A-2 CERTIFICATION REGARDING NONCOLLU SION Under penalty of perjury as provided by federal law (28 U.S.C. §1746), the Bidder hereby certifies, to the best of its knowledge and belief, that: the Bidder has not, either directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of competitive bidding in connection with the Contract. For related provisions, see Section 102.7.2 (C) of the Standard Specifications - "Effects of Signing and Delivery of Bids" - "Certifications", Section 3 of this Appendix A entitled "Other Federal Requirements" including section XI - "Certification Reg arding Debarment, Suspension, Ineligibility, and Voluntary Exclusion" and section XII. - "Cer tification Regarding Use of Contract Funds for Lobbying." *************************************************************** **************
B.Bid Rigging Hotline To report bid rigging activities call : 1-800-424-9071 The U.S. Department of Transportation (DOT) operates the above toll-free “hotline” Monday through Friday, 8:00 a.m. to 5:00 p.m., eastern time. A nyone with knowledge of possible bid rigging, bidder collusion, or other fraudulent act ivities should use the “hotline” to report such activities. The “hotline” is part of the DOT’s continuing effort to identif y and investigate highway construction contract fraud and abuse and is operated under the direction of the DOT Inspector General. All information will be treated confidentially, and c aller anonymity will be respected. *************************************************************** ************** SECTION 2 - FEDERAL EEO AND CIVIL RIGHTS REQUIREMENTS Unless expressly otherwise provided in the Bid Documents, the provisions contained in this Section 2 of this "Federal Contract Provisions Supplement" are hereby incorporated into the Bid Documents and Contract.
A.Nondiscrimination & Civil Rights - Title VI The Contracto r and its subcontractors 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 requiremen ts 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 Department deems appr opriate. The Contractor and subcontractors shall comply with Title VI of the Civil Rights A ct of 1964, as amended, and with all State of Maine and other Federal Civil Rights laws. For related provisions, see Subsection B - "Nondiscrimination a nd Affirmative Action - Executive Order 11246" of this Section 2 and Section 3 - Other Federal Requirements of this "Federal Contract Provisions Supplement" including section II - "Nondiscrimination" of the “Required Contract Provisions, F ederal Aid Construction Contrac ts”, FHWA-1273. A-3
B.Nondiscrimination and Affirmative Action - Executive Order 11246 Pursuant to Executive Order 11246, which was issued by President Johnson in 1965 and amended in 1967 and 1978, this Contract provides as follows. The Contractor shall take specific affirmative actions to ensu re equal employment opportunity. The evaluation of the Contractor’s compliance wit h these specifications shall be based upon its efforts to achieve maximum results from its acti ons. The Contractor shall document these efforts fully, and shall implement affirmative a ction steps at least as extensive as the following: Ensure and maintain a working environment free of harassment, i ntimidations, and coercion at all sites, and in all facilities at which the Contractor’s e mployees are assigned to work. The Contractor, where possible, will assign two or more women to ea ch construction project. The Contractor shall specifically ensure that all forepersons, supe rintendents, 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 fem ale individuals working at such sites or in such facilities. Establish and maintain a current list of minority and female re cruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its union have employment opportunities available, and to maintain a record of the organization’s responses. Maintain a current file of the names, addresses and telephone n umbers 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 w ith respect to each such individual. If such individual was sent to the union hiring ha ll for referral and was not referred back to the Contractor by the union or, if referred, not employ ed by the Contractor, this shall be documented in the file with the reason therefore, along with wh atever additional actions the Contractor may have taken. Provide immediate written notification to the Department’s Civi l Rights Office when the union or unions with which the Contractor has a collective barg aining agreement has not referred to the Contractor a minority person or woman sent by t he Contractor, or when the Contractor has other information that the union referral proces s has impeded the Design- Builder’s efforts to meet its obligations. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including up grading 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 B above. 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 obligation; by including it in any policy manual and collec tive bargaining agreement; by A-4 publicizing it in the company newspaper, annual report, etc.; b y 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 access ible to all employees at each location where construction work is performed. Review, at least annually, the company’s EEO policy and affirma tive action obligations under these specifications with all employees having any respon sibility for hiring, assignment, layoff, termination, or other employment decisions including sp ecific review of these items with on-site supervisory personnel such as Superintendents, General Forepersons, etc., prior to the initiation of construction work at any job site. A written rec ord shall be made and maintained identifying the time and place of these meetings, persons atten ding, subject matter discussed, and disposition of the subject matter. Disseminate the Contractor’s EEO policy externally by including it in any advertising in the news media, specifically including minority and female news med ia, and providing written notification to and discussing the Contractor’s EEO policy with other Contractor’s and Subcontractors with whom the Contractor does or anticipates doi ng business. Direct its recruitment efforts, both orally and written to mino rity, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor’s recruitment area and employment needs. Not later that one month prior to the date f or 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, screenings, procedures, and test to be used in the selection process. Encourage present minority and female employees to recruit othe r minority persons and women and, where reasonable, provide after school, summer and v acation employment to minority and female youth, both on the site and in other areas of a Contractor’s workforce. Validate all tests and other selection requirements. Conduct, at least annually, an inventory and evaluation at leas t of all minority and female personnel for promotional opportunities and encourage these emp loyees to seek or to prepare for, through appropriate training, etc., such opportunities. Ensure that seniority practices, job classifications, work assi gnments and other personnel practices, do not have a discriminatory effect by continually m onitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor’s obligations under these specifications are being carried out. Ensure that all facilities and company activities are non segre gated except that separate or single-user toilet and necessary changing facilities shall be p rovided to assure privacy between the sexes. A-5 Document and maintain a record of all solicitations of offers f or subcontracts from minority and female construction Contractor’s and suppliers, including c irculation of solicitations to minority and female Contractor associations and other business associations. Conduct a review, at least annually, of all supervisors’ adhere nce to and performance under the Contractor’s EEO policies and affirmative action obligation s.
C.Goals for Employment of Women and Minorities Per Executiv e Order 11246, craft tradesperson goals are 6.9% women and .5% minorities employed. However, goals may be adjusted upward at the mutual agreement of the Contractor and t he Department. Calculation of these percentages shall not include On-the-Job Training Program trainees, and shall not include clerical or field clerk position employees. For a more complete presentation of requirements for such Goals , see the federally required document “Goals for Employment of Females and Minorities” set f orth in the next 6 pages below. *************************************************************** ************** Start of GOALS FOR EMPLOYMENT OF FEMALES AND MINORITIES Federally Required Contract Document §60-4.2 Solicitations (d) The following notice shall be included in, and shall be pa rt of, all solicitations for offers and bids on all Federal and federally assisted construction con tracts or subcontracts in excess of $10,000 to be performed in geographical areas designa ted by the Director pursuant to § 60-4.6 of this part (see 41 CFR § 60-4.2(a)): Notice of Requirement for Affirmative Action to Ensure Equal Op portunity (Executive Order 11246)
1.The Offeror's or bidder's attention is called to the "Equa l Opportunity Clause" and the "Standard Federal Equal Employment Specifications" set forth he rein.
2.The goals and timetables for minority and female participat ion, expressed in percentage terms for the Contractor's aggregate work force in each trade o n all construction work in the covered area, are as follows: Goals for female participation in each trade 6.9% Goals for minority participation for each trade Maine 001 Bangor, ME 0.8% Non-SMSA Counties (Aroostook, Hancock, Penobscot, Piscataquis , Waldo, Washington) 002 Portland-Lewiston, ME A-6 SMSA Counties: 4243 Lewiston-Auburn, ME 0.5% (Androscoggin) 6403 Portland, ME 0.6% (Cumberland, Sagadahoc) Non-SMSA Counties: 0.5% (Franklin, Kennebec, Knox, Linco ln, Oxford, Somerset, York) These goals are applicable to all the Contractor's construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such g eographical area where the work is actually performed. With regard to this second area, the contractor also is subject to t he goals for both its federally involved and non-federally involved construction. The contractor's compliance with the Executive Order and the re gulations in 41 CFR
Part 60 — 4 shall be based on its implementation of the Equal Opp ortunity Clause, specific
affirmative action obligations required by the specifications s et forth in 41 CFR § 60-4.3(a), and its efforts to meet the goals. The hours of minority and f emale employment and training must be substantially uniform throughout the length of the cont ract, and in each trade, and the contractor shall make a good faith effort to employ minorit ies and women evenly on each of its projects. The transfer of minority or female emplo yees or trainees from Contractor to Contractor or from project to project for the sol e purpose of meeting the Contractor's goals shall be in violation of the contract, the E xecutive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals wil l be measured against the total work hours performed.
3.The Contractor shall provide written notification to the D irector of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction w ork under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor, employer identification number of the subcontractor, estimated dollar amount of the subcontract; estimated started and complet ion dates of the subcontract; and the geographical area in whi ch the subcontract is to be per formed.
4.As used in this Notice, and in the Contract resulting from this solicitation, the "covered area" is (insert description of the geographical areas where th e contract is to be performed giving the state, county and city, if any). STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246)
1.As used in these specifications: A-7
a."Covered area" means the geographical area described in the solicitation from which this contract resulted;
b."Director" means Director, Office of Federal Contract Compl iance Programs, United States Department of Labor, or any person to whom the Director delegates authority;
c."Employer identification number" means the Federal Social S ecurity number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Departme nt form 941;
d."Minority" includes: (i) Black (all persons having origins in any of the Black Afri can racial groups not of Hispanic origin); (ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Ce ntral or 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 th e Pacific Islands); and (iv) American Indian or Alaskan Native (all persons having orig ins in any of the original peoples of the North America and maintaining identifiable triba l affiliations through membership and participation or community identification).
2.Whenever the Contractor, or any subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically incl ude in each subcontract in excess of $10,000 the provisions of these specifications and th e Notice which contains the applicable goals for minority and female participation and whic h i s s e t f o r t h i n t h e solicitations from which this contract resulted.
3.If the contractor, is participating (pursuant to 41 CFR § 6 0-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area ei ther 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 demonst rate 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 effo rt to achieve each goal under the Plan in each trade in which it has employees. The ov erall good faith performance by other Contractors for Subcontractors toward a goal in an app roved Plan does not excuse any covered Contractor's or Subcontractor's failure to take goo d faith efforts to achieve the Plan goals and timetables.
4.The Contractor shall implement the specific affirmative ac tion 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 whi ch it has employees in contractors performing construction work in geographical areas where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals A-8 established for the geographical areas where the work is being performed. Goals are published periodically in the Federal Register in notice form a nd such notices may be obtained from any Office of Federal Contract Compliance Program s office or from Federal procurement contracting officers. The Contractor is expected t o make substantially uniform progress in meeting its goals in each craft during the period s pecific.
5.Neither the provisions of any collective bargaining agreemen t, 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 pr omulgated pursuant, thereto.
6.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 employ ed by the Contractor during the training period, and the Contractor must have made a commit ment to employ the apprentices and trainees at the completion of their training, s ubject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor.
7.The Contractor shall take specific affirmative actions to e nsure equal employment opportunity. The evaluation of the Contractor's compliance wit h these specifications shall be based upon its effort to achieve maximum results from its ac tions. The Contractor shall document these efforts fully, and shall implement affirmative a ction steps at least as expensive as the following:
a.Ensure and maintain a working environment free of harassment , intimidation, coercion at all sites, and in all facilities at which the Contractor's e mployees are assigned to work. The Contractor, when possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all for emen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specifi c attention to minority or female individuals working at such sites or in such faciliti es.
b.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 organization's response s.
c.Maintain a current file of the names, addresses and telephon e numbers of each minority and female off-the-street applicant and minority or female refe rral from a union, a recruitment sources or community organization and of what actio n was taken with respect to each such individual. If such individual was sent t o the union hiring hall for referral and was not referred back to the Contractor by the uni on or, if referred, not employed by the Contractor, this shall be documented in the fil e with the reason therefore, along with whatever additional actions the Contracto r may have taken. A-9
d.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, o r when the Contractor has other information that the union referral process has imped ed the Contractor's efforts to meet its obligations.
e.Develop on-the-job training opportunities and/or participat e in training programs for the area which expressly include minorities and women, including up grading 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 source s complied under 7b above.
f.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 in any policy manual and coll ective bargaining agreement; by publicizing it in the company newspaper, annual r eport, 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 const ruction work is performed.
g.Review, at least annually, the company's EEO policy and affi rmative action obligations under these specifications with all employees having any respon sibility for hiring, assignment, layoff, termination or other employment decisions i ncluding specific review of these items with on-site supervisory personnel such as Super intendents, 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 pl ace of these meetings, persons attending, subject matter discussed, and disposition of the subject matter.
h.Disseminate the Contractor's EEO policy externally by includ ing it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discu ssing the Contractor's EEO pol icy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business.
i.Direct its recruitment, efforts, both oral and written, to m inority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month other training by a ny recruitment source, the Contractor shall send written notification to organizations such as the above, describing prior to the date for the acceptance of applications for apprenticeship or the openings, screening procedures, and tests to be used in the sel ection process.
j.Encourage present minority and female employees to recruit o ther minority persons and women and, where reasonable, provide after school, summer and v acation employment to minority and female youth both on site and in other areas of a Contractor's work force. A-10
k.Validate all tests and other selection requirements where th ere is an obligation to do so under 41 CFR Part 60-3.
l.Conduct, at least annually, an inventory and evaluation at l east of all minority and female personnel for promotional opportunities and encourage th ese employees to seek or to prepare for, through appropriate training, etc., such opp ortunities.
m.Ensure that seniority practices, job classifications, work a ssignments and other personnel practices, do not have a discriminatory effect by continually m onitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor's obligations under these specifications are being carried out.
n.Ensure that all facilities and company activities are non se gregated except that separate or single-user toilet and necessary changing facilities shall b e provided to assure privacy between the sexes.
o.Document and maintain a record of all solicitations of offer s for subcontracts from minority and female construction contractors and suppliers, inc luding circulation of solicitation to minority and female contractor associations and other business associations.
p.Conduct a review, at least annually, of all supervisor's adh erence to and performance under the Contractor's EEO policies and affirmative action obli gations.
8.Contractors are encouraged to participate in voluntary assoc iations which assist in fulfilling one or more of their affirmative action obligations (7 a throug h p.). The efforts of a contractor association, joint contractor-union, contractor-comm unity, or other similar group of which the contractor is a member and participant, may be ass erted as fulfilling any one or more of its obligations under 7 a through p. of these specifica tions provided that the contractor actively participates in the group, makes every effo rt 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 and reflected in the Contr actor's minority and female work force participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demon strates the effectiveness of actions take on behalf of the Contractor. The obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligati on shall not be a defense for the Contractor's noncompliance.
9.A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employmen t opportunity and to take affirmative action for all minority groups, both make and femal e, 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 substant ially disparate manner (for example, specific minority group of women is underutilized.) A-11
10.The Contractor shall not use the goals and timetables or af firmative action even through the Contractor has achieved its goals for women generally, the Cont ractor may be in violation of the Executive Order if standards to discriminate against any pe rson because of race, color, religion, sex, or national origin.
11.The Contractor shall not enter into any Subcontract with an y person or firm debarred from Government contracts pursuant to Executive Order 11246.
12.The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including s uspension, termination and cancellation of existing subcontracts as may be imposed or orde red pursuant to Executive Order 11246, as amended, and its implementation regulations by the Office of Federal Contract Compliance Programs. Any Contractor who fails to carr y out such sanctions and penalties shall be in violation of these specifications and Exe cutive Order 11246, as amended.
13.The Contractor, in fulfilling its obligations under these s pecifications, shall implement specific affirmative action steps, at least as extensive as tho se standards prescribed in paragraph 7 of these specifications, so as to achieve maximum r esults from its efforts to ensure equal employment opportunity. If the Contractor fails t o comply with the requirements of the Executive Order, the implementing regulatio ns, or these specifications, the Director shall proceed in accordance with 41 CFR § 60-4.6.
14.The Contractor shall designate a responsible official to mo nitor 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 Gov ernment and to keep records. Records shall at least include for each employee the name, addr ess, telephone numbers, construction trade, union affiliation if any, employee identifi cation number when assigned, social security number, race, sex, status (e.g. mechanic, appre ntice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and location sat which the work was performed. Records be maintained in an easily understandable and retrievable form; however, to the degree tha t existing records satisfy this requirement, contractors shall not be required to maintain sepa rate records.
15.Nothing herein provided sha ll be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the a pplication of requirements for the hiring of local or other area residents (e.g., those un der the Public Works Employment Act of 1977 and the Community Development Block Gran t Program). End of GOALS FOR EMPLOYMENT OF FEMALES AND MINORITIES SECTION 3 - OTHER FEDERAL REQUIREMENTS Unless expressly otherwise provided in the Bid Documents, the provisions contained in this Section 3 of this "Federal Contract Provisions Supplement" are hereby incorporated into the Bid Documents and Contract.
Source: Maine Standard Specifications for Road and Bridge Construction, 2020 Edition. Pages 139–148 of 817.