day period at a rate not less than 11⁄2 times the regular rate at which the individual is employed, computed in accordance with the requirements of the Fair Labor Standards Act of 1938, as amended.

(3)   Any contractor or subcontractor performing on a government contract the principal purpose of which is the furnishing of fire fighting or suppression and related services, shall not be deemed to be in violation of section 102 of the Contract Work Hour and Safety Standards Act for failing to pay the overtime compensation required by section 102 of the Act in accordance with the basic rate of pay as defined in paragraph (c)(1) of this section, to any pilot or copilot of a fixed-wing or rotary-wing aircraft employed on such contract if:

(i)  Pursuant to a written employment agreement between the contractor and the employee which is arrived at before performance of the work.

(A)   The employee receives gross wages of not less than $300 per week regardless of the total number of hours worked in any workweek, and

(B)   Within any workweek the total wages which an employee receives are not less than the wages to which the employee would have been entitled in that workweek if the employee were paid the minimum hourly wage required under the contract pursuant to the provisions of the Service Contract Act of 1965 and any applicable wage determination issued thereunder for all hours worked, plus an additional premium payment of one-half times such minimum hourly wage for all hours worked in excess of 40 hours in the workweek;

(ii)   The contractor maintains accurate records of the total daily and weekly hours of work performed by such employee on the government contract. In the event these conditions for the exemption are not met, the requirements of section 102 of the Contract Work Hours and Safety Standards Act shall be applicable to the contract from the date the contractor or subcontractor fails to satisfy the conditions until completion of the contract.

(Reporting and recordkeeping requirements in paragraph (d)(2) have been approved by the Office of Management and Budget under control numbers 1235-0023 and 1235-0018. Reporting and recordkeeping requirements in paragraph (d)(3)(ii) have been approved by the Office of Management and Budget under control number 1235-0018)

[48 FR 19541, Apr. 29, 1983, as amended at 51 FR 12265, Apr. 9, 1986; 61 FR 40716, Aug. 5, 1996; 82 FR 2226, Jan. 9,

2017]

§5.16 Training plans approved or recognized by the Department of Labor prior to August 20, 1975.

(a)   Notwithstanding the provisions of §5.5(a)(4)(ii) relating to the utilization of trainees on Federal and federally assisted construction, no contractor shall be required to obtain approval of a training program which, prior to August 20, 1975, was approved by the Department of Labor for purposes of the Davis-Bacon and Related Acts, was established by agreement of organized labor and management and therefore recognized by the Department, and/or was recognized by the Department under Executive Order 11246, as amended. A copy of the program and evidence of its prior approval, if applicable shall be submitted to the Employment and Training Administration, which shall certify such prior approval or recognition of the program. In every other respect, the provisions of §5.5(a)(4)(ii)—including those relating to registration of trainees, permissible ratios, and wage rates to be paid—shall apply to these programs.

(b)   Every trainee employed on a contract executed on and after August 20, 1975, in one of the above training programs must be individually registered in the program in accordance with Employment and Training Administration procedures, and must be paid at the rate specified in the program for the level of progress. Any such employee listed on the payroll at a trainee rate who is not registered and participating in a program certified by ETA pursuant to this section, or approved and certified by ETA pursuant to §5.5(a)(4)(ii), must be paid the wage rate determined by the Secretary of Labor for the classification of work actually performed. The ratio of trainees to journeymen shall not be greater than permitted by the terms of the program.

(c)   In the event a program which was recognized or approved prior to August 20, 1975, is modified, revised, extended, or renewed, the changes in the program or its renewal must be approved by the Employment and Training Administration before they may be placed into effect.

§5.17 Withdrawal of approval of a training program.

If at any time the Employment and Training Administration determines, after opportunity for a hearing, that the standards of any program, whether it is one recognized or approved prior to August 20, 1975, or a program subsequently approved, have not been complied with, or that such a program fails to provide adequate training for participants, a contractor will no longer be permitted to utilize trainees at less than the predetermined rate for the classification of work actually performed until an acceptable program is approved.

Subpart B—Interpretation of the Fringe Benefits Provisions of the Davis-Bacon Act Source: 29 FR 13465, Sept. 30, 1964, unless otherwise noted.

§5.20 Scope and significance of this subpart.

The 1964 amendments (Pub. L. 88-349) to the Davis-Bacon Act require, among other things, that the prevailing wage determined for Federal and federally-assisted construction include: (a) The basic hourly rate of pay; and (b) the amount contributed by the contractor or subcontractor for certain fringe benefits (or the cost to them of such benefits). The purpose of this subpart is to explain the provisions of these amendments. This subpart makes available in one place official interpretations of the fringe benefits provisions of the Davis-Bacon Act. These interpretations will guide the Department of Labor in carrying out its responsibilities under these provisions. These interpretations are intended also for the guidance of contractors, their associations, laborers and mechanics and their organizations, and local, State and Federal agencies, who may be concerned with these provisions of the law. The interpretations contained in this subpart are authoritative and may be relied upon as provided for in section 10 of the Portal-to-Portal Act of 1947 (29 U.S.C. 359). The omission to discuss a particular problem in this subpart or in interpretations supplementing it should not be taken to indicate the adoption of any position by the Secretary of Labor with respect to such problem or to constitute an administrative interpretation, practice, or

enforcement policy. Questions on matters not fully covered by this subpart may be referred to the Secretary for interpretation as provided in §5.12.

§5.21 [Reserved]

§5.22 Effect of the Davis-Bacon fringe benefits provisions.

The Davis-Bacon Act and the prevailing wage provisions of the related statutes listed in §1.1 of this subtitle confer upon the Secretary of Labor the authority to predetermine, as minimum wages, those wage rates found to be prevailing for corresponding classes of laborers and mechanics employed on projects of a character similar to the contract work in the area in which the work is to be performed. See paragraphs (a) and (b) of §1.2 of this subtitle. The fringe benefits amendments enlarge the scope of this authority by including certain bona fide fringe benefits within the meaning of the terms “wages”, “scale of wages”, “wage rates”, “minimum wages” and “prevailing wages”, as used in the Davis-Bacon Act.

§5.23 The statutory provisions.

The fringe benefits provisions of the 1964 amendments to the Davis-Bacon Act are, in part, as follows:

(b)   As used in this Act the term “wages”, “scale of wages”, “wage rates”, “minimum wages”, and “prevailing wages” shall include—

(1)   The basic hourly rate of pay; and

(2)   The amount of—

(A)   The rate of contribution irrevocably made by a contractor or subcontractor to a trustee or to a third person pursuant to a fund, plan, or program; and

(B)   The rate of costs to the contractor or subcontractor which may be reasonably anticipated in providing benefits to laborers and mechanics pursuant to an enforceable commitment to carry out a financially responsible plan or program which was communicated in writing to the laborers and mechanics affected,

for medical or hospital care, pensions on retirement or death, compensation for injuries or illness resulting from occupational activity, or insurance to provide any of the foregoing, for unemployment benefits, life insurance, disability and sickness insurance, or accident insurance, for vacation and holiday pay, for defraying costs of apprenticeship or other similar programs, or for other bona fide fringe benefits, but only where the contractor or subcontractor is not required by other Federal, State, or local law to provide any of such benefits * * *.

§5.24 The basic hourly rate of pay.

“The basic hourly rate of pay” is that part of a laborer’s or mechanic’s wages which the Secretary of Labor would have found and included in wage determinations prior to the 1964 amendments. The Secretary of Labor is required to continue to make a separate finding of this portion of the wage. In general, this portion of the wage is the cash payment made directly to the laborer or mechanic. It does not include fringe benefits.

§5.25 Rate of contribution or cost for fringe benefits.

(a)   Under the amendments, the Secretary is obligated to make a separate finding of the rate of contribution or cost of fringe benefits. Only the amount of contributions or costs for fringe benefits which meet the requirements of the act will be considered by the Secretary. These requirements are discussed in this subpart.

(b)   The rate of contribution or cost is ordinarily an hourly rate, and will be reflected in the wage determination as such. In some cases, however, the contribution or cost for certain fringe benefits may be expressed in a formula or method of payment other than an hourly rate. In such cases, the Secretary may in his discretion express in the wage determination the rate of contribution or cost used in the formula or method or may convert it to an hourly rate of pay whenever he finds that such action would facilitate the administration of the Act. See §5.5(a)(1)(i) and (iii).

§5.26 “* * * contribution irrevocably made * * * to a trustee or to a third person”.

Under the fringe benefits provisions (section 1(b)(2) of the Act) the amount of contributions for fringe benefits must be made to a trustee or to a third person irrevocably. The “third person” must be one who is not affiliated with the contractor or subcontractor. The trustee must assume the usual fiduciary responsibilities imposed upon trustees by applicable law. The trust or fund must be set up in such a way that in no event will the contractor or subcontractor be able to recapture any of the contributions paid in or any way divert the funds to his own use or benefit. Although contributions made to a trustee or third person pursuant to a benefit plan must be irrevocably made, this does not prevent return to the contractor or subcontractor of sums which he had paid in excess of the contributions actually called for by the plan, as where such excess payments result from error or from the necessity of making payments to cover the estimated cost of contributions at a time when the exact amount of the necessary contributions under the plan is not yet ascertained. For example, a benefit plan may provide for definite insurance benefits for employees in the event of the happening of a specified contingency such as death, sickness, accident, etc., and may provide that the cost of such definite benefits, either in full or any balance in excess of specified employee contributions, will be borne by the contractor or subcontractor. In such a case the return by the insurance company to the contractor or subcontractor of sums paid by him in excess of the amount required to provide the benefits which, under the plan, are to be provided through contributions by the contractor or subcontractor, will not be deemed a recapture or diversion by the employer of contributions made pursuant to the plan. (See Report of the Senate Committee on Labor and Public Welfare, S. Rep. No. 963, 88th Cong., 2d Sess., p. 5.)

§5.27 “* * * fund, plan, or program”.

The contributions for fringe benefits must be made pursuant to a fund, plan or program (sec. 1(b)(2)(A) of the act). The phrase “fund, plan, or program” is merely intended to recognize the various types of arrangements commonly used to provide fringe benefits through employer contributions. The phrase is identical with language contained in section 3(1) of the Welfare and Pension Plans Disclosure Act. In interpreting this phrase, the Secretary will be guided by the experience of the Department in administering the latter statute. (See Report of Senate Committee on Labor and Public Welfare, S. Rep. No.

963, 88th Cong., 2d Sess., p. 5.)

§5.28 Unfunded plans.

(a)   The costs to a contractor or subcontractor which may be reasonably anticipated in providing benefits of the types described in the act pursuant to an enforceable commitment to carry out a financially responsible plan or program, are considered fringe benefits within the meaning of the act (see 1(b)(2)(B) of the act). The legislative history suggests that these provisions were intended to permit the consideration of fringe benefits meeting, among others, these requirements and which are provided from the general assets of a contractor or subcontractor. (Report of the House Committee on Education and Labor, H. Rep. No. 308, 88th Cong., 1st Sess., p. 4.)

(b)   No type of fringe benefit is eligible for consideration as a so-called unfunded plan unless:

(1)   It could be reasonably anticipated to provide benefits described in the act;

(2)   It represents a commitment that can be legally enforced;

(3)   It is carried out under a financially responsible plan or program; and

(4)   The plan or program providing the benefits has been communicated in writing to the laborers and mechanics affected. (See S. Rep. No. 963, p. 6.)

(c)   It is in this manner that the act provides for the consideration of unfunded plans or programs in finding prevailing wages and in ascertaining compliance with the Act. At the same time, however, there is protection against the use of this provision as a means of avoiding the act’s requirements. The words “reasonably anticipated” are intended to require that any unfunded plan or program be able to withstand a test which can perhaps be best described as one of actuarial soundness. Moreover, as in the case of other fringe benefits payable under the act, an unfunded plan or program must be “bona fide” and not a mere simulation or sham for avoiding compliance with the act. (See S. Rep. No. 963, p. 6.) The legislative history suggests that in order to insure against the possibility that these provisions might be used to avoid compliance with the act, the committee contemplates that the Secretary of Labor in carrying out his responsibilities under Reorganization Plan No. 14 of 1950, may direct a contractor or subcontractor to set aside in an account assets which, under sound actuarial principles, will be sufficient to meet the future obligation under the plan. The preservation of this account for the purpose intended would, of course, also be essential. (S. Rep. No. 963, p. 6.) This is implemented by the contractual provisions required by §5.5(a)(1)(iv).

§5.29 Specific fringe benefits.

(a)   The act lists all types of fringe benefits which the Congress considered to be common in the construction industry as a whole. These include the following: Medical or hospital care, pensions on retirement or death, compensation for injuries or illness resulting from occupational activity, or insurance to provide any of the foregoing, unemployment benefits, life insurance, disability and sickness insurance, or accident insurance, vacation and holiday pay, defrayment of costs of apprenticeship or other similar programs, or other bona fide fringe benefits, but only where the contractor or subcontractor is not required by other Federal, State, or local law to provide any of such benefits.

(b)   The legislative history indicates that it was not the intent of the Congress to impose specific standards relating to administration of fringe benefits. It was assumed that the majority of fringe benefits arrangements of this nature will be those which are administered in accordance with requirements of section 302(c)(5) of the National Labor Relations Act, as amended (S. Rep. No. 963, p. 5).

(c)   The term “other bona fide fringe benefits” is the so-called “open end” provision. This was included so that new fringe benefits may be recognized by the Secretary as they become prevailing. It was pointed out that a particular fringe benefit need not be recognized beyond a particular area in order for the Secretary to find that it is prevailing in that area. (S. Rep. No. 963, p. 6).

(d)   The legislative reports indicate that, to insure against considering and giving credit to any and all fringe benefits, some of which might be illusory or not genuine, the qualification was included that such fringe benefits must be “bona fide” (H. Rep. No. 308, p. 4; S. Rep. No. 963, p. 6). No difficulty is anticipated in determining whether a particular fringe benefit is “bona fide” in the ordinary case where the benefits are those common in the construction industry and which are established under a usual fund, plan, or program. This would be typically the case of those fringe benefits listed in paragraph (a) of this section which are funded under a trust or insurance program. Contractors may take credit for contributions made under such conventional plans without requesting the approval of the Secretary of Labor under §5.5(a)(1)(iv).

(e)   Where the plan is not of the conventional type described in the preceding paragraph, it will be necessary for the Secretary to examine the facts and circumstances to determine whether they are “bona fide” in accordance with requirements of the act. This is particularly true with respect to unfunded plans. Contractors or subcontractors seeking credit under the act for costs incurred for such plans must request specific permission from the Secretary under §5.5(a)(1)(iv).

(f)  The act excludes fringe benefits which a contractor or subcontractor is obligated to provide under other Federal, State, or local law. No credit may be taken under the act for the payments made for such benefits. For example, payment for workmen’s compensation insurance under either a compulsory or elective State statute are not considered payments for fringe benefits under the Act. While each situation must be separately considered on its own merits, payments made for travel, subsistence or to industry promotion funds are not normally payments for fringe benefits under the Act. The omission in the Act of any express reference to these payments, which are common in the construction industry, suggests that these payments should not normally be regarded as bona fide fringe benefits under the Act.

§5.30 Types of wage determinations.

(a)   When fringe benefits are prevailing for various classes of laborers and mechanics in the area of proposed construction, such benefits are includable in any Davis-Bacon wage determination. Illustrations, contained in paragraph (c) of this section, demonstrate some of the different types of wage determinations which may be made in such cases.

(b)   Wage determinations of the Secretary of Labor under the act do not include fringe benefits for various classes of laborers and mechanics whenever such benefits do not prevail in the area of proposed construction. When this occurs the wage determination will contain only the basic hourly rates of pay, that is only the cash wages which are prevailing for the various classes of laborers and mechanics. An illustration of this situation is contained in paragraph (c) of this section.

(c)   Illustrations:

(It should be noted this format is not necessarily in the exact form in which determinations will issue; it is for illustration only.)

§5.31 Meeting wage determination obligations.

(a)   A contractor or subcontractor performing work subject to a Davis-Bacon wage determination may discharge his minimum wage obligations for the payment of both straight time wages and fringe benefits by paying in cash, making payments or incurring costs for “bona fide” fringe benefits of the types listed in the applicable wage determination or otherwise found prevailing by the Secretary of Labor, or by a combination thereof.

(b)   A contractor or subcontractor may discharge his obligations for the payment of the basic hourly rates and the fringe benefits where both are contained in a wage determination applicable to his laborers or mechanics in the following ways:

(1)   By paying not less than the basic hourly rate to the laborers or mechanics and by making the contributions for the fringe benefits in the wage determinations, as specified therein. For example, in the illustration contained in paragraph (c) of §5.30, the obligations for “painters” will be met by the payment of a straight time hourly rate of not less than $3.90 and by contributing not less than at the rate of 15 cents an hour for health and welfare benefits, 10 cents an hour for pensions, and 20 cents an hour for vacations; or

(2)   By paying not less than the basic hourly rate to the laborers or mechanics and by making contributions for “bona fide” fringe benefits in a total amount not less than the total of the fringe benefits required by the wage determination. For example, the obligations for “painters” in the illustration in paragraph (c) of §5.30 will be met by the payment of a straight time hourly rate of not less than $3.90 and by contributions of not less than a total of 45 cents an hour for “bona fide” fringe benefits; or

(3)   By paying in cash directly to laborers or mechanics for the basic hourly rate and by making an additional cash payment in lieu of the required benefits. For example, where an employer does not make payments or incur costs for fringe benefits, he would meet his obligations for “painters” in the illustration in paragraph (c) of §5.30, by paying directly to the painters a straight time hourly rate of not less than $4.35 ($3.90 basic hourly rate plus 45 cents for fringe benefits); or

(4)   As stated in paragraph (a) of this section, the contractor or subcontractor may discharge his minimum wage obligations for the payment of straight time wages and fringe benefits by a combination of the methods illustrated in paragraphs (b)(1) thru (3) of this section. Thus, for example, his obligations for “painters” may be met by an hourly rate, partly in cash and partly in payments or costs for fringe benefits which total not less than $4.35 ($3.90 basic hourly rate plus 45 cents for fringe benefits). The payments in such case may be $4.10 in cash and 25 cents in payments or costs in fringe benefits. Or, they may be $3.75 in cash and 60 cents in payments or costs for fringe benefits.

[30 FR 13136, Oct. 15, 1965]

§5.32 Overtime payments.

(a)   The act excludes amounts paid by a contractor or subcontractor for fringe benefits in the computation of overtime under the Fair Labor Standards Act, the Contract Work Hours and Safety Standards Act, and the Walsh-Healey Public Contracts Act whenever the overtime provisions of any of these statutes apply concurrently with the Davis-Bacon Act or its related prevailing wage statutes. It is clear from the legislative history that in no event can the regular or basic rate upon which premium pay for overtime is calculated under the aforementioned Federal statutes be less than the amount determined by the Secretary of Labor as the basic hourly rate (i.e. cash rate) under section 1(b)(1) of the Davis-Bacon Act. (See S. Rep. No. 963, p. 7.) Contributions by employees are not excluded from the regular or basic rate upon which overtime is computed under these statutes; that is, an employee’s regular or basic straight-time rate is computed on his earnings before any deductions are made for the employee’s contributions to fringe benefits. The contractor’s contributions or costs for fringe benefits may be excluded in computing such rate so long as the exclusions do not reduce the regular or basic rate below the basic hourly rate contained in the wage determination.

(b)   The legislative report notes that the phrase “contributions irrevocably made by a contractor or subcontractor to a trustee or to a third person pursuant to a fund, plan, or program” was added to the bill in Committee. This language in essence conforms to the overtime provisions of section 7(d)(4) of the Fair Labor Standards Act, as amended. The intent of the committee was to prevent any avoidance of overtime requirements under existing law. See H. Rep. No. 308, p. 5.

(c)(1) The act permits a contractor or subcontractor to pay a cash equivalent of any fringe benefits found prevailing by the Secretary of Labor. Such a cash equivalent would also be excludable in computing the regular or basic rate under the Federal overtime laws mentioned in paragraph (a). For example, the W construction contractor pays his laborers or mechanics $3.50 in cash under a wage determination of the Secretary of Labor which requires a basic hourly rate of $3 and a fringe benefit contribution of 50 cents. The contractor pays the 50 cents in cash because he made no payments and incurred no costs for fringe benefits. Overtime compensation in this case would be computed on a regular or basic rate of $3.00 an hour. However, in some cases a question of fact may be presented in ascertaining whether or not a cash payment made to laborers or mechanics is actually in lieu of a fringe benefit or is simply part of their straight time cash wage. In the latter situation, the cash payment is not excludable in computing overtime compensation. Consider the examples set forth in paragraphs (c)(2) and (3) of this section.

(2)   The X construction contractor has for some time been paying $3.25 an hour to a mechanic as his basic cash wage plus 50 cents an hour as a contribution to a welfare and pension plan. The Secretary of Labor determines that a basic hourly rate of $3 an hour and a fringe benefit contribution of 50 cents are prevailing. The basic hourly rate or regular rate for overtime purposes would be $3.25, the rate actually paid as a basic cash wage for the employee of X, rather than the $3 rate determined as prevailing by the Secretary of Labor.

(3)   Under the same prevailing wage determination, discussed in paragraph (c)(2) of this section, the Y construction contractor who has been paying $3 an hour as his basic cash wage on which he has been computing overtime compensation reduces the cash wage to $2.75 an hour but computes his costs of benefits under section 1(b)(2)(B) as $1 an hour. In this example the regular or basic hourly rate would continue to be $3 an hour. See S. Rep. No. 963, p. 7.

CDBG SUPPLEMENTAL REGULATIONS

NOTICE OF FEDERAL FUNDS AND REQUIREMENTS: This project is funded by Community Development Block Grant funding from the Department of Housing & Urban Development.

CONFLICT OF INTEREST

No covered persons who exercise or who have exercised any functions or responsibilities with respect to CDBG-assisted activities, or who are in a position to participate in a decision-making process or gain inside information with regard to such activities, may obtain a financial interest in any contract, subcontract, or agreement with respect to the CDBG-assisted activity, or with respect to the proceeds from the CDBG-assisted activity, either for themselves or those with whom they have business or immediate family ties, during their tenure or for a period of one (1) year thereafter. For purposes of this paragraph, a “covered person” includes any person who is an employee, agent, consultant, officer, or elected or appointed official of the CITY, the Contractor, or any designated public agency.

LEGAL WORKER REQUIREMENTS

As mandated by Arizona Revised Statutes 41-4401, the CITY is prohibited after September 30, 2008 from awarding a contract to any contractor who fails, or whose subcontractors fail, to comply with Arizona Revised Statute 23-214-A. That statute requires that employers verify the employment eligibility of their employees through the federal E-verify system. An “employer” is an independent contractor, a self-employed person, the State of Arizona or any of its political subdivisions, or any individual or type of organization that transacts business in the State of Arizona, or that has a license issued by an agency in the state and that employs one or more employees in the State. (See A.R.S. 23-211) Therefore, in signing or performing any contract for the CITY, the Contractor fully understands that:

1. It warrants that both it and any subcontractors it may use comply with all federal immigration laws and with A.R.S. 23-214-A;

1. Any breach of that warranty is material and is subject to penalties up to and including immediate termination of the contract; and

1. City of Phoenix or its designee is authorized by law to randomly inspect the records relating to an employee of the Contractor or any of its subcontractors who works on the contract to ensure compliance with the warranty made in paragraph A above.

FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT (FFATA)

The Contractor and all subcontractors will comply with the requirements of 2 CFR part 25 Universal Identifier and System for Award Management (SAM). All contractors must have an active registration in SAM in accordance with 2 CFR part 25, appendix A, and have a Data Universal Numbering System (D-U-N-S) number. All contractors will also comply with the provisions of FFATA which includes requirements on executive compensation, and 2 CFR part 170 Reporting Subaward and Executive Compensation Information.

The successful contractor and all subcontractors are required to register for the following:

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1. The Data Universal Numbering System (D-U-N-S number) is a unique nine-digit code assigned by Dun & Bradstreet to identify businesses on a location specific basis. The D-U-N-S number is required for all entities wishing to do business with the federal government. The number is provided free of charge and can be obtained at www.dnb.com.
2. The System for Award Management (SAM) is the Official U.S. Government system that tracks federal contracts, including City of Phoenix CDBG contracts. The selected contractor and all subcontractors of the request for bids will be required to register at www.SAM.gov prior to receiving a city contract. All contractors must not be debarred or ineligible to receive federal funds.

EMPLOYMENT OPPORTUNITIES FOR BUSINESSES AND LOWER-INCOME PERSONS

The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (“Section 3”). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, including persons who are recipients of HUD assistance for housing, with preference for both targeted workers living in the service area or neighborhood of the Project and Youthbuild participants, as defined at 24 CFR Part 75 (“Section 3 Regulations”).

1. The parties to this contract agree to comply with HUD’s Section 3 regulations in 24 CFR 75, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the Section 3 Regulations.

1. The Contractor agrees to send to each labor organization or representative or workers with which the Contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers’ representative of the contractor’s commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work will begin.

1. The Contractor agrees to include this Section 3 clause in every subcontract subject to compliance with the Section 3 Regulations, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the Section 3 Regulations. The Contractor will not subcontract with any subcontractor where the Contractor has notice or knowledge that the subcontractor has been found in violation of the Section 3 Regulations.

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1. Noncompliance with HUD’s regulations in 24 CFR 75 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts.

FEDERAL LABOR STANDARDS

Federal Labor Standard Wages are applicable for this federally funded project. The wage determination for this project is attached and will also be made available at the mandatory pre-bid meeting. Payment of Davis Bacon Labor Standards wages is required under this contract. The Contractor will adhere to Davis Bacon Labor Standards wage determination and submit weekly payroll reports to the City of Phoenix Labor Standards Monitor.

1. The Contractor shall comply with the requirements of the Davis Bacon Act, as amended (40 USC 3141-3148), the Contract Work Hours and Safety Standards Act (40 USC 3701-3708), and Federal Labor Standards Provisions Form HUD 4010 (Attached).

1. The following paragraph must be incorporated into all subcontractor agreements:

THIS PROJECT IS FUNDED IN PART WITH FEDERAL FUNDS. AS A RESULT, DAVIS BACON LABOR STANDARD WAGES APPLY. ALL CONTRACTORS AND SUBCONTRACTORS MUST PAY WORKERS PREVAILING WAGES AND FRINGE BENEFITS AS DETERMINED BY THE FEDERAL GOVERNMENT. THE CONTRACTOR SHALL COMPLY WITH THE REQUIREMENTS OF THE DAVIS BACON ACT, AS AMENDED (40 USC 3141-3148), THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT (40 USC 3701-3708), AND FEDERAL LABOR STANDARDS PROVISIONS FORM HUD 4010 (ATTACHED). THIS PROVISION MUST BE INCLUDED IN ALL CONSTRUCTION CONTRACTS AND SUBCONTRACTS.

EQUALOPPORTUNITY

The following provisions shall apply to this Contract and any construction contract or subcontract having a value of more than $10,000:

1. The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, gender, national origin, age, or disability. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, gender, national origin, age, or disability. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

1. The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive

C.D.B.G.-3

consideration for employment without regard to race, color, religion, gender, national origin, age, or disability.

1. The contractor will send to each labor union or representative or workers with which it has a collective bargaining agreement or other contract or understanding, a notice to be provided by the agency contracting officer, advising the labor union or worker’s representative of the contractor’s commitments under Section 202 of Executive Order 11246 of September 24, 1965, as amended, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

1. The contractor will comply with all provisions of the Executive Order 11246 of September 24, 1965, as amended, and of the rules, regulations, and relevant orders of the Secretary of Labor.

1. The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, as amended, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to its books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

1. In the event of contractor’s noncompliance with the nondiscrimination clauses of this contract or with any of such rules, regulations, or orders, this contract may be cancelled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, as amended, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, as amended, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.

1. The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as may be directed by the Secretary of Labor as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction, the contractor may request the United States to enter into such litigation to protect the interests of the United States.

1. The contractor further agrees that it will bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, that if the applicant so

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participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract.

1. The contractor agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency’s primary responsibility for securing compliance.

1. The contractor further agrees that it will refrain from entering into any contractor or contract modifications subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violations of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order.

1. The contractor agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions. Cancel, terminate, or suspend in whole or in part this grant (contract, loan insurance, guarantee); refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings.

1. Contractor shall comply with the provisions of 41 CFR Part 60-4 relating to Construction Contracts — Affirmative Action Requirements, in all solicitations and contracts for construction.

NONDISCRIMINATION

A contractor may not, under any program or activity, directly or through contractual or other arrangements, on the ground of race, color, religion, gender, national origin, age, or disability:

1. Deny any facilities, services, financial aid, or other benefits provided under the program or activity.

1. Subject to segregated or separate treatment in any facility in, or in any matter or process related to receipt of any service or benefit under the program or activity.

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1. Restrict in any way access to, or in the enjoyment of any advantage or privilege enjoyed by others in connection with facilities, services, financial aid, or other benefits under the program or activity.

1. Treat an individual differently from others in determining whether the individual satisfied any admission, enrollment, eligibility, membership, or other requirement or condition which individuals must meet in order to be provided any facilities, service, or other benefits provided under the program or activity.

1. Deny an opportunity to participate in a program or activity as an employee.

NONDISCRIMINATION BASED ON DISABILITY

No otherwise qualified individual with disabilities in the United States shall, solely by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination in employment, services, housing, building and services accessibility or any other aspects of this program. The Contractor shall comply with the provisions of Section 504 of the Rehabilitation Act f 1973, as amended (29 U.S.C. 794), Section 109 of the Housing and Community Development Act of 1974, as amended (42 U.S.C. 5309) and the Americans with Disabilities Act of 1990.

CLEAN AIR AND WATER

In all contracts in excess of $100,000, contractor agrees as follows:

1. To comply with all applicable standards, orders, or requirements issued under Section 306 of the Clean Air Act [42 U.S.C. 1857(h)], Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR, Part 15), which prohibit the use of non- exempt Federal contracts, grants, or loans of facilities included on the EPA List of Violating Facilities. Contractor shall report all violations to the grantor agency and to the USEPA Assistant Administrator for Enforcement (EN-329).

1. To insert the substance of the provisions of this clause into any subcontract in excess of $100,000.

ENERGY EFFICIENCY

Contractor will observe all mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (P.L. 94-163).

LEAD BASED PAINT POISONING PREVENTION ACT OF 1973

The contractor agrees that exterior and/or interior paints, enamels, and/or primers used on any surface in residential structures constructed or rehabilitated under this contract shall not contain more than 1/2 of 1% lead by weight (calculated as lead

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metal) in the total nonvolatile content of liquid paints. Contractor further agrees to abide by all federal, state and local rules and regulations now in force or to be enacted in the future pertaining to the lead-based paint including, but not limited to, requirements of 24 CFR 35.10 through 35.25 and 24 CFR 570.608.

INELIGIBLE SUBCONTRACTORS

Contractors shall not use funds received pursuant to this contract to directly or indirectly employ, award, award contracts to, or otherwise engage the services of, or fund any contractor or subrecipient during the period of debarment, suspension, or placement on ineligibility status under the provisions of 24 CFR Part 24.

ARCHITECTURAL BARRIERS ACT OF 1968

Contractor shall comply with the Architectural Barriers Act of 1968, (42 U.S.C. 4151) and the Uniform Federal Accessibility Standards FED-STD-795 (April, 1988) subject to the exceptions contained in 41 CFR, Subpart 101-19.604.

ACCESS TO RECORDS

The City, the U.S. Department of Housing and Urban Development, the Comptroller General of the United States, the Government Accounting Office or any of their duly authorized representatives shall have access to any books, documents, papers and records of contractor which are pertinent to any activity performed under this contract for the purpose of making audit, examination, excerpts, and transcriptions. Contractor shall keep and maintain such books, documents, paper and records for a period of at least three years after all claims and audits arising out of this contract are fully settled and concluded.

CONTRACTING WITH MINORITY, WOMEN’S, AND DISADVANTAGED BUSINESS ENTERPRISES

Pursuant to national policy to award a fair share of contracts to Minority, Women’s, and Disadvantaged business enterprises, contractor shall take affirmative steps to assure that Minority, Women, and Disadvantaged are utilized when possible as sources of supplies, equipment, construction, and services.

Such affirmative steps shall include the following:

1. Include qualified Minority, Women’s, and Disadvantaged businesses on solicitation lists.

1. Assure that Minority, Women’s, and Disadvantaged businesses are solicited whenever they are potential sources.

1. When economically feasible, divide total requirements into small tasks or quantities so as to permit maximum Minority, Women’s, and Disadvantaged business participation.

C.D.B.G.-7

1. Where the requirement permits, establish delivery schedules which will encourage participation by Minority, Women’s, and Disadvantaged businesses.

1. Use the services and assistance of the Small Business Administration, the Office of Minority Business Enterprise of the Department of Commerce and the Community Services Administration as required.

1. Comply with the applicable requirements of the Minority, Disadvantaged, and Women Business Enterprise Policy Plan for the City of Phoenix.

1. Include affirmative steps, one through six in any subcontract.

BYRD ANTI-LOBBYING CERTIFICATION

In all contracts in excess of $100,000 the contractor hereby certifies, to the best of his or her knowledge and belief, that:

1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the contractor, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of and Federal contract, grant, loan, or cooperative agreement.

1. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the Contractor shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying”, in accordance with its instructions.

ARCHAEOLOGICAL REMAINS

Should archaeological remains be encountered during ground disturbing activities, work will cease in the area of discovery.   The City’s Administrative Services Deputy Director or Representative shall be notified immediately. Work in the area of discovery will not resume until the significance of the discovery has been assessed and the environmental clearance updated.

PROCUREMENT OF RECOVERED MATERIALS

In accordance with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, the Contractor will procure items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR Part 247 that contain the highest percentage of recovered materials practicable, consistent

C.D.B.G.-8

with maintaining a satisfactory level of competition. The Contractor will procure items designated in the EPA guidelines that contain the highest percentage of recovered materials practicable unless the Contractor determines that such items: (1) are not reasonably available in a reasonable time period; (2) fail to meet reasonable performance standards, which will be determined on the basis of the guidelines of the National Institute of Standards and Technology, if applicable to the item, or (3) are only available at an unreasonable price.

Paragraph (a) of this clause will apply to items purchased under this contract where:

(1)   the Contractor purchases in excess of $10,000 of the item under this contract; or

(2)  during the preceding Federal fiscal year, the Contractor: (i) purchased any amount of the items for use under a contract that was funded with Federal appropriations and was with a Federal agency or a State agency or agency of a political subdivision of a State; and (ii) purchased a total of in excess of $10,000 of the item both under and outside that contract.

CONTRACTOR EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT TO INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS (APR 2014):

This contract and employees working on this contract will be subject to the whistleblower rights and remedies in the pilot program on Contractor employee whistleblower protections established at 41 U.S.C. 4712 by section 828 of the National Defense Authorization Act for Fiscal Year 2013 (Pub. L. 112-239) and FAR 3.908.

1. The Contractor will inform its employees in writing, in the predominant language of the workforce, of employee whistleblower rights and protections under 41 U.S.C. 4712, as described in section 3.908 of the Federal Acquisition Regulation.

1. The Contractor will insert the substance of this clause, including this paragraph (c), in all subcontracts over the simplified acquisition threshold.

ENVIRONMENTAL CONDITIONS

Notwithstanding any provision of this Agreement, the Parties agree and acknowledge that this Agreement does not constitute a commitment of funds or site approval, and that such commitment of funds or approval may occur only upon satisfactory completion of environmental review and receipt by the City of a release of funds from the U.S. Department of Housing and Urban Development under 24 C.F.R. Part §58. The Parties further agree that the provision of any funds to the project is conditioned on the City’s determination to proceed with, modify, or cancel the project based on the results of a subsequent environmental review.

The Contractor agrees to comply with: The National Environmental Policy Act of 1969 (P.L. 91-190) pursuant thereto 40 C.F.R. Parts 1500 – 1508, Environmental Review Procedures for Title I of the Community Development Block Grant program pursuant thereto Title 24 C.F.R. Part 58, Subpart A; and with all conditions required in the process of the environmental assessment. An Environmental Review Record (ERR)

C.D.B.G.-9

may be completed before taking any physical action on a site or entering into Agreements. If other federal or non-federal funds are involved in an activity, then neither federal nor non-federal funds may be expended or committed by Agreement (conditional or not) for activities related to this project including design work, until the City provides written authorization based on approval of an ERR

No funds may be encumbered prior to the completion of the Environmental Review. The Environmental Review Record (ERR) must be completed before any funds are obligated. Funding is also conditioned upon the completion of the ERR of every activity site by address. The responsibility for certifying the appropriate Environmental Review Record may rest with the City. It is the responsibility of the Contractor to notify the City, and to refrain from making any commitments and expenditures on a site until a written authorization has been issued by the City. Failure to meet these conditions will mean that requested funds will not be disbursed.

CONFIDENTIALITY AND DATA SECURITY

The Contractor must comply with 2 CFR § 200.303 and must take reasonable measures to safeguard protected personally identifiable information, as defined in 2 CFR 200.82, and other information HUD or the CITY designates as sensitive, or the Contractor considers sensitive consistent with applicable Federal, state and local laws regarding privacy and obligations of confidentiality audit. The Contractor agrees that the requirements of this Section will be incorporated into all subcontractor agreements entered into by the Contractor. It is further agreed that a violation of this Section will be deemed to cause irreparable harm that justifies injunctive relief in court. A violation of this Section may result in immediate termination of this Contract without notice. The obligations of Contractor under this Section will survive the termination of this Contract.

ASSIGNMENT

The Contractor will not assign or transfer any interest in this Contract without the prior written consent of the CITY.

NONSEGREGATED FACILITIES

By execution of this Contract or subcontract, or the consummation of this material supply agreement, as appropriate, THE CONTRACTOR, certifies that it does not and will not maintain or provide for employees any segregated facilities at any of its establishments, and that it does not and will not permit employees to perform their services at any location under its control where segregated facilities are maintained. The Contractor agrees that a breach of this certification is a violation of the Federal Equal Opportunity clause in this contract.

1. As used in this certification, the term segregatedfacilities means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, timeclocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities

C.D.B.G.-10

provided for employees which are segregated by explicit directive or are in fact segregated on the basis of race, creed, color, or national origin, because of habit, local custom, or otherwise.

1. The Contractor further agrees that (except where it has obtained identical certifications from proposed subcontractors for specific time periods) identical certifications will be obtained from proposed subcontractors prior to the award of subcontractors exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity clause; that it will retain such certifications in its files; and that it will forward the following notice to such proposed subcontractors (except where the proposed subcontractors have submitted identical certifications for specific time periods):

1. Notice to Prospective Subcontractors of Requirement for Certifications of Nonsegregated Facilities. A Certification of Nonsegregated Facilities must be submitted prior to the award of a subcontract exceeding $10,000 which is not exempt from the provision of the Equal Opportunity clause. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or annually).

1. Note: The penalty for making false statements in offers is prescribed in Title 18

U.S.C. 1001.

PREFERENCE FOR DOMESTIC PROCUREMENT

Pursuant to 2 C.F.R. 200.322, to the greatest extent practicable, The Contractor will purchase, acquire, or use goods, products or materials produced in the United States (including but not limited to iron, aluminum, steel, cement and other manufactured products).

PROHIBITION ON CERTAIN TELECOMMUNICATIONS EQUIPMENT

The Contractor is prohibited from obligating or expending funds to (i) procure or obtain;

(ii)   extend or renew a contract to procure or obtain; or (iii) enter into a contract to procure or obtain equipment, services or systems that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. Covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities) and such other entities described in 2 C.F.R. 200.216.

C.D.B.G.-11

Federal Labor Standards Provisions                        U.S. Department of Housing and Urban Development

                                                                                                    Office of Labor Relations                                                                                     

Applicability

The Project or Program to which the construction  work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions  are included  in this  Contract pursuant to the provisions applicable to such Federal assistance.

1. A.      1. (i) Minimum Wages. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR  Part  3), the  full  amount  of wages and bona f ide fringe benefits (or cash equivalents thereof) due at t ime of payment computed  at rates  not less  than those contained in the  wage  determination of the Secretary of Labor which  is attached hereto  and  made  a part hereof,  regardless  of any contractual  relationship which may be alleged to exist between the contractor and such  laborers  and mechanics.   Contributions  made  or costs reasonably anticipated for bona f ide fringe benefits under Section l (b)( 2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to  the provisions of 29 CFR 5. 5(a)(1 )(iv); also, regular contributions made or costs incurred for more than a weekly period (but not less  often than quarterly) under plans,  funds,  or programs,  which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period.

Such laborers and mechanics shall be paid the appropriate wage rate and  fringe  benefits on the  wage  determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5. 5( a)( 4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the t ime actually worked therein: Provided, That the employer’ s payroll  records  accurately set forth the  t ime  spent  in each  classification  in which work is performed. The wage determination (including any additional classification and wage  rates  conformed under

29 CFR 5. 5 (a)(1 )(ii)  and  the  Davis-Bacon  poster  (WH- 1321 ) shall be posted at all t imes by the contractor and i ts subcontractors at the site of the work in a prominent and accessible, place where i t can be easily  seen  by the workers.

(ii)       (a)  Any class of laborers or mechanics which is not l isted in the wage determination  and which  is to be employed under the contract shall be classified in conformance with the wage determination. HUD  shall approve an additional classification  and wage  rate  and fringe benefits therefor only  when  the  following  criteria have been met:

(1)          The work to be performed by the  classification requested is not performed by a classification in the wage determination; and

(2)         The classification is utilized in the area by the construction industry; and

(3)        The proposed wage rate, including  any  bona  f ide fringe benefits,  bears  a reasonable  relationship  to the wage rates contained in the wage determination.

(b)     I f the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and HUD or i ts designee agree on the classification and wage rate (including the  amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by HUD or i ts designee to the Administrator of the W age and Hour  Division, Employment Standards Administration, U. S. Department of Labor, W ashington, D. C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise HUD or i ts designee or will notify HUD or i ts designee within the 30 -day period that additional t ime is necessary. (Approved by the Office of Management and Budget under OMB control number 1215- 0140.)

(c)      In the event the contractor, the laborers or mechanics to be employed  in the  classification or their representatives, and HUD or i ts designee do not agree on the proposed classification and wage rate (including the amount designated for f ringe benefits, where appropriate), HUD or i ts designee  shall  refer  the  questions,  including the views of all interested parties  and the  recommendation of HUD or i ts designee, to the  Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise  HUD  or i ts designee  or will  notify HUD or i ts designee within the  30-day  period  that additional t ime is necessary. (Approved by the Office of Management and Budget  under   OMB Control   Number 1215 -0140.)

(d)          The wage rate (including fringe benefits where appropriate) determined  pursuant  to subparagraphs (1)(ii)(b) or (c) of this  paragraph,  shall  be paid  to all workers performing work in the classification under this contract from the f i rst  day on which  work  is performed in the classification.

(iii)       W henever the minimum wage rate prescribed in the contract for a class of laborers or mechanics  includes  a fringe benefit which is not expressed as an hourly rate, the contractor shall either  pay  the  benefit  as stated  in the wage determination or shall pay another bona f ide fringe benefit or an hourly cash equivalent thereof.

(iv)      I f the contractor does not make payments to a trustee or other third person, the contractor may consider as part

Previous editions are obsolete                                                           Page 1 of 5

form HUD-4010 (06/2009)

ref. Handbook 1344.1

of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona f ide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the  written  request  of the contractor, that the applicable standards of the Davis- Bacon Act have been met. The Secretary of Labor  may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (Approved by the Office  of Management  and Budget under OMB Control Number 1215- 0140.)

1. 2.     Withholding.HUD or i ts designee shall upon i ts own action or upon written request of an authorized representative of the Department  of Labor  withhold  or cause  to be withheld from the contractor  under  this contract or any other Federal contract with the same prime contractor, or any  other  Federally-assisted contract subject to Davis-Bacon  prevailing  wage  requirements, which is held by the same prime contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees and helpers, employed  by the contractor or any subcontractor the full amount of wages required by the contract In the event of failure to pay any laborer or mechanic, including any apprentice, trainee or helper, employed or working on the site of the work, all or part of the wages required by the contract, HUD or i ts designee may, after written notice to the  contractor, sponsor, applicant, or owner, take such action as may be necessary to cause  the  suspension  of any  further payment, advance, or guarantee of funds  until  such violations have ceased. HUD or i ts designee may,  after written notice to the contractor, disburse such amounts withheld for and on account of the  contractor  or subcontractor to the  respective  employees  to whom  they are due. The Comptroller General shall make such disbursements in the case of direct Davis-Bacon Act contracts.
2. 3.      (i)Payrolls and basic records. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work preserved for  a period of three years thereafter for all laborers and mechanics working at the site of the work.   Such records shall  contain the name, address, and social  security number of each such worker, his or her correct classification, hourly  rates  of wages  paid  (including  rates of contributions or costs anticipated for bona f ide fringe benefits or cash equivalents thereof of the types described in Section l(b)(2 )(B) of the Davis-bacon Act), daily  and weekly number of hours worked,  deductions  made  and actual wages paid. W henever the Secretary of Labor has found under 29 CFR 5. 5 ( a)(1 )(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated  in providing  benefits  under  a plan or program described in Section l (b)(2 )(B) of the  Davis- Bacon Act, the contractor  shall  maintain  records  which show that the commitment to provide such benefits is enforceable, that the plan or program is f inancially responsible, and that the plan or program has been

communicated in writing to the laborers or mechanics affected, and records  which  show the  costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (Approved by the  Office  of Management and  Budget  under  OMB  Control  Numbers 1215 -0140 and 1215- 0017.)

(ii)      ( a)    The contractor shall submit weekly for  each  week in which any contract work  is performed  a copy  of all payrolls to HUD or i ts designee i f the agency is a party to the contract, but i f the agency is not such a party, the contractor will submit  the  payrolls  to the  applicant sponsor, or owner, as the case may be, for transmission to HUD or i ts designee. The payrolls submitted shall set out accurately  and  completely  all of the  information  required to be maintained under 29 CFR 5. 5( a)( 3)(i) except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e. g., the last four digits of the employee’ s social security number). The required weekly payroll information may  be submitted  in any form  desired. Optional Form W H-347 is available for  this  purpose  from the W age and Hour Division W eb site at http://www.dol.gov/esa/whd/forms/wh347instr.htmor i ts successor  site.   The prime  contractor  is responsible  for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors  shall  maintain  the  full social  security number and current address  of each covered worker, and shall provide  them  upon  request  to HUD or i ts designee  i f the  agency  is a party  to the contract, but i f the agency  is not such  a party,  the contractor will submit  the  payrolls  to the  applicant sponsor, or owner, as the case may be, for transmission to HUD or i ts designee, the contractor, or the W age and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements.   I t is not a violation of this  subparagraph for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for i ts own records,  without  weekly  submission to HUD or i ts designee. (Approved by the Office  of Management and Budget  under   OMB Control   Number 1215 -0149.)

(b)       Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her  agent  who pays  or supervises the payment of the  persons  employed under the  contract and shall certify the following:

(1)       That the payroll for the payroll period contains the information required to be provided under 29 CFR 5. 5 (a)(3)(ii), the appropriate information is being maintained under 29 CFR 5. 5( a)(3)(i), and that such  information  is correct and complete;

(2)     That each laborer or mechanic (including each helper, apprentice, and  trainee) employed on the  contract during the payroll period has been paid the full weekly  wages earned, without rebate,  either  directly  or indirectly,  and that no deductions have been made either directly  or indirectly from the full wages earned,  other  than permissible deductions as set forth in 29 CFR Part 3;

(3)     That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified  in the  applicable  wage  determination incorporated into the contract.

(c)          The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement   of   Compliance”   required   by    subparagraph A. 3.(ii)(b).

(d)     The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under  Section  1001  of Title  18 and  Section 231 of Title 31 of the United States Code.

(iii)          The contractor or subcontractor shall make  the records required under subparagraph A. 3.(i) available for inspection, copying, or transcription by authorized representatives of HUD  or i ts designee or the  Department of Labor, and  shall  permit  such  representatives  to interview employees during  working  hours  on the  job.  I f the contractor or subcontractor fails to submit the required records or to make them  available,  HUD  or i ts designee may, after written notice to the contractor, sponsor, applicant or owner,  take  such  action as may  be necessary to cause  the  suspension of any further payment,  advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5. 12.

1. 4.     Apprenticesand Trainees.

(i)     Apprentices.Apprentices will be permitted to work at less than the predetermined rate for  the  work  they performed when they are employed pursuant to and individually registered in a bona  f ide apprenticeship program registered with the U. S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency  recognized  by the Office, or i f a person  is employed  in his or her f i rst  90 days  of probationary employment as an apprentice in such an apprenticeship program, who is not  individually registered in the  program,  but who has been  certified  by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency ( where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the  job site in any  craft  classification shall not be greater than  the  ratio permitted to the  contractor  as to the entire work force under the registered program. Any worker l isted on a payroll at an  apprentice wage rate, who is not registered or otherwise employed  as stated  above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed.  In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less  than  the applicable wage rate on the  wage  determination  for  the work actually performed. Where a contractor is performing construction on a project in a locality  other  than  that  in which i ts program is registered, the ratios and wage rates (expressed  in percentages  of the  journeyman’ s hourly rate) specified in the contractor’ s or subcontractor’ s registered program shall be observed.  Every  apprentice must be paid at not less than the rate specified in the registered program for the apprentice’ s level of progress, expressed as a percentage of the journeymen hourly rate specified  in the  applicable  wage  determination. Apprentices shall  be paid  fringe  benefits  in accordance with the provisions of the apprenticeship program. I f the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of  fringe benefits l isted on the wage determination for the applicable classification. I f the Administrator determines  that  a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency  recognized  by the  Office, withdraws approval of an apprenticeship program, the contractor  will  no longer  be permitted  to utilize apprentices at less than the  applicable predetermined rate for the work performed until an acceptable program is approved.

(ii)         Trainees.Except as provided  in 29 CFR 5. 16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant ‘ , to and individually registered in a program which has received prior approval, evidenced by formal certification by the U. S. Department of Labor, Employment and Training Administration. The ratio  of trainees to journeymen on the job site shall not be greater than permitted  under the  plan  approved  by the Employment and Training  Administration. Every  trainee must be paid at not less than the rate specified  in the approved program for the trainee’ s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program.  I f the trainee program does  not mention  fringe  benefits,  trainees  shall  be paid the full amount of fringe benefits l isted on the wage determination unless the Administrator of the  Wage  and Hour Division determines that there is an apprenticeship program associated with the corresponding  journeyman wage rate on the wage  determination  which  provides  for less than full  fringe  benefits  for  apprentices.  Any employee l isted on the payroll at a trainee rate who is not registered and participating in a training plan approved by the  Employment and Training Administration shall  be paid not less than the applicable wage rate on the wage determination for the work actually performed.  In addition, any trainee performing  work  on the  job site  in excess  of the  ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination  for  the  work  actually  performed.  In the event the Employment and Training  Administration withdraws approval of a training  program,  the  contractor will  no longer be permitted to utilize trainees at less  than the applicable predetermined rate for the work performed until an acceptable program is approved.

(iii)       Equal employment opportunity.The utilization of apprentices, trainees and journeymen under 29 CFR Part 5 shall be in conformity with  the  equal  employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.

1. 5.      Compliancewith CopelandAct requirements. The contractor shall comply with the  requirements  of 29 CFR Part 3 which are incorporated by reference in this contract
2. 6.       Subcontracts.The contractor or subcontractor  will insert in any subcontracts the clauses contained in subparagraphs 1 through 11 in this paragraph A and such other clauses as HUD or i ts designee may by appropriate instructions require, and  a copy  of the  applicable prevailing wage decision, and also a clause requiring the subcontractors to include these clauses in any lower t ier subcontracts.   The prime  contractor  shall  be responsible for the compliance by any subcontractor or lower t ier subcontractor with all the contract  clauses  in this paragraph.
3. 7.       Contracttermination;debarment.A breach of the contract clauses in 29 CFR 5. 5 may be grounds  for termination of the contract and for debarment        as a contractor   and   a   subcontractor  as   provided  in   29   CFR 5. 12.
4. 8.   Compliance with Davis-Bacon and Related Act Requirements.All rulings and interpretations of the  Davis-Bacon  and Related Acts contained in 29 CFR Parts  1, 3, and  5 are herein incorporated by reference in this contract
   1. 9.         Disputes concerninglabor standards.Disputes arising  out of the  labor  standards  provisions  of this contract  shall  not be subject  to the  general  disputes clause of this contract. Such disputes shall be resolved in accordance with the  procedures  of the  Department  of Labor set  forth  in 29 CFR Parts  5, 6, and  7. Disputes within the meaning of this clause include disputes between the  contractor  (or any  of   i ts   subcontractors)  and   HUD  or i ts designee, the U. S. Department of Labor, or the employees or their representatives.
   2. 10.      (i)Certification of Eligibility. By entering into this contract the contractor certifies that  neither i t ( nor he or she) nor any person or f i rm who has an interest in the contractor’ s f i rm is a person  or f i rm ineligible  to be awarded Government contracts by virtue of Section 3 (a) of the Davis-Bacon Act or 29 CFR 5. 12 (a)(1 ) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24.

(ii)      No part of this contract shall be subcontracted to any person  or f i rm ineligible for award  of a Government contract by virtue  of Section  3 (a) of the  Davis-Bacon  Act or 29 CFR 5. 12( a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24 .

(iii)      The penalty for making false statements is prescribed in the  U. S. Criminal Code,  18 U. S. C. 1001.   Additionally, U. S. Criminal Code, Section 1 01 0, Title  18,  U.S.C., “Federal Housing Administration transactions”, provides in part: “W hoever, for the  purpose of . . . influencing in any way the action of such Administration….. makes, utters or publishes any statement knowing the same to be false….. shall be f ined  not more  than  $5, 000  or imprisoned  not more than two years, or both.”

1. 11.            Complaints,Proceedings,or Testimony by Employees. No laborer or mechanic to whom the  wage, salary, or other labor standards provisions of this  Contract are applicable shall be discharged or in any other manner discriminated against by the  Contractor  or any subcontractor because such employee has f i led any complaint or instituted or caused to be instituted any proceeding or has testified or is about to testify in any proceeding under or relating to the labor standards applicable under this Contract to his employer.
2. B.         Contract Work Hours and Safety Standards Act. The provisions of this paragraph B are applicable where the amount of the prime contract exceeds $100,000.   As used in this paragraph, the terms “laborers” and “mechanics” include watchmen and guards.

(1)       Overtime requirements.No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which the individual is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek.

(2)        Violation;l iability for unpaid wages; l iquidated damages.  In the event of any violation of the clause set forth in subparagraph (1 ) of this paragraph, the contractor and any  subcontractor responsible therefor shall  be l iable for the unpaid wages. In addition, such contractor and subcontractor shall be l iable to the United  States  (in  the case of work done under contract  for  the  District  of Columbia or a territory,  to such  District  or to such territory), for l iquidated  damages.  Such  l iquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the  clause  set  forth in subparagraph ( 1) of this paragraph, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in sub paragraph ( 1) of this paragraph.

(3)          Withholdingfor unpaid wages and l iquidated damages.  HUD or i ts designee shall  upon  i ts own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal  contract  with  the  same  prime  contract, or any other Federally- assisted contract subject to the Contract W ork Hours and Safety  Standards  Act  which  is held by the same prime contractor such sums as may be determined to be necessary  to satisfy  any l iabilities  of such  contractor  or subcontractor  for  unpaid  wages  and l iquidated damages as provided in the clause set forth in subparagraph (2) of this paragraph.

(4)      Subcontracts.The contractor or subcontractor shall insert in any subcontracts the clauses set forth in subparagraph ( 1) through (4 ) of this paragraph and also a clause requiring the subcontractors  to include  these clauses in any lower  t ier  subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower t ier subcontractor with the  clauses set forth in subparagraphs (1) through  ( 4) of this paragraph.

1. C.      Health and Safety. The provisions of this paragraph C are applicable where the amount of the prime contract exceeds $100,000.

(1)       No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous  to his health  and safety as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation.

(2)         The Contractor shall comply  with  all regulations issued by the Secretary of Labor pursuant to Title 29 Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract W ork Hours and Safety Standards Act, (Public Law 91- 54,  83 Stat  96).  40 USC 3701 et seq.

(3)        The contractor shall include the provisions of this paragraph in every subcontract so that  such provisions will be binding  on each  subcontractor. The contractor  shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall  direct  as a means  of enforcing such provisions.

Previous editions are obsolete

Page 5 of 5

form HUD-4010 (06/2009)

ref. Handbook 1344.1

“General Decision Number: AZ20210017 10/08/2021 Superseded General Decision Number: AZ20200017 State: Arizona

Construction Type: Heavy

HEAVY CONSTRUCTION, Includes Water and Sewer Lines, Heavy Construction on Treatment Plant Sites and Pipeline Construction

County: Maricopa County in Arizona.

HEAVY CONSTRUCTION PROJECTS (DOES NOT INCLUDE DAM CONSTRUCTION)

Note: Under Executive Order (EO) 13658, an hourly minimum wage of $10.95 for calendar year 2021 applies to all contracts subject to the Davis-Bacon Act for which the contract is awarded (and any solicitation was issued) on or after January 1, 2015. If this contract is covered by the EO, the contractor must pay all workers in any classification listed on this wage determination at least $10.95 per hour (or the applicable wage rate listed on this wage determination, if it is higher) for all hours spent performing on the contract in calendar year 2021. If this contract is covered by the EO and a classification considered necessary for performance of work on the contract does not appear on this wage determination, the contractor must pay workers in that classification at least the wage rate determined through the conformance process set forth in 29 CFR 5.5(a)(1)(ii) (or the EO minimum wage rate, if it is higher than the conformed wage rate). The EO minimum wage rate will be adjusted annually. Please note that this EO applies to the above-mentioned types of contracts entered into by the federal government that are subject to the Davis-Bacon Act itself, but it does not apply to contracts subject only to the Davis-Bacon Related Acts, including those set forth at 29 CFR 5.1(a)(2)-(60). Additional information on contractor requirements and worker protections under the EO is available at www.dol.gov/whd/govcontracts.

G.W.D.-1

BOIL0627-004 01/01/2021

Rates         Fringes

BOILERMAKER………………….$ 36.07           30.59

BRAZ0003-010 07/01/2021

Rates         Fringes

BRICKLAYER…………………..$ 31.68            8.90

ZONE PAY:

(Radius miles from the intersection of Central Ave. and Washington St., Phoenix, AZ)

Zone A: 0-60 miles- Base Rate

Zone B: 61-75 miles- Base Rate plus $2.00 per hour Zone C: 75-100 miles- Base Rate plus $3.00 per hour Zone D: 101-200 miles- Base Rate plus $3.50 per hour Zone E: Over 200 miles- Base Rate plus $6.50 per hour

ELEC0640-006 07/01/2021

Rates         Fringes

ELECTRICIAN………………….$ 32.00           12.41

ELEC0769-002 08/03/2020

Rates         Fringes

Line Construction:

Lineman…………………$ 50.67                                       21.5%+6.54 ENGI0428-008 06/01/2021

Rates         Fringes

POWER EQUIPMENT OPERATOR

Group 1…………………$ 28.59           12.12

Group 2…………………$ 31.86           12.12

Group 3…………………$ 32.94           12.12

Group 4…………………$ 33.97           12.12

POWER EQUIPMENT OPERATORS CLASSIFICATIONS

GROUP 1: Small Self-Propelled Compactor (with blade), Bobcat/Skidsteer/Skid Loader, Oiler

G.W.D.-2

GROUP 2: Self-Propelled Compactor (with blade), Grader/Blade (rough), Scraper, Tractor, Crane (less than 15 tons)

GROUP 3: Grade/Blade (Finish),Crawler-Type Tractor, Crane (over 15 tons & less than 100 ton), Tower Crane

GROUP 4: Crane (100 ton)

ENGI0428-015 06/01/2021

POWER EQUIPMENT OPERATOR: (PIPELINE)

Rates          Fringes

Group 1…………………$ 28.59           12.12

Group 3…………………$ 32.94           12.12

Group 1: Backhoe, Boring Machine, Boom Operator, Bulldozer, Trackhoe

Group 3: Oiler

* IRON0075-009 04/01/2021

Rates         Fringes

IRONWORKER, STRUCTURAL………..$ 28.80                                                 19.35

Zone 1: 0 to 50 miles from City Hall in Phoenix or Tucson Zone 2: 050 to 100 miles – Add $4.00

Zone 3: 100 to 150 miles – Add $5.00 Zone 4: 150 miles & over – Add $6.50

PAIN0086-002 04/01/2017

Rates          Fringes

PAINTER (Brush Only)………….$ 19.58            6.40

PLUM0469-004 07/01/2019

Rates          Fringes

PLUMBER……………………..$ 44.00                                                 17.15

SUAZ2012-006 05/17/2012

Rates          Fringes

G.W.D.-3

G.W.D.-4

WELDERS – Receive rate prescribed for craft performing operation to which welding is incidental.

================================================================

Note: Executive Order (EO) 13706, Establishing Paid Sick Leave for Federal Contractors applies to all contracts subject to the Davis-Bacon Act for which the contract is awarded (and any solicitation was issued) on or after January 1, 2017. If this contract is covered by the EO, the contractor must provide employees with 1 hour of paid sick leave for every 30 hours they work, up to 56 hours of paid sick leave each year.

Employees must be permitted to use paid sick leave for their own illness, injury or other health-related needs, including preventive care; to assist a family member (or person who is like family to the employee) who is ill, injured, or has other health-related needs, including preventive care; or for reasons resulting from, or to assist a family member (or person who is like family to the employee) who is a victim of, domestic violence, sexual assault, or stalking. Additional information on contractor requirements and worker protections under the EO is available at www.dol.gov/whd/govcontracts.

G.W.D.-5

Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)).

The body of each wage determination lists the classification and wage rates that have been found to be prevailing for the cited type(s) of construction in the area covered by the wage determination. The classifications are listed in alphabetical order of “”identifiers”” that indicate whether the particular rate is a union rate (current union negotiated rate for local), a survey rate (weighted average rate) or a union average rate (weighted union average rate).

Union Rate Identifiers

A four letter classification abbreviation identifier enclosed in dotted lines beginning with characters other than “”SU”” or “”UAVG”” denotes that the union classification and rate were prevailing for that classification in the survey. Example: PLUM0198-005 07/01/2014. PLUM is an abbreviation identifier of the union which prevailed in the survey for this classification, which in this example would be Plumbers. 0198 indicates the local union number or district council number where applicable, i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. 07/01/2014 is the effective date of the most current negotiated rate, which in this example is July 1, 2014.

Union prevailing wage rates are updated to reflect all rate changes in the collective bargaining agreement (CBA) governing this classification and rate.

Survey Rate Identifiers

Classifications listed under the “”SU”” identifier indicate that no one rate prevailed for this classification in the survey and the published rate is derived by computing a weighted average rate based on all the rates reported in the survey for that classification. As this weighted average rate includes all rates reported in the survey, it may include both union and

non-union rates. Example: SULA2012-007 5/13/2014. SU indicates the rates are survey rates based on a weighted average calculation of rates and are not majority rates. LA indicates the State of Louisiana. 2012 is the year of survey on which these classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination. 5/13/2014 indicates the survey completion

G.W.D.-6

date for the classifications and rates under that identifier.

Survey wage rates are not updated and remain in effect until a new survey is conducted.

Union Average Rate Identifiers

Classification(s) listed under the UAVG identifier indicate that no single majority rate prevailed for those classifications; however, 100% of the data reported for the classifications was union data. EXAMPLE: UAVG-OH-0010 08/29/2014. UAVG indicates that the rate is a weighted union average rate. OH indicates the state. The next number, 0010 in the example, is an internal number used in producing the wage determination. 08/29/2014 indicates the survey completion date for the classifications and rates under that identifier.

A UAVG rate will be updated once a year, usually in January of each year, to reflect a weighted average of the current negotiated/CBA rate of the union locals from which the rate is based.

WAGE DETERMINATION APPEALS PROCESS

1.) Has there been an initial decision in the matter? This can be:

*   an existing published wage determination

*   a survey underlying a wage determination

*   a Wage and Hour Division letter setting forth a position on a wage determination matter

*   a conformance (additional classification and rate) ruling

On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed.

With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to:

Branch of Construction Wage Determinations Wage and Hour Division

U.S. Department of Labor

200 Constitution Avenue, N.W.

G.W.D.-7

Washington, DC 20210

2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to:

Wage and Hour Administrator

U.S. Department of Labor

200 Constitution Avenue, N.W. Washington, DC 20210

The request should be accompanied by a full statement of the interested party’s position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue.

3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to:

Administrative Review Board

U.S. Department of Labor

200 Constitution Avenue, N.W. Washington, DC 20210

4.) All decisions by the Administrative Review Board are final.

================================================================ END OF GENERAL DECISION”

G.W.D.-8

CONSTRUCTION STORM WATER POLLUTION PREVENTION PLAN

Add the following new Section, 233 STORM WATER POLLUTION PREVENTION PLAN SUBMITTAL PROCESS

233.1    DESCRIPTION

The Contractor shall use the Arizona Department of Environmental Quality (ADEQ) Smart NOI program for all submittals located at this web address:

https://az.gov/app/smartnoi/

The location of this process may change and it is the responsibility of the Contractor to verify the correct web address. All fees are the responsibility of the Contractor. The Contractor shall apply for a “Stormwater Construction General Permit” with the project type “MUNICIPAL/PUBLIC”.

Before any construction on site begins, the Contractor shall submit the Notice of Intent (NOI) and the SWPPP through the Smart NOI program as the sole permitee. The Contractor shall not commence any construction activities until the ADEQ send a written Notice Of Intent assigning an AZCON number.

As required by ADEQ the Contractor shall submit a Notice of Termination (NOT) through the Smart NOI program. The Contactor shall receive final payment only after receiving a written Notice of Termination Acknowledgement from ADEQ.

Projects Impacting Impaired Waters

Projects that will have any construction taking place within ¼ mile of the Salt River between 23rd Avenue and the confluence of the Gila River will impact “Impaired Waters”. These projects will require the Contractor to design, implement, and evaluate a Monitoring Plan for stormwater runoff from their construction activities. The Monitoring Plan must be site specific and will be submitted to ADEQ as an appendix to the SWPPP. ADEQ is the final authority in the approval of the monitoring plan. A copy of the SWPPP and the Monitoring Plan shall be kept on-site at all times. Additional copies of the Monitoring Plan should be made available to all personnel who anticipate participating in stormwater monitoring activities. The Contractor shall have a copy of the monitoring plan, approved SWPPP, NOI, and ADEQ Authorization to Discharge posted at the jobsite prior to ground disturbance.

Subcontractors

All subcontractors shall comply with all AZPDES requirements under the supervision of the General Contractor, and shall submit a completed, signed subcontractor certification form, thereby designating themselves as co-permittees.

233.2    SAMPLE SWPPP STRUCTURE

The following is a sample outline of the City requirement for a SWPPP submittal modeled after the ADEQ Construction General Permit Checklist. It shall be the Contractor’s responsibility to meet all the ADEQ requirements for a SWPPP and retain a qualified consultant to complete the SWPPP if necessary at no additional cost to the City.

1                  SITE DESCRIPTION

1.1              Project Name: CONTRACTOR SHALL FILL IN PROJECT NAME

Project No(s): CONTRACTOR SHALL FILL IN PROJECT NUMBER

1.2              Project Location: CONTRACTOR SHALL FILL IN FOR PROJECT SITE LOCATION

1.3              Owner’s Name:

City of Phoenix, Parks & Recreation Department

1.4              Owner’s Address:

200 West Washington Street, 16th Floor, Phoenix, Arizona 85003

1.5              Project Description: CONTRACTOR SHALL FILL IN PROJECT DESCRIPTION

1.6              Runoff Coefficient and Soils Information:

1. Overall runoff coefficient of upstream drainage area shall be unchanged by project.

1. Surface Soils Information: (EXAMPLE ONLY, CONTRACTOR SHALL FILL IN FOR PROJECT SITE LOCATION)

1.7    Name of Receiving Water:

EXAMPLE: SALT RIVER, CONTRACTOR SHALL FILL FOR PROJECT SITE LOCATION

2        CONTROLS

2.1    Erosion and Sediment Controls

2.1.a          Stabilization Practices:

Stabilization practices on this site include:

• Permanent planting.
• Save selected existing trees.
• Decomposed granite
• CONTRACTOR SHALL ADD OR REMOVE STABILIZATION PRACTICES AS NECESSARY

2.1.b          Structural Practices:

May include:

• Temporary retention areas (subgrade excavation areas).
• Temporary catch basin inlet protection.
• Silt fence.
• Gravel filter berm.
• Temporary diversion dike.
• Straw bale barriers.
• Sandbag berm
• CONTRACTOR SHALL ADD OR REMOVE STABILIZATION PRACTICES AS NECESSARY

2.1.c          Narrative: Sequence of major activities.

CONTRACTOR SHALL COMPLETE NARRATIVE

2.1.d          Storm Water Management: (CONTRACTOR SHALL EDIT AS NECESSARY)

Storm water drainage on will be provided by curb and gutter, catch basin inlets, and storm drains. No appreciable changes in runoff coefficients or in finished roadway grades will take place as a result of this project; therefore, no significant alterations of storm water drainage patterns or runoff quantities are expected.

During construction, storm water runoff will be managed by the following means, as conditions require:

• Temporary retention will be provided during roadway construction in areas excavated for subgrade.
• Silt fence, straw bales, sandbag berms, temporary diversion dikes, gravel filter berms or other BMP’s as necessary to eliminate erosion may be used to prevent storm runoff from entering open storm drain pipes in excavated trenches. Temporary catch basin inlet protection may also be provided to remove sediment from drainage water before it enters the drainage system. Straw bale protection at outfall pipe locations may be employed during construction.

3                  OTHER CONTROLS

3.1              Waste Disposal:

Waste Materials:

All waste materials including trash and construction debris from the site will be either disposed to a designated area immediately or collected and stored in securely-lidded metal dumpsters. The dumpsters will meet all local and State solid waste management regulations. The dumpsters will be emptied a minimum of once per week, or more often if necessary, and the trash will be hauled to an acceptable dump site. Lids will be closed at all times after work hours and during rain events. No construction waste materials will be buried on site. All personnel will be instructed regarding the correct procedures for waste disposal. Notices stating these practices will be posted on site, and the site superintendent who manages the day-to-day site operations, will be responsible for seeing that these procedures are followed.

ENTER PHONE NUMBER AND NAME OF SITE SUPERINTENDENT

Concrete washout will only be allowed in designated areas. The hardened waste will be disposed of weekly and before final inspection of the project.

Hazardous Waste:

All hazardous waste materials will be disposed of in the manner specified by local or State regulations or by the manufacturer. Site personnel will be instructed in these practices, and the site superintendent who manages day-to-day site operations, will be responsible for seeing that these practices are followed.

Sanitary Waste:

All sanitary sewage generated on-site will be collected from the portable units a minimum of twice per week or as required by local regulations. Units will have a berm placed around them to ensure no spillage can occur.

3.2              Off-Site Vehicle Tracking:

Traffic will be maintained on paved roadway throughout construction in order to reduce vehicle tracking of sediments. The paved street beyond the start and end of the project will be swept as often as necessary to remove any excess mud, dirt, or rock that may be tracked from the site by construction vehicles, but not less than once per week. Dump trucks hauling material to or from the construction site will be covered with tarpaulin before leaving the site.

4                  DEMONSTRATION OF COMPLIANCE WITH FEDERAL, STATE, AND LOCAL REGULATIONS

The following Federal, State, and City regulations are followed in the preparation of this storm water pollution prevention plan:

• Section 402(p) of the Clean Water Act.
• Amended Section 405 of the Water Quality Act.
• “ADEQ Arizona Pollutant Discharge Elimination System General Permit for Discharge from Construction Activities to Waters of the United States, Permit AZG-2008-001.”
• Flood Control District of Maricopa County “Drainage Design Manual for Maricopa County, Arizona, Volume III, Erosion Control.”
• City of Phoenix Code 32C, “Storm Water Quality Protection.”
• City of Phoenix “Grading and Drainage Ordinance for Purpose of Fulfilling NPDES Requirements.”

5                  MAINTENANCE/INSPECTION PROCEDURES

5.1              Erosion and Sediment Control Practices:

The following is a list of erosion and sediment controls to be used during the construction period:

5.1.a          Stabilization practices for this site include:

• Permanent planting.
• Save selected existing trees.
• Decomposed granite.
• CONTRACTOR TO ADD/DELETE AS NECESARRY

5.1.b          Structural practices for this site will include:

• Silt fence/straw bale barriers.
• Temporary diversion dike/gravel filter berm.
• Sandbag berm.
• Storm drain, curb and gutter, catch basins.
• Temporary catch basin inlet protection.
• Temporary retention in subgrade excavation areas.
• CONTRACTOR TO ADD/DELETE AS NECESSARY

5.2              Erosion and Sediment Control Maintenance and Inspection Practice:

Following is a list of the inspection and maintenance practices that will be used to maintain erosion and sediment control:

• All control measures will be inspected at least once every 7 days and within 24 hours after each rain event of 0.1 inch or greater.
• All measures will be maintained in good working order; if repair is necessary, it will be initiated within 24 hours of report. All changes will be completed within 14 days after an observation.
• Built-up sediment will be removed from silt fence when it has reduced the design capacity by 50%.
• Erosion control fabric and erosion control dikes will be inspected and any breaches promptly repaired.
• Permanent planting will be inspected for washout and healthy growth per specification requirements.
• A Compliance Evaluation Report will be made at each inspection to ensure all BMP’s are functioning correctly.
• The site superintendent will be responsible for inspection, maintenance, and repair activities, and filling out the Compliance Evaluation Report.
• Personnel selected for inspection and maintenance responsibility will receive training from the site superintendent. They will be trained in all the inspection and maintenance practices necessary for keeping the erosion and sediment controls used on-site in good working order.
  • Only one side of roadways will be excavated for subgrade preparation at a time. This area will serve as temporary retention while traffic is maintained on the paved other half of the road. This will serve to control storm water and minimize tracking of sediments.

6                  INVENTORY FOR POLLUTION PREVENTION PLAN(CONTRACTOR TO EDIT AS NECESSARY)

The materials or substances listed below are expected to be present on-site during construction:

6.1              Spill Prevention

The following are the material management practices that will be used to reduce the risk of spills or other accidental exposure of materials and substances to storm water runoff:

6.1.a          Good Housekeeping:

The following good housekeeping practices will be followed on-site during the construction period:

• An effort will be made to store only enough product required to do the immediate job.
• All materials stored on-site will be stored in a neat, orderly manner in their appropriate containers and, if possible, under proper cover and palletized.
• Liquid products will be placed on secondary containment pallets.
• Fuel tanks will be double walled.
• Drip pans will be used under all spigots unless on secondary containment.
• Products will be kept in their original containers with the original manufacturers’ label.
• Substances will not be mixed with one another unless recommended by the manufacturer.
• Whenever possible, all of a product will be used up before disposing of the container.
• Manufacturers’ recommendations for proper use and disposal will be followed.
• The site superintendent will inspect daily to ensure proper use and disposal of materials.
• Concrete washout will only be allowed in designated areas. The hardened waste will be disposed of weekly and before final inspection of the project.

6.1.b          Hazardous Products:

These practices are used to reduce the risks associated with hazardous materials:

• Products will be kept in original containers unless they are not resealable.
• Original labels and material safety data sheets will be retained.
• If surplus product must be disposed of, manufacturers’, or local and State recommended methods for proper disposal will be followed.
• Products will be monitored, an inventory shall be conducted regularly, and documentation of all use and disposal shall be maintained.

6.2              Product Specific Practices:

The following product specific practices will be followed on-site:

6.2.a          Petroleum Products:

All on-site vehicles will be monitored for leaks and receive regular preventative maintenance to reduce any chance of leakage. Petroleum products will be stored in tightly-sealed containers which are clearly labeled. Any petroleum substances used on-site will be applied according to the manufacturer’s recommendations. Spills and leaks from vehicles will be stopped immediately. Any leaking vehicle will have a drip pan placed under the leak until the unit is repaired. Secondary containment will be provided for all petroleum products stored onsite.

6.2.b          Fertilizers, Herbicide, Pesticide, Soil Treatment:

All materials used will be applied only in the minimum amounts recommended by the manufacturer or as per specification. Once applied, materials will be worked into the soil to limit exposure to storm water.

On-site storage will be covered and palletized to limit contact with storm water. The contents of any partially-used bags or containers will be transferred to a sealable plastic bin to avoid spills.

6.2.c          Paints:

All containers will be tightly sealed and stored when not required for use. Excess paint will not be discharged to the storm drain system or on the ground, but will be properly disposed of according to manufacturers’ instructions or State and local regulations.

6.2.d          Concrete Trucks:

Concrete trucks will not be allowed to wash out or discharge surplus concrete or dump wash water other than in a designated wash-out area. The hardened waste will be disposed of weekly and before final inspection of the project.

6.3              Spill Prevention Practices:

In addition to the good housekeeping and material management practices discussed in the previous sections of this plan, the following practices will be followed for spill prevention and cleanup:

• Manufacturers’ recommended methods for spill cleanup will be clearly posted and site personnel will be made aware of the procedures and the location of the information and cleanup supplies.
• Materials and equipment necessary for spill cleanup will be kept in the material storage area on-site. Equipment and materials will include, but not be limited to, brooms, dust pans, mops, rags, gloves, goggles, kitty litter, sand, sawdust, and plastic and metal trash containers specifically designed for this purpose.
• All spills will be cleaned up immediately after discovery using dry cleanup methods.
• The spill area will be kept well-ventilated and personnel will wear appropriate protective clothing to prevent injury from contact with a hazardous substance.
• Spills of toxic or hazardous material will be reported to the appropriate State or local government agency, regardless of the size—ADEQ Hotline: (602) 771-4505; City of Phoenix Hazardous Spills Emergency: 911; City of Phoenix Hazardous Spills Safety Section: (602) 262-7555.
• The spill prevention plan will be adjusted to include measures to prevent this type of spill from recurring and procedures to clean up the spill if there is another one. A description of the spill, what caused it, and the cleanup measures will also be included.
• The site superintendent shall be responsible for the day-to-day site operations, will be the spill prevention and cleanup coordinator. He will designate other site personnel who will receive spill prevention and cleanup training.

6.4              Documentation:

Documentation of all inspections, failed BMP’s, corrective action and training shall be maintained onsite with the SWPPP at all times during the project, and shall be maintained for not less than three (3) years after the project is complete.

OTHER REQUIRED CERTIFICATIONS

The Contractor shall complete and submit the following certification forms to the City before construction begins:

• Permitee Certification
• Contractor Certification
• Subcontractor Certification (for all Subcontractors as necessary)
• Operator’s Compliance Evaluation Report

PERMITTEE’S CERTIFICATION

As Contractor of the West Plaza Park Renovation (CDBG) project, I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gathered and evaluated the information submitted. Based on my inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations.

CONTRACTORCERTIFICATION

I certify under penalty of law that I understand the terms and condition of the General Arizona Pollutant Discharge Elimination System (AZPDES) Permit that authorizes the storm water discharges associated with industrial activities from the construction site identified as part of this certification. Further, by my signature, I understand that I am becoming a co-permittee, along with the subcontractors signing such certifications, to the general (AZPDES) Permit for the storm water discharges associated with construction activities of the West Plaza Park Renovation (CDBG) project. As a co-permittee, I understand that I, and my company, are legally required under the Clean Water Act, to ensure compliance with the terms and conditions of the storm water pollution prevention plan developed under the AZPDES Permit and the terms of the AZPDES Permit.

SUBCONTRACTOR’SCERTIFICATION

I certify under penalty of law that I understand the terms and conditions of the General Arizona Pollutant Discharge Elimination System (AZPDES) Permit that authorizes the storm water discharges associated with industrial activity from the construction site identified as part of this certification. Further, by my signature, I understand that I am becoming a co-permittee, along with the owner(s) and other contractors and subcontractors signing such certifications, to the general AZPDES permit for the storm water discharges associated with construction activities of the West Plaza Park Renovation (CDBG) project. As a co-permittee, I understand that I, and my company, are legally required under the Clean Water Act, to ensure compliance with the terms and conditions of the storm water pollution prevention plan developed under the AZPDES permit and the terms of the AZPDES permit.

Verification of Completion and Acceptance of Subcontractor’s Work

All work to be performed by

                                                                                                                                                               (Subcontractor) as part of the                                                                      (Project) has been completed and accepted. Execution of this form absolves said subcontractor from liability for AZPDES violations which may occur subsequent to this date as a result of activities of the general contractor or other subcontractors.

AZG-2008-001 General Permit for Construction Activities Operator’s Compliance Evaluation Report

This project requires inspection of storm water pollution controls (BMPs) on a choice of frequency described in the General Permit, Part IV. H. Attach sheets if more space is needed.

Project:                                                                                                                                           Date:                                                                                                                                                     

Name & Title of Inspector:                                                                                                                                                     

Qualifications of Inspector:

Attached; or