HomeMy WebLinkAbout2021-04-28 EMC testimony - (04-08) Demoruelle, Sandra - 06-25-19 c.007672 - Brown and Caldwell - Fully Executed Contract - EA and Other Services Associated to the Naalehu LCC Replacement ProjectCONTRACT
THIS AGREEMENT is made and entered into as of this AM day of V W 2019, by
and between the COUNTY OF HAWAII, a municipal corporation duly organized and existing under the
laws of the State of Hawai'i, whose business address is 25 Aupuni Street, Hilo, Hawai'i 96720,
hereinafter called the "COUNTY," and BROWN AND CALDWELL, a corporation, organized under the laws
of the State of California, whose business address is 737 Bishop Street, Suite 3000 Pacific Guardian
Center — Mauka Tower, Honolulu, Hawai'i 96813-4020, hereinafter called the "CONSULTANT."
WITNESSETH:
WHEREAS, the COUNTY wishes to obtain the services of the CONSULTANT to render all the
necessary professional engineering and other services required to perform Environmental Assessment
Documents (EADs) and Public Outreach associated with the Na'alehu Large Capacity Cesspool (LCC)
Replacement project, including a new Wastewater Treatment Plant (WWTP) expandable to service the
Na'alehu community, and necessary Preliminary Engineering Report (PER) Updates for associated
wastewater collection, transmission, treatment and disposal systems, for Hawai'i Environmental Policy
Act (NEPA) and State Environmental Review Process (SERP) compliance, including Federal crosscutting
authorities for CWSRF funding, for the County of Hawai'i Department of Environmental Management,
Wastewater Division, hereinafter called the "PROJECT"; and
WHEREAS, the CONSULTANT is qualified, ready, willing and able to provide such services; and
WHEREAS, the COUNTY and the CONSULTANT have detailed the scope of work to be performed
by the CONSULTANT on the PROJECT in a separate attachment entitled "EXHIBIT A - SCOPE OF WORK", a
copy of which is attached hereto;
NOW, THEREFORE, the COUNTY and the CONSULTANT, in consideration of the mutual promises
hereinafter set forth, hereby agree as follows:
The CONSULTANT shall perform all the services required for the PROJECT in
accordance with the General Terms and Conditions for Consultant Service Contracts dated October 22,
2014, attached hereto and hereinafter called the "GENERAL TERMS & CONDITIONS."
That the CONSULTANT shall comply with all Federal Requirements for the
Consultants and Contractors dated June 2018; attached hereto and hereinafter called the CWSRF
BOILERPLATE; and
The compensation for the work under "EXHIBIT B - FEE SUMMARY", subject to
the GENERAL TERMS & CONDITIONS, shall consist of a fee not to exceed SEVEN HUNDRED FIFTY
THOUSAND AND NO/ 100 DOLLARS ($750,000), inclusive of all taxes for the CONSULTANT except in the
case of a contract amendment increasing or decreasing the scope of work.
4. The work under "EXHIBIT A - SCOPE OF WORK" on this AGREEMENT shall be
completed within the time periods established in "EXHIBIT C — SCHEDULE OF WORK" and shall
commence after the COUNTY has given the official written notice to proceed, exclusive of review time as
may be required by the COUNTY and other agencies.
Any additional work that may be required shall be for Professional Services, as
defined under Hawai'i Revised Statutes Section 103d-104, Definitions. The CONSULTANT shall submit a
detailed scope of work, fee estimate, and project schedule for all additional work to be done.
Authorization for the additional work shall be provided via written Task Order(s). All Task Orders issued
shall be incorporated into the AGREEMENT by Supplemental Agreement. Supplemental Agreements
shall be executed periodically after Task Orders are issued, but prior to contract close out.
6. That liquidated damages for the failure to perform the work under Task No's 1
through 4 of EXHIBIT A — SCOPE OF WORK within the time fixed or any extension thereof exclusive of
review time or any delays beyond the control of the Consultant shall be ONE HUNDRED FIFTY DOLLARS
($150.00) per calendar day. Project schedule and completion dates shall be as scheduled under EXHIBIT
C herein.
A signed copy of the AGREEMENT and any Supplement Agreement may be
executed and transmitted to any party by facsimile, electronic mail ("email") or other means of
electronic transmission and shall be deemed to be, and utilized in all respects as, an original, wet -inked
manually executed document.
This AGREEMENT may be executed in counterparts, each of which shall be
deemed to be an original copy of this AGREEMENT, and all of which, when taken together, will be
deemed to constitute one and the same AGREEMENT. Signatures of the parties transmitted by facsimile
or other electronic means shall be deemed to be their original signatures.
9. If a disagreement concerning this AGREEMENT or CONSULTANT'S work on the
PROJECT arises which the parties cannot settle pursuant to the dispute resolution clause of the GENERAL
TERMS & CONDITIONS appended hereto and incorporated by reference herein, the parties agree that no
action or proceeding involving this AGREEMENT or CONSULTANT'S work on the PROJECT shall be
commenced by either party except in the Circuit or District Courts of the Third Circuit, State of Hawai'i,
nor shall any action commenced in such court be removed or transferred to any other state or federal
court; and
[Remainder of this page is intentionally left blank — CONTRACT]
IN WITNESS WHEREOF, the parties hereto have caused this AGREEMENT to be executed as of the day
and year first above written.
RECOMMEND APPROV
WILLIAM A. KUCHARSKI, Director
Department of Environmental Management
APPROVED AS TO FORM AND LEGALITY:
Deputy Corporation Counsel
County of Hawaii
DESIGNATED REPRESENTATIVE
for COUNTY OF HAWAII:
Name: Dora Beck, P.E.
Title: Wastewater Division Chief
Telephone: (808) 961-8513
Email: dora.beck@hawaiicountv.t{ov
COUNTY OF HAWAI'I
By #�
MI/
Its Managing Director
BROWN AND CALDWELL, Consultant
J
By
�)�e
:
It Executive Engineer
DESIGNATED REPRESENTATIVE
for BROWN AND CALDWELL:
Name: Craig Lekven, P.E.
Title: Managing Engineer
Telephone: (808) 442-3301
Email: clekven@brwncald.com
EXHIBIT A — SCOPE OF WORK
1. GENERAL DESCRIPTION:
1.1 The Consultant shall provide all planning, engineering and related services for preparing an
Environmental Assessment (EA) for the Na'alehu Large Capacity Cesspool (LCC) Replacement
project including the Na'alehu Wastewater Collection System, Na'alehu Sewage Pump Station
and Force Main and Na'alehu Wastewater Treatment and Disposal System and Drainage
Modifications in accordance with HRS 343, EPA approved SERP requirements, and CWSRF
applicable crosscutting authorities; incorporating current best information available; updating
the projects' PER as needed and/or appending applicable technical memoranda (TM) for the R-1
Stock Water Feasibility Study, collection system concepts, drainage study, etc.; associated Public
Outreach Services; and Project Management Services to include all necessary oversight and
coordination.
1.1.1 A Phase 1 Environmental Site Assessment was performed on the target property for the
wastewater treatment and disposal systems at TMKs 9-5-022:001, 9-5-007:016 and 9-5-
021:015 which are currently owned by Ka'u Valley LLC, I<a'u Mahi LLC and Tot Trust and
the County has discussed the proposed use with their representatives, Ala Kahakai Trail
Association, as well as members of the public during preliminary public outreach
sessions.
1.1.2 It is understood that should target properties on parcels 9-5-022:001 and 9-5-007:016
be determined not to be viable for a new Wastewater Treatment Plant and/or Land
Disposal System during the Environmental Assessment and Public Outreach phases a
modification to the contract would be required in order to explore other options.
1.1.3 Work under this contract is being performed in accordance with United States
Environmental Protection Agency (USEPA) Region 9 Administrative Order on Consent,
Docket No. SDWA-UIC-AOC-2017-0002 dated June 22, 2017 (Consent Order).
A. Work under this contract shall be performed in accordance with the Consent Order
and Compliance Dates established in the Consent Order or extensions approved by
USEPA.
1.2 CWSRF Requirements:
1.2.1 The County intends to utilize funding from the Clean Water State Revolving Fund
Program (CWSRF) through the State of Hawai'i, Department of Health, Wastewater
Branch. All documents produced in fulfillment of this Contract must meet all
requirements for participation in the CWSRF program, including boilerplate, and address
all applicable federal cross -cutting authorities.
1.2.2 The EA project description shall explicitly state the CWSRF project names: Na'alehu
Wastewater Collection System, Na'alehu Sewage Pump Station and Force Main and
Na'alehu Wastewater Treatment and Disposal System and Drainage Modifications.
1.2.3 Figures: Maps and drawings shall clearly show the three (3) projects' work areas.
2. SCOPE OF WORK:
2.1 TASK No. 1— Protect Management
2.1.1 Manage the project from inception through completion for on-time, in -budget delivery
to include coordination with sub -consultant firms, County, State and other pertinent
agencies, perform budget tracking and scheduling, complete monthly project status
reports, and serve as the single point of contact for the County.
A. Review and steer preliminary design efforts, data gathering, and provide
communication support between the County, other agencies, and the team being
utilized for the WED, collection system design, and Public Outreach.
2.1.2 Submit a project schedule that identifies submittals, deliverables, critical path and
deadlines for work tasks within seven (7) calendar days of Notice to Proceed.
A. The County notes that as the project is under an Administrative Order with the
Environmental Protection Agency, it is imperative that project schedules are met in
order to prevent enforcement action against the County as well as to ensure that
Grant Funds to be expended during the Construction Phase are maintained.
Prioritize tasks to ensure items impacting ability to meet AOC deadlines are
accomplished sufficiently in advance to ensure compliance and grant funds can be
utilized for construction.
B. Participate in quarterly conference call meetings with the USEPA during EA efforts.
C. Provide up to three (3) trips to Hilo and/or Na'alehu for project review meetings
with the County, site visits, and data -gathering.
2.1.3 Clarify and accurately document any changes in scope of work, schedule, and budget.
2.1.4 Schedule, coordinate, and lead progress meetings regarding work performed under this
contract.
2.1.5 Coordinate site visits and data gathering with affected property owners and the County.
2.1.6 Conduct Quality Assurance and Control Review of all documents and submittals prior to
presentation to the County, State and other agencies.
2.2 TASK NO. 2 — Collection System Planning
2.2.1 Work under this task performs planning level analysis of options and cost opinions for
the Na'alehu collection system including utilizing existing sewer pipes and/or
alignments; new deep sewers primarily in rights-of-way to reduce or eliminate private
pump stations on residential properties; new gravity sewers in easements to minimize
sewer depths; new low pressure sewer; new vacuum sewer; and an optimized hybrid of
these systems.
A. Expand the collection system to the proposed WWTP site and to incorporate newly
accessible parcels indicated on Figure 2-1 of the October 2018 Preliminary
Engineering Report (PER).
2.2.2 Subtask 2.1 Research:
A. Research previous efforts that highlight collection system issues and concerns.
2.2.3 Subtask 2.3 Draft Technical Memorandum (TM):
A. Provide a Draft TM evaluating alternatives for the existing or a new sewer system to
service all properties included within each of the final CWSRF project areas to be
appended to the projects' PER. Include maps, figures and tables as needed to
summarize and clarify the text and analyses.
1) Describe the existing collection system and outline its' adequacy to meet project
needs.
2) Describe each alternative considered, including relevant design criteria and
considerations based on available information including topography, soils,
anticipated subsurface conditions, routine and special operation and
maintenance requirements, safety provisions, and staffing requirements.
Identify all properties not servable by gravity for each. Include pump or vacuum
station descriptions and pertinent design basis or calculations, as needed.
3) Assess existing and conceptual collection system capacity to confirm adequacy
based on applicable City and County of Honolulu Wastewater System Design
Standards (including per capita flow, I&I and peaking factors) and provide
estimated flows and sewer pipe sizing for each option. Break down by CWSRF
project area of potential effect (APE).
4) Identify all land acquisitions (including any easements) required for installation
of the proposed sewer collection and transmission systems for each option and
CWSRF projects' APE.
5) Provide a conceptual opinion of probable design and construction cost,
including for all land acquisitions (fee title and easements) required for each
option and CWSRF projects' APE. Incorporate a 25-35% contingency to account
for uncertainties associated with a Class 4 estimate.
6) Describe the recommended collection system alternative and basis, including
relevant design criteria and assumptions. Prepare conceptual plans and profiles
indicating concept locations of proposed private lateral connections. Address
phasing of implementation to expedite the LCC closures.
B. The Draft TM shall conform to all applicable requirements for participation in the
CWSRF loan program.
C. Provide one copy of the Draft TM in PDF format to the County for review and
comment.
2.2.4 Subtask 2.5 Final TM:
A. Prepare and present a Final TM in PDF format that documents the collection system
conceptual design process and findings and provides recommendations for future
collection system activities (including required approvals and permits) to be
incorporated in or appended to the projects' PER prior to publication of the draft EA
for public comment.
2.3 Task 3 — EA, CWSRF Cross Cutters and HEPA Compliance:
2.3.1 The HRS 343 EA and the CWSRF Environmental Information Document (EID) shall be
combined into a single EA document which addresses SERP criteria and crosscutters
sufficiently for DOH review and concurrence (including USEPA when required).
2.3.2 Subtask 3.1 Environmental Assessment:
A. Preliminary Documentation
1) Prepare project description.
2) Conducts site visits as necessary to identify existing conditions and verify project
objectives and other development considerations.
B. Pre -Assessment Consultation
1) Conduct pre -assessment consultation and solicit comments from key agencies,
property owners, community members who attended previous outreach
meetings for the project and provided mailing addresses on the sign -in sheets,
and Native Hawaiian Organizations (NHO).
C. Review Draft EA/EID Document
1) Perform archaeological investigation and flora -fauna surveys and agency
consultation.
2) Collect, review, and compile data and information relating to the projects' site
and their potential effect to the environment and incorporate into the EA/EID.
Incorporate a discussion and list of applications, approvals and permits
necessary to complete the proposed work.
3) Prepare Review Draft EA/EID.
D. Draft EA/EID
1) Prepare draft EA/EID based on comments to the Review Draft EA and Notice of
Determination letter for County signature.
2) Coordinate filing of draft EA and letter to the Office of Environmental Quality
Control (OEQC).
3) Conduct one public meeting and two landowner meetings (one for C Brewer
connected properties and one for newly accessible properties) during the draft
EA comment period to present the project and draft EA/EID process and solicit
written comments.
a) Prepare a Community Meeting Plan that includes the most effective ways to
"talk story" with the community and further Section 106 NHO consultation
through a listening session. The objectives of the plan include the following:
i) Meeting organization (date, time, duration, venue, target audience,
invitations, flyers, advertising).
ii) Program development.
iii) Dissemination of accurate project information.
iv) Identification of key issued that affect project acceptance.
v) Meeting facilitation and event management (program needs, furniture
set up, food and beverage, sign -in, name tags).
vi) Meeting summary with supporting documentation (preliminary and
final). (Note: Meetings will not be transcribed.)
vii) Recommendations for further outreach activities.
E. Final EA
1) Respond to comments received on the draft EA and meet with reviewing
agencies to discuss if necessary.
2) Prepare a Review Final EA for County review.
3) Revise Review Final EA and prepare Final EA Notice of Determination letter.
4) Coordinate filing required copies of the Final EA/FONSI with the OEQC and
CWSRF.
2.3.3 Subtask 3.2 Address Crosscutters:
A. The scope of services for Crosscutter compliance shall include preparation of
environmental documentation that will support content and procedural
requirements of the SRF Environmental Assessment Review Checklist and the
Department of Health (DOH)/USEPA EID requests. The majority of the technical
investigation supporting consultation for the specific EID requirements will have
been conducted in conjunction with producing the Final EA.
B. National Historic Preservation Act (NHPA), Section 106 and HRS Chapter 6E
1) Coordinate DOH's consultation with the State Historic Preservation Officer
(SHPO) pursuant to both NHPA and HRS.
2) It is understood that current scope of work in this regard is based on a "no
effect" or "not likely to adversely affect" and excludes resolution of issues
should consultation result in an initial determination of adverse effect.
C. Endangered Species Act (ESA), Section 7
1) Coordinate conducting DOH's consultation with the U.S. Department of Interior
Fish and Wildlife Service (USFWS) pursuant to the EA as it pertains to
threatened or endangered species.
2) It is understood that current scope of work in this regard is based on a "no
effect" or "not likely to adversely affect" and excludes resolution of issues
should consultation result in an initial determination of adverse effect
2.3.4 Subtask 3.3 Special Permit
A. Consult with the County Planning Department to verify process, application and
permitting requirements.
B. Complete the Special Permit Application Form and prepare or assemble supporting
materials required by Planning Department instructions, except as specifically
excluded in the attached proposal.
2.4 Task 4 — R-1 Stock Water Feasibilitv Studv and Re Do
2.4.1 Subtask 4.1 Research and Study
A. Prepare a feasibility study for creating a side -stream of R-1 stock water.
1) Estimate stock water demand for TMK 9-5-007:016, assuming year round use
and no over -grazing.
2) Develop an R-1 treatment and storage system concept assuming secondary
effluent is drawn for side stream treatment and held in an above -ground tank
for ranch use.
3) Size for the capacity to produce, store and deliver the estimated weekly demand
in one day, if possible, to minimize operator site visits.
4) Assess design, construction, regulatory and operation and maintenance
requirements and planning level estimated costs for the typical design life of the
system. Compare the costs to a comparably sized system connected to the
community's potable water supply.
2.4.2 Subtask 4.2 Draft Technical Memorandum
A. Provide a Draft TM evaluating and comparing two alternatives for a new R-1 stock
water side stream system to service TMK 9-5-007:016 to be incorporated or
appended to the projects' PER. Include maps, figures and tables as needed to
summarize and clarify the text and analyses.
The Draft TM shall conform to all applicable requirements for participation in the
CWSRF loan program.
C. Provide one copy of the Draft TM in PDF format to the County for review and
comment.
2.4.3 Subtask 4.3 Final Technical Memorandum
A. Prepare and present a Final TM in PDF format that documents the R-1 stock water
system conceptual design process and findings and provides recommendations for
associated future activities (including required approvals and permits) to be
incorporated in or appended to the projects' PER prior to publication of the draft EA
for public comment.
2.5 Task 5 —Additional Unforeseen Work:
2.5.1 Perform additional unforeseen work as requested by the County after submittal of a
detailed scope of work and fee proposal for the work. Authorization for performance of
such work shall be provided by written Task Order.
A. Additional unforeseen work authorized in accordance with this section shall be
limited to Engineering and Technical Services in accordance with HRS §103d-104.
B. All unforeseen work authorized in accordance with this section shall be
incorporated into the contract via Supplemental Agreement prior to final closure of
the contract.
2.6 The scope of work is further detailed in the following attachments to Exhibit A:
2.6.1 Consultant's Proposal, dated March 19, 2019
2.6.2 Consultant's clarifying email, dated March 29, 2019
2.6.3 SRF Environmental Review Checklist
2.6.4 Federal Requirements for CWSRF Projects and "CWSRF Boilerplate"
ATTACHMENTS TO EXHIBIT A - SCOPE OF WORK
2261 Aupuni Street, Suite 201
Wailuku, HI 96793
T: 808.244.7005
March 19, 2019
[Brow:ANDCaldll '
Ms. Sandra Mendonca, P.E.
County of Hawaii, Wastewater Division
108 Railroad Avenue
Hilo, HI 96720
1055.071116.003
Subject: Naalehu Large Capacity Cesspool Closure Project - Proposal for
Environmental Assessment
Dear Ms. Mendonca:
Brown and Caldwell (BC) is pleased to present our proposal for the Environmental
Assessment (EA) for the Naalehu Large Capacity Cesspool Closure Project.
The community's wastewater is currently disposed via large capacity cesspools (LCCs).
The United States Environmental Protection Agency (USEPA) no longer allows LCCs and
an alternate wastewater treatment and disposal method has to be implemented. The
Administrative Order of Consent (Docket SDWA-UIC-AOC-2017-0002) sets a deadline of
October 5, 2019 for completing the EA for the project.
BC has prepared a preliminary engineering report (PER) for the new wastewater
treatment plant (WWTP) that will serve as the technical basis for the EA. Fukunaga &
Associates (F&A) previously prepared a collection system design for the town that was
based on a WWTP location that was later determined to not be feasible. Preliminary
design of a revised system to the preferred WWTP site is needed to complete the EA.
Scope of Services
Our scope of services is divided into four tasks as listed below.
Task:1 - Project Management, Meetings, Site Visits
Project management includes administration, internal and external coordination,
accounting, subconsultant contracting, and invoice preparation. Our budget includes up
to three trips to Hilo and/or Naalehu for project review meetings with the County, site
visits, and data -gathering.
Task 2 - Collection System Preliminary Design
BC will subcontract with Fukunaga and Associates (F&A) to prepare a planning -level
assessment of the collection system needs based on the preferred WWTP site location.
F&A's proposal is included as Attachment A. In summary, F&A will evaluate:
• Low-pressure sewer system to minimize the depth of the sewer pipes (per the
previous Naalehu Phase 1 design).
• Deep sewers in the County ROW to eliminate pump stations on residential
properties.
Ms. Sandra Mendonca, P.E.
County of Hawaii, Wastewater Division
March 19, 2019
Page 2
• Gravity sewers within backyard easements to minimize depth of sewer.
• Vacuum sewer system.
• Hybrid system of two or more of the above.
• Continue to use the existing collection system.
A technical memorandum (TM) will be prepared with the findings. The TM will be included in the EA.
Deliverables: Draft and final TM in electronic (PDF) format.
Task 3 - EA and Special Permit
BC will subcontract with Wilson Okamoto Corporation (WOC) to prepare and process the EA document.
WOC will also provide services for Federal cross -cutter compliance (Section 7 and Section 106) through the
State of Hawaii Department of Health (DOH), and application for the anticipated special permit required to
allow a WWTP to be located within a parcel that is zoned for agriculture by the State Land Use Commission.
WOC will subcontract with Cultural Surveys Hawaii and AECOS for archeology and biological services needed
to complete the EA. In addition, Cultural Surveys Hawaii's scope includes an archeological inventory survey
(AIS) consisting of up to eight trenches and a 100 percent pedestrian survey of the project site. WOC's
proposal is included as Attachment B.
BC will subcontract with EarthPlan to prepare and facilitate one public information meeting in Naalehu
during the draft EA public comment period. EarthPlan's proposal is included as Attachment C.
BC will support WOC by providing background documentation, drawings, and technical assistance regarding
the proposed project. BC will update the PER for the WWTP project with the best -available information to
include in the Draft EA. BC will assist WOC in responding to comments from reviewing agencies and
individuals.
Deliverables: WOC will submit a Review Draft EA for County review and comment and a Draft EA Notice of
Determination letter for DEM signature and filing with OEQC. After public meeting, a Review Final EA will be
submitted for BC and County review. The revised Final EA and Notice of Determination letter will be filed
(paper and electronic copies) with OEQC for publication in the Environmental Notice.
Special permit application and related documents as outlined in Attachment B.
Task 4 - R-1 Stock Water Feasibility Study
BC will prepare a feasibility study of creating a side -stream of R-1 recycled water for stock watering use by
parcel TMK (3)9-5-007:016. BC will prepare an estimate of the stock water demand for the parcel, assum-
ing year-round use and no over -grazing. A conceptual R-1 treatment and storage system will be developed
that assumes secondary effluent is drawn from Lagoon 4 for side -stream treatment to meet R-1 standards
and placed in an above -ground storage tank for ranch use. If possible, the system will be sized to allow one -
day -per -week operation (i.e., the capacity to produce all of the R-1 water needed for a week in one day to
minimize operator visits to the site). Regulatory and operation and maintenance (0&M) requirements will
be assessed. Planning level capital, 0&M, and life -cycle costs will be developed. Similar costs will be devel-
oped for a system connected to the community's potable water system for comparison purposes. The find-
ings will be presented in a TM.
Deliverables: Draft and final TMs in electronic (PDF) format.
Schedule
The scope of work will be conducted to meet the Administrative Order of Consent compliance date to
complete the environmental assessment for the project by October 5, 2019, unless EPA authorizes a
schedule extension.
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February 28, 2019
Mr. Craig Lekven
Brown and Caldwell
2261 Aupuni Street, Suite 201
Wailuku, Maui, Hawaii 96793
FN
FUKUNAGA & ASSOCIATES, INC.
CONSULTING ENGINEERS
SUBJECT: NAALEHU COLLECTION SYSTEM
FEE PROPOSAL FOR PLANNING
Dear Mr. Lekven:
We are pleased to submit for your review our fee proposal to provide planning level analysis of options for
the Naalehu collection system as requested. Per our discussions we understand the options are as follows:
I. Low-pressure sewer system to minimize depth of sewer (previous Naalehu Phase 1 design).
2. Deep sewers in the County ROW to eliminate pump stations on residential properties.
3. Gravity sewers within "backyard" easements to minimize depth of sewer.
4. Vacuum sewer system.
5. Hybrid collection system that utilizes two or more of the above methods to optimize the system.
Status quo; utilize existing sewer pipes and/or their alignments to convey sewage.
Our analysis will also include planning level analysis of the expanded collection system to include the
commercial properties identified by the County. We have kept our fees as low as possible, assuming a
streamlined process to evaluate the system. Should we have to repeatedly revisit the options or evaluate
minutiae for various iterations of the options, we will have to also reevaluate our effort and fee for this
portion of the project. Our attached fee estimate does not include any subconsultant fees at this time,
assuming planning and cost estimates would be based on a cursory evaluation of the system using our
experience of past projects of a similar nature. Should we require consultation with a subconsultant to
address any comments or concerns, we will have to revise our fees to include their efforts. Furthermore, final
verification of the suitability of the option(s) is dependent on further field work and detailed analysis that will
be done at the design stage. The estimated fee for the above scope is $95,740. A detailed recapitulation of
our fee estimate is attached.
We hope that our fee proposal meets with your satisfaction. If you have any questions or concerns, please
contact Andrew Amuro of our office at (808)944-1821 or aamuro@fukunaeaengineers.com.
Very truly yours,
FUKUNAGA AND ASSOCIATES, INC.
Royc7*ukunaga
Attachment
RF/aa
1357 Kapiolani Blvd., Ste. 1530 Ph: 608.944.1821 fukunagaengineers.com
Honolulu, Hawaii 96814 1 Fax: 808.946.9339 I office@fukunagaengineers.com
� � � � i �
• • � •
Ms. Sandra Mendonca, P.E.
County of Hawaii, Wastewater Division
March 19, 2019
Page 3
Fee
BC will complete the scope of services described above for a lump -sum fee of $724,488.00. Table 2
provides a summary of our fee estimate; additional detail can be provided upon request. BC will invoice
every four weeks on a percentage complete by task basis.
We truly look forward to assisting the County with implementation of this unique and challenging project.
Please call Craig Lekven at (808) 442-3301 or Peter Ono at (808) 203-2665 if you have any questions.
Very truly yours,
Brown and Caldwell
r
Craig C. Lekven, P.E.
Managing Engineer
Project Manager
CCL:ic
Peter R. Ono, P.E.
Executive Engineer
Client Service Manager
Attachments:
1. Subconsultants (Fukunaga & Associates, Wilson Okamoto Corporation, and EarthPlan) proposals.
Labor Hours
Labor
Travel &
Task
;Engineering
CADD
Admin
Total
Budget
ODCs
Subs
Tax
Total
1. PM
220
0
100
320
$61,312
$1,200
$0
$2,775
$65,287
2. Collection system planning
96
0
20
116
$22,061
$200
$105,314
$5,662
$133,237
3. EA and special permit
296
24
40
360
$76,634
$1,100
$370,209
;$19,882!
$467,825
4. R-1 stock water feasibility
276
24
8
308
$55,277
$200
$0
$2,462
$57,939
Subtotals
888
48
168
1,104
$215,284
$2,700 !
$475,523
$30,781
$724,288
We truly look forward to assisting the County with implementation of this unique and challenging project.
Please call Craig Lekven at (808) 442-3301 or Peter Ono at (808) 203-2665 if you have any questions.
Very truly yours,
Brown and Caldwell
r
Craig C. Lekven, P.E.
Managing Engineer
Project Manager
CCL:ic
Peter R. Ono, P.E.
Executive Engineer
Client Service Manager
Attachments:
1. Subconsultants (Fukunaga & Associates, Wilson Okamoto Corporation, and EarthPlan) proposals.
Attachment: Wilson Okamoto Corporation Proposal
WILSON OKAMOTO
C 0 R P 0 R A T 1 0 N
INNOVATORS• PLANNERS• ENGINEERS
10345-02
February 28, 2019
Mr. Craig Lekven
Brown and Caldwell
1955 Main Street, Suite 200
Wailuku, Maui, HI 96793
SUBJECT: PROPOSAL FOR PROFESSIONAL SERVICES (REVISED #3)
Planning
Na`alehu Wastewater Treatment Facility Environmental Assessment (EA)
and Special Permit
Na`alehu, Ka`u, Hawaii
TMK 9-5-007:016,9-5-021:015 and 9-5-022:001
Dear Mr. Lekven:
Wilson Okamoto Corporation is pleased for the opportunity to submit this revised proposal to provide
professional services for the subject project. This revised proposal supersedes our proposal dated March 15,
2018 and is for a new project site. In addition, it is anticipated that additional service will be required to
address potentially significant controversy and opposition to the project. Such services may include
participation in community outreach efforts, greater scrutiny of work products, particularly for legal
compliance, additional labor to respond to public comments, and additional coordination with the project
team.
Our services, including sub -consultants, shall include:
Wilson Okamoto Corporation Services
• Planning
Subconsultants
Biological Resources
Cultural/Archeological Resources
AECOS, Inc.
Cultural Surveys, Hawaii
1907 S. Beretania Street, Suite 400 • Honolulu, Hawaii • 96826 • (808) 946-2277
10345-02
Proposal to Mr. Craig Lekven
Page 2
February 28, 2019
For the purposes of this Proposal, Brown and Caldwell shall be referred to as the "CLIENT", Wilson
Okamoto Corporation as the "CONSULTANT", and the Na`alehu Wastewater Treatment Facility Planning
Study shall be referred to as the "PROJECT." The CLIENT's Terms and Conditions for Professional
Services will be applicable, including the CONSULTANT's Subcontract Addendum — Approved
Modifications to Subcontract Terms and Conditions.
PROJECT DESCRIPTION
The County of Hawaii Department of Environmental Management (DEM) is proposing to develop a new
wastewater collection system and a new treatment and disposal facility to serve the Na`alehu community on
Hawaii Island. Most of the residential lots in the community are currently served by a wastewater
collection and disposal system originally constructed, operated and maintained by C. Brewer since the
1940s. The collection system consists of cast iron pipes ranging in size from three to eight inches, some of
which were located in the streets and others routed in the backyards of private parcels. The disposal system
consisted of three large capacity cesspools (LCCs), one located on County property and the other two within
easements on private properties within the community. Currently, the collection and disposal system
services 158 properties. In 1998, the US Environmental Protection Agency (EPA) issued regulations (40
CFR 144.14) requiring the elimination or closure of all large capacity cesspools used for wastewater
disposal by April 5, 2005.
Under the direction of the Mayor's office, on April 12, 2007, an agreement was finalized between C.
Brewer and the County transferring ownership of the system to the County and defining the responsibilities
for construction of a new sewage collection system and a treatment and disposal system. On April 30, 2010,
the County took over the existing system and has since been responsible for its maintenance.
Previously, DEM had planned to install sewer lines that would convey wastewater from residences to a new
large capacity septic system (LCSS) within the community. In August 2007, the Final EA and Finding of
No Significant Impact (FONSI) was published for that project.
In 2009, the previously proposed 2007 project was found to be problematic as the existing LCC on the
County -owned site did not have sufficient capacity to function as a seepage pit for disposing of effluent
from a LCSS serving the entire community. Two additional seepage pits would have been required to
accommodate such a flow. However, the County -owned site does not have sufficient space to fit the LCSS
and three seepage pits while maintaining proper setbacks and distances between units. Further, the existing
LCCs are in poor condition and failing, requiring the County to pump them out weekly to keep the sewage
system operational. Compounding these limitations is the poor quality of effluent produced by LCSS,
which would impact the surrounding environment. Lastly, the LCSS is an anaerobic process that produces
hydrogen sulfide gas, which if released, particularly during maintenance activities, would be an odor
nuisance to the community. Therefore, the LCSS approach is not considered a long-term solution for a
community -wide wastewater treatment system.
10345-02
Proposal to Mr. Craig Lekven
Page 3
February 28, 2019
Based on the above and information set forth in the October 2018 Na'alehu Preliminary Engineering Report,
the proposed N5'alehu Wastewater Facility project would consist of:
1. A new wastewater collection system located within the County rights-of-way of streets serving the
residential community located north (mauka) of Mamalahoa Highway and also other parcels on both
the mauka and makai sides of the highway along the transmission line;
2. An approximately 5,550 -foot wastewater transmission line located along Mamalahoa Highway from
the Ohai Street intersection within the State of Hawai'i Department of Transportation (HDOT) right-
of-way to the Na'alehu Spur Road intersection where it turns makai and extends about 1,800 feet
along a portion of the road before turning into the proposed wastewater treatment plant site. The
transmission line would require at least one mauka-makai crossing beneath the highway;
3. Use of an approximately 14.9 -acre area in a currently privately -owned parcel (TMK: 9-5-007:016)
south of Mamalahoa Highway as a WWTP and an effluent disposal site using a slow rate land-based
system. The 14 -9 -acre area will be owned by the County;
4. Use of an about 3.2 -acre area for a drainage Swale within an easement in TMK: 9-5-021:005 an also
in TMK: 9-5-007:016;
5. Use of an approximately 2.8 -acre site within a privately owned parcel (TMK: 9-5-022:001) south of
Marnaloha Highway for an effluent disposal site using a slow rate land based system.
6. Closure of the three existing LCCs.
The project area is located within two State land use districts: Urban (TMK: 9-5-002:001) and Agricultural
(TMK: 9-5-007:015 and TMK: 9-5-007:016); and within the Agricultural A-20 County zoning designation.
The WWTP in the State Agricultural land use district will require a Special Permit pursuant to Chapter 205,
Hawaii Revised Statutes, Section 4.5, item 7. Since the WWTP site appears to occupy less than 15 acres in
the State Agricultural district, the Special Permit would be processed by the County of Hawaii Planning
Department. The WWTP is a "public use" as defined by County of Hawaii Chapter 25, Zoning.
The project area is located approximately 13,000 feet (2.5 miles) from the coast at elevations greater than
about 660 feet mean sea level, which places it above the Underground Injection Control (UIC) line and not
within the Special Management Area or the Shoreline Setback.
The Na`alehu Wastewater Facility will use funds from the Department of Health, Clean Water Branch Clean
Water State Revolving Fund (CWSRF), which will require the project comply with Endangered Species Act
and the National Historic Preservation Act, including consultations with the State Historic Preservation
Division and various Native Hawaiian Organizations. Various federal cross cutter analysis as specified by
the DOH will also be required. The project will not use EPA Special Appropriation Grant funds.
10345-02
Proposal to Mr. Craig Lekven
Page 5
February 28, 2019
2. Pre -Assessment Consultation
a. Conduct pre -assessment consultation to solicit comments from key reviewing agencies
including the US Fish and Wildlife, State Office of Planning, State Department of Health,
State Historic Preservation Division, and County of Hawaii agencies.
b. In consultation with the CLIENT and DEM, respond, as needed, to comments received
during the pre -assessment consultation.
3. Draft EA Document
a. Prepare the Draft EA, including project description, overview of the affected environment,
and assessment of anticipated impacts in accordance with Chapter 343, HRS and Chapter
200, HAR, including the federal cross -cutter requirements.
b. Incorporate any significant comments from the EA Pre -consultation phase into the Draft
EA.
c. Prepare an anticipated FONSI determination letter for DEM signature and submittal to
OEQC.
d. File the DEM letter and required number of copies of the Draft EA/Anticipated FONSI with
the Office of Environmental Quality Control (OEQC) for publication in the Environmental
Notice.
e. Distribute up to five (5) copies of the Draft EA as requested by interested parties without
access to the internet.
4. Coordinate with the CLIENT and DEM to conduct a Draft EA Public Meeting in Na`alehu to
present findings and solicit comments on the Draft EA.
B. Final EA
1. In consultation with the CLIENT and DEM, respond to comments received on the Draft EA. If
deemed necessary, meet with agencies or other concerned parties to discuss the comments.
2. Based on comments received on the Draft EA and responses prepared, revise the Draft EA to
comply with the Final EA content requirements of Chapter 343, HRS and Chapter 200, HAR.
3. Prepare a FONSI determination letter for DEM signature and submittal to OEQC.
10345-02
Proposal to Mr. Craig Lekven
Page 4
February 28, 2019
SCOPE OF SERVICES
ENVIRONMENTAL ASSESSMENT (EA)
The scope of services for the EA includes preparing and processing an EA/Anticipated Finding of No
Significant Impact (FONSI) pursuant to Chapter 343, Hawaii Revised Statutes (HRS), and Title 11,
Chapter 200, Administrative Rules of the State of Hawaii Department of Health (DOH). The accepting
authority for the EA will be the County of Hawaii Department of Environmental Management (DEM). The
following is a detailed description of our proposed scope of services.
A. Draft Environmental Assessment
1. Coordination and Data Gathering
a. Conduct a site visit of the project site to gain familiarity with the project site, adjacent areas,
and to identify potential concerns.
b. In consultation with the CLIENT, verify project objectives, development layout, and other
development considerations.
c. Collect, review and compile data and information relating to the project site and its environs
for incorporation in the EA, including:
I) Site boundaries, development layout, and other development considerations.
2) Description of the proposed site with respect to existing improvements, and surrounding
land uses.
3) Natural physical characteristics of the project site.
4) Generalized information relating to air and noise quality.
5) Relevant governmental land use and environmental controls and policies.
d. Coordinate preparation of the project description and development plans with the CLIENT.
e. Coordinate the work of the subconsultants.
f. Attend a meeting with DEM and the County Planning Department to discuss the project and
to determine permitting requirements.
10345-02
Proposal to Mr. Craig Lekven
Page 6
February 28, 2019
4. File the required number of copies of the Final EA/FONSI with the OEQC for publication in the
EnWronmental Notice.
5. Distribute up to five (5) copies of the Final EA/FONSI as required for documentation or permit
application requirements.
II. Special Permit
A. Permit Application
Conduct an initial consultation with the County of Hawaii Planning Department (PD) to
verify permitting requirements.
2. Prepare the Special Permit Application Form and supporting background information as
required by the County of Hawaii Planning Department instructions. Much of this
information will be available from the Final Environmental Assessment. Also required will
be the acceptance correspondence for the archeological inventory survey (AIS) and an
archaeological monitoring plan (AMP) by the State Historic Preservation Division (SHPD).
3. Prepare an assessment of how the proposed project meets the permit criteria.
4. Obtain required plans and drawings of the proposed project from the CLIENT.
5. Prepare a list of the names, addresses and TMK of all owners and lessees of record of
surrounding properties. Surrounding properties includes those within 500 of the project site
boundary if they are in the Agricultural District or 300 feet if the properties are in the Rural
or Urban district. Data for making these determinations shall be obtained from the Real
Property Tax Division of the County of Hawaii Department of Finance.
6. Assemble the permit application and submit it to the CLIENT and DEM for review.
7. Revise the application based on comments received and submit it to the PD for acceptance,
and, if necessary, provide any additional information as required by the PD.
Prepare 20 copies for submission to the PD.
10345-02
Proposal to Mr. Craig Lekven
Page 7
February 28, 2019
B. Permit Processing
Pursuant to the Hawaii County Planning Commission's Rules of Practice and Procedure,
within 10 days of PD's acceptance of the application, prepare and serve first notice of the
application on surrounding property owners, as identified in application. In addition to other
required project related information, the notice shall include a statement of the recipient's
right to submit a written request for a contested case procedure and a copy of the form to
"Petition for Standing in Contested Case Hearing."
2. Also, within 10 days of PD's acceptance of the application, prepare and post a sign on the
project site notifying the public of the proposed project, in accordance with Chapter 25
Planning Commission Rules of Practice and Procedure and PD instructions for signage.
Within five days of posting the sign, prepare and file an affidavit with the PD attesting to the
posting, along with a photograph of the sign.
3. Within 10 days of being notified by the PD of the scheduled Planning Commission public
hearing but no less than 10 days prior to the hearing, serve the second notice of the
application to the surrounding property owners. The contents of the second notice will be the
same as the first. The public hearing must be scheduled no later than 90 days after the
application is accepted, unless the DEM agrees to a longer schedule. An affidavit or proof of
mailing will be filed with the PD prior to the public hearing.
4. Participate in meetings/telephone conferences with the CLIENT and DEM to update progress
on application processing and preparation for participating in the Planning Commission
public hearing and proceedings.
Prepare materials for County's use at the public hearing.
6. Attend one public hearing session to answer questions held at the Planning Commission.
7. Provide follow-up services, as necessary, to assure that permit conditions are accurately and
appropriately documented in the permit approval.
10345-02
Proposal to Mr. Craig Lekven
Page 8
February 28, 2019
Items to be provided by others
Proposed site plan showing development phases and elevation drawings or renderings of the
proposed structures.
2. Surveys, reports, and other documents related to the surrounding uses / areas.
If required, a certificate of clearance from the County Director of Finance stating that the real
property taxes and all other fees relating to the project site have been paid, and that there are no
outstanding delinquencies.
Items Excluded from Scope of Services
Preparation and processing of environmental impact statement (EIS) or permit applications beyond
that specified in the above scope of services.
2. Preparation of technical studies beyond those specified herein. Such technical studies may include,
but are not limited to a cultural impact assessment, botanical survey, glint and glare studies, or
social/economic impact assessment.
Preparation and processing of permits beyond those specified herein.
4. Preparation of design plans or construction documents.
5. Notices to surrounding land owners and filing fee to continue the hearing as may be requested by the
DEM.
6. Preparation for, or presentation at, public/community meetings or hearings not included in the above
scope of services.
Additional services to address potential public controversy or opposition to the project — e.g.
participating in a community outreach program beyond a potential public meeting presentation
associated with filing the permit application.
Attendance at public meetings, more than specified in the scope of services and budgeted for under
reimbursable costs.
10345-02
Proposal to Mr. Craig Lekven
Page 9
February 28, 2019
SCHEDULE OF SERVICES
The time schedule for the proposed scope of services should proceed according to the following time
estimates, exclusive of review periods, significant changes, or other delays beyond the control of the
CONSULTANT.
Phase
I. Environmental Assessment
Pre -Assessment Consultation
Draft EA
Final EA
II. Special Permit
Permit Application
Permit Processing
Estimated Time
I month after NTP.
3 months after obtaining sufficient design
information and completion of Pre -Assessment
Consultation Comment Period.
2 month after end of Public Comment period.
1 month after obtaining sufficient design
information and drawings. Filing must be
accompanied by the Final EA.
As required based on County's acceptance of
the application, scheduling of the public hearing
and permit approval.
10345-02
Proposal to Mr. Craig Lekven
Page 10
February 28, 2019
COMPENSATION FOR PROFESSIONAL SERVICES
For the services outlined above, the CLIENT shall compensate the CONSULTANT according to the terms
and conditions of this Agreement.
Fixed Fee
Compensation will be on a fixed fee basis with 4.4386% tax included.
The compensation is outlined below by major tasks.
I. Environmental Assessment EA
Draft EA $ 75,000.00
Final EA $ 30,000.00
Subtotal $ 105,000.00
II. Special Permit
Permit Application $ 40,000.00
Permit Processing $ 50,000.00
Subtotal $ 90,000.00
Subtotal CONSULTANT Labor $ 195,000.00
10345-02
Proposal to Mr. Craig Lekven
Page 1 1
February 28, 2019
Sub -Consultant Costs (Includes GET. as annlicable
Archaeological Literature Review and Field Investigation,
and Archaeological Inventory Survey; Section 106 (NHPA)
Consultation (Cultural Surveys Hawaii — See Attachment "A") $ 91, 909.99
Flora -Fauna Survey and Section 7, ESA Informal Consultation
(AECOS, Inc. — See Attachment "B") $ 20,858.28
Subtotal Sub -Consultant Fee $ 112,768.27
GET (4.166%) $ 4,697.93
Total Sub -Consultant Fee $ 117,466.20
TOTAL FIXED FEE $ 312,466.20
SAY $ 312,400.00
Reimbursable Expenses
A 15% service charge will be applied to all reimbursable expenses.
Travel, Airfare, Car Rental, Parking and Other
Out -of -Pocket Costs $ 7,500.00
Permit Filing Fee $ 500.00
Special Permit Application reproduction $ 1,000.00
Total Reimbursable Expenses $ 9,000.00
10345-02
Proposal to Mr. Craig Lekven
Page 12
February 28, 2019
ADDTI'IONAL SERVICES/AMENDMENTS
Additional services that are not part of this Agreement will be undertaken by the CONSULTANT by
separate agreement and at the direction of the CLIENT.
Any significant increase or decrease in the scope of work, or significant time delays beyond the control of
the CONSULTANT, shall be subject to a mutually agreed upon amendment to this fee proposal.
AGRF,EMENT
This fee proposal is firm for a period of thirty (30) days. After March 31, 2019, the specific terms of this
proposal are subject to change.
Please call Earl Matsukawa, AICP or myself if you have any questions.
Sincerely,
Lull• • • • • •' • •il
q <kz-
tCG rel
Michael M. Fujita, P.E.
President
GTO/EM/jm
J�2041e.
Earl Matsukawa, Al P
Vice President -Director Planning
ATTACHMENT A
Archaeological Literature Review and Field
Inspection / Section 106 Consultation /
Archaeological Inventory Study
Cultural Surveys Hawaii
C(ALT(AKAL 5UKVEY5 HAWAH
ARCHAEOLOGICAL, CUIXUIZAL, AND HISTORICAL DOCUMENTATION SERVICES - SINCE 1982
31 October 2018
John Sakaguchi
Wilson Okamoto Corporation
1907 South Beretania Street, Suite 400
Honolulu, HI 96826
Phone: 808-946-2277
Fax: 808-946-2253
Email: ; sl aka�uchi a,wilsonokamoto.com
Subject: Proposal for an Archaeological Literature Review and Field
Inspection to Support Consultation with SHPD, Consultation
for Section 106, and Archaeological Inventory Survey for the
Na'alehu Wastewater Treatment Plant Project, Kahilipalinui
Ahupua'a, Ka'u District, Hawaii Island TMKs: [319-5-007:015
and 016, 010:029 and 022:001
Dear Mr. Sakaguchi:
Oahu Island
P.O. Box 1114
Kailua, Hawaii 96734
Ph: (808) 262-9972
Fax: (808) 262-4950
Mani Island
1860 Main Strccl
Wailuku, Hawaii 96793
Ph: (808) 242-9882
Fax: (808) 244-1994
Branch Offices:
Nhoa, Hawaii
Kona, Hawaii
Lawai, Kauai
Thank you for contacting Cultural Surveys Hawaii, Inc. (CSH) regarding the Na'alehu Wastewater
Treatment Plant project. CSH understands that the County of Hawaii is proposing to develop a new
wastewater treatment facility to serve the Na'alehu community.
Archaeolouical Literature Review and Field Insnection to Sunnort Consultation with SHPD
Based on the information provided and communication between our firms, CSH proposes to conduct an
archaeological literature review and field inspection (LRFI) to support a request to the State Historic
Preservation Division (SHPD) per Hawaii Revised Statutes (HRS) §6E-8 for a determination of the
appropriate historic preservation requirements for this project.
Hawai' i Administrative Rule (HAR) § 13-275-3 states that requests to SHPD for a letter of determination
must be initiated by a government agency (any state or county governmental entity). SHPD notified CSH
on 30 October 2017 that this rule will be enforced. Included in this proposal's scope of work are the
following tasks to assist client with consultation with SHPD: 1) preparation of HRS 6E Submittal Form;
2) draft letter of request for agency to submit to SHPD; and 3) coordinate and assist during consultation
with SHPD.
Consultation for NHPA Section 106
CSH understands that this project will be funded by the State Revolving Fund which includes federal
funding source. Therefore, this project is required to comply with Section 106 of the National Historic
Preservation Act of 1966 (NHPA). Section 106 requires Federal agencies to take into account the effects
of their undertakings on historic properties and afford the Advisory Council on Historic Preservation a
reasonable opportunity to comment. The responsible federal agency first determines whether it has an
undertaking that is a type of activity that could affect historic properties. If so, it must identify the
lra
WWW.CULTURALSURVEYS.COM - INrO@CULTURALSURVEYS.COM
Wilson Okamoto Corporation Page 2
appropriate State Historic Preservation Officer to consult with during the process. It should also plan to
involve the consulting parties and identify other potential consulting parties. Consulting parties'
involvement is a key ingredient in successful Section 106 consultation, and the views of the consulting
parties should be solicited and considered throughout the process. If it determines that it has no
undertaking, or that its undertaking is a type of activity that has not potential to affect historic properties,
the agency has no further Section 106 obligations.
Archaeoloeical Inventory Survey
The archaeological inventory survey (AIS) is described in HAR § 13-276-2 as:
Archaeological inventory survey" means the process of identifying and documenting the
archaeological historic properties and burial sites in a delineated area, gathering sufficient
information to evaluate significance of the historic properties and burial sites, and compiling the
information into a written report for review and acceptance by the department.
The scope of work includes sub -surface testing with eight (8) trenches and 100% pedestrian survey. This
scope of work is contingent on SHPD's historic preservation determination for this project which will be
the outcome of the LRFI and consultation with SHPD. If consultation with SHPD indicates increased
sub -surface testing or other requirements, CSH will provide a change order request for the increased level
of effort required.
The proposed scope of work and associated costs follow. We are Nappy to address any questions or
concerns about these recommendations.
The total cost in this proposal is $91,909.99. The breakdown is as follows:
Scopes of Work
Cost Estimate
Literature Review and Field Inspection
1$
17,048.23
Consultation for Section 106
$
10,079.58
Archaeological Inventory Survey
1 $
64,782.18
Total Cost —
$�v
91,909.99
RATES INCREASE
As a general notice to our clients, CSH increased the hourly rates effective 1 September 2018, the first
increase since 2012. The increase is due to the rising cost of doing business in Hawaii, especially costs
for insurance, medical benefits, and employee benefits. This measure will ensure CSH continues to attract
experienced and qualified employees, deliver quality and valuable archaeological and cultural services,
grow and maintain an extensive library collection of reports, documents, maps, and historic photographs,
expand our GIS database, conduct staff training, and upgrade equipment and software. All of these are
integral components that helps CSH to work with integrity, sensitivity, and professionalism on all projects,
large and small, for all clients from government, private, and non -profits.
Please feel free to contact me by telephone at (808) 262-9972 on Oahu or toll free at 1-800-599-9962, or
by e-mail at hhammatt a culturalsurveys.com. Thank you for contacting CSH, we look forward to working
with Wilson Okamoto Corporation.
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the M'dlehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation
Sincerely,
Hallett H. Hammatt, PhD
President
Page 3
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation
Section 1: INFORMATION FROM CLIENT
Page 4
The information below summarizes our understanding of the County of Hawai`i's project. To ensure we
have an accurate understanding, we ask that you verify the information below and let CSH know if
anything needs to be changed. CSH will then reissue this proposal with the corrected information.
CLIENT OF RECORD:
PROJECT LAND JURISDICTION:
The party below will be responsible for payment
Check all that apply:
unless CSH is directed otherwise.
❑ County/ State
John Sakaguchi
❑ Federal
Wilson Okamoto Corporation
1907 South Beretania Street, Suite 400
® Private
Honolulu, HI 96826
❑ Department of Hawaiian Home Lands
Phone: 808-946-2277
(DHHL)
Fax: 808-946-2253
❑ Other:
Email: isakaguchi@wilsonokamoto.com
PROJECT PROPONENT:
FEDERAL INVOLVEMENT?
® Yes (State Revolving Funds)
County of Hawaii
HISTORIC PRESERVATION TRIGGER:
HDOT INVOLVMENT?
❑ Yes ® No
HRS §6E-8
HAR §13-275
NHPA Section 106
If yes, please specify type of involvement below.
PROJECT DESCRIPTION:
The County of Hawai'i Department of Environmental Management (DEM) is proposing to develop a
new wastewater treatment facility to serve the Na'alehu community on Hawai'i Island. The community
is currently served by what is considered a large capacity cesspool. Such large capacity cesspools are
no longer allowed by the federal Environmental Protection Agency (EPA) and must be
decommissioned. Previously, DEM had planned to install sewer lines that would convey wastewater
from residences to new individual wastewater septic systems within the community. An environmental
assessment was prepared for that proposal. The currently proposed project would convey collected
wastewater to the new wastewater treatment facility for processing and disposal to tree farm to be
established on the project site for that purpose.
The construction of a wastewater treatment plant includes 2000 feet extension of an existing drainage
channel.
Project Acreage: tbd
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 5
Project Area
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation
ALA.MAOLAMOA --. ___,M/GHWAY
TMK: (3)9-54)22:0m
Wastewater Treatment Plant Site
TMK: (J
Page 6
KAAEM,
WASTEWATER
TREATMW P~
CONCEPTUAL
r-� FOR PUBLIC
Archaeological Literature Review and Field Inspection
Consultation with SHPD
Consultation for Section 106
Archaeological Inventory Survey
Na`alehu Wastewater Treatment Plant
Kahilipalinui Ahupua'a, Ka'u District, Hawaii Island
TMKs: [3] 9-5-007:015 and 016, 010:029 and 022:001
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation
Page 7
Section 2: ARCHAEOLOGICAL LITERATURE REVIEW AND FIELD INSPECTION TO
SUPPORT CONSULTATION WITH SHPD SCOPE OF WORK
This proposal is for an archaeological literature review and field inspection to support archaeological
consultation with the State Historic Preservation Division (SHPD). This scope of work is based on
information provided by the client.
Please note that the following scope of work does not satisfy the Hawaii state requirements for an
archaeological inventory survey (AIS) (Hawai` i Administrative Rules [HAR] Chapter 13-276 and Chapter
13-275/284). As part of the consultation process, S1 PD will determine historic preservation requirement.
The scope proposed here will facilitate in that determination.
CSH's scope of work for this preliminary study includes:
1. Historical research to include study of archival sources, historic maps, Land Commission Awards and
previous archaeological reports to construct a history of land use and to determine if archaeological
sites have been recorded on or near this property.
2. Limited field inspection of the project area to identify any surface archaeological features and to
investigate and assess the potential for impact to such sites. This assessment will identify any sensitive
areas that may require further investigation or mitigation before the project proceeds.
3. Preparation of a letter report to include the results of the historical research with an assessment of
archaeological potential based on that research, with recommendations for further archaeological
work, if appropriate. It will also provide mitigation recommendations if there are archaeologically
sensitive areas that need to be taken into consideration.
4. Preparation of HRS 6E Submittal Form, and draft of a "Request for a State Historic Preservation
Division Letter" to request a determination of historic preservation requirement. Agency will submit
letter to SHPD on letterhead to comply with recent directive from SHPD which requires "agency to
agency" consultation.
5. CSH will coordinate and schedule consultation meeting for client with SHPD.
Assumptions
CSH has made the following assumptions when preparing this proposal:
1. CSH will charge shift differential rates for work performed on weekends, at night and on holidays.
Work at night is defined as all work that occurs between the hours of 6pm and 5am. CSH charges for
travel time to and from the project.
2. This project will be scheduled to be completed by Hawaii -based staff; however, there are instances
where project timing and/or the project's scope of work will require Oahu—based personnel. In these
cases, travel costs will be incurred. Please note that these expenses apply only if Oahu personnel are
required to complete this project's scope of work.
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the N5'alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation
Page 8
3. Travel time to and from project area will be added to fieldwork hours and billed at standard rates.
This proposal includes provisions for the following tasks:
• Project Coordination and Management: coordination, communications and management with
client, vendors, subcontractors, SHPD, etc.;
• Background Research: study of archival sources, historic maps, Land Commission Awards and
previous archaeological reports to construct a history of land use and to determine if archaeological
sites have been recorded on or in the vicinity of this project area. Hawaiian language documents
(i.e. Ka Nupepe Kuokoa, Ka Makaainana, and Ka Hoku o Ka Pakipika) pertaining to the project
area, the ahupua`a of the project area, and place names will be translated for inclusion in the report.
• Preparation of HRS 6E Submittal Form;
• Preparation of SHPD Request for Determination: preparation of draft "Request for a State Historic
Preservation Division letter". Agency will submit letter to SHPD on letterhead to comply with
recent directive from SHPD which requires "agency to agency" consultation;
• Consultation with SHPD: consultation with SHPD for determination of historic preservation
requirement for this project;
• Field Inspection: two (2) archaeologists for two (2) days to conduct field inspection of the project
area;
• Travel Time: travel time to and from project site;
• Final Report: preparation of a letter report to include the results of the background research and
fieldwork for client's review for submittal to SHPD supporting the request for determination;
• Graphics and GPS/GIS Work: production of graphics for the background research, fieldwork
documentation, and other graphics needed for the draft and final report;
• Report Production: production and transmittal of final report for client.
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 10
Section 4: CONSULTATION FOR SECTION 106 SCOPE OF WORK
This proposal is for an archaeological consultation for Section 106. This scope of work is based on
information provided by the client.
Section 106 of the National Historic Preservation Act of 1966 (NHPA) requires Federal agencies to take
into account the effects of their undertakings on historic properties and afford the Advisory Council on
Historic Preservation a reasonable opportunity to comment. The responsible federal agency first
determines whether it has an undertaking that is a type of activity that could affect historic properties. If
so, it must identify the appropriate State Historic Preservation Officer to consult with during the process.
It should also plan to involve the consulting parties and identify other potential consulting parties.
Consulting parties' involvement is a key ingredient in successful Section 106 consultation, and the views
of the consulting parties should be solicited and considered throughout the process. If it determines that it
has no undertaking, or that its undertaking is a type of activity that has not potential to affect historic
properties, the agency has no further Section 106 obligations.
CSH provides basic assistance and consultation to planners and/or project proponents for projects that are
required to use the Section 106 process.
CSH generally assists clients with this set of basic services:
• Initial consultation with client and the State Historic Preservation Division/Department of Lands and
Natural Resources (SHPD/DLNR),
• Development of consultation list of consulting parties, including Native Hawaiian Organizations
(NHOs), in consultation with the client, to be utilized for contacting these consulting parties,
• Drafting of the initial Section 106 "Consultation Letter" that client will utilize for contacting
consulting parties, including NHOs,
• Subsequent consultation for further Section 106 guidance that may arise as a result of responses that
may be received from consulting parties, including NHOs, and,
• A summary and request to SHPD/DLNR (i.e. local SHPD) for a Section 106 compliance letter.
Occasionally, and particularly for complex or controversial projects, clients request a more extensive level
of assistance.
• Such assistance would include direction, coordination, and consultation with the Office of Hawaiian
Affairs (OHA), the Island Burial Council, and other Hawaiian and local community organizations
knowledgeable of, or concerned with, the historic properties or cultural resources of the region, and
the project area in particular. Such consultation would be undertaken to further assist in the
identification of alternative actions and possible mitigation measures required for the project.
• Costs for these extended services may involve representation at meetings with the organizations, as
well as travel (off -island travel when required), coordination, and consultation with your firm. If your
firm prefers these extended services an addendum scope of work and proposal would be developed
for your consideration.
This proposal is based on the requirements of the Section 106 process. The cost estimate posted below is
based on the assumption that controversial projects can generate interest among additional parties who
Proposal for Archaeological Literature Review and Field inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation
Page 9
Section 3: COST ESTIMATE ARCHAEOLOGICAL LITERATURE REVIEW AND FIELD
INSPECTION TO SUPPORT CONSULTATION WITH SHPD
Costs detailed below represent a best estimate based on information gathered at the time of submission.
Services outlined in this document are offered on a time and materials basis and actual costs may vary.
LABOR o
t
g
TASK
c
E
x
O
d
x
n
as
c
d
o
o
v
p
_
ry
o
�
0
w
g
O
s
H
O
t -
o
S 160.00 S 145.00 S 107.00 S 9100 S 7500 S 1207.001S 75.00 S 107.00
Project Coordination & Management
2.00
400
200
8.00
f 900.00
Background Research
8.00 8.00
6.00
24.00
f 2,184.00
Field Inspection & Travel Time
16.00
16.00
3200
S 3,168.00
Preparation of HRS 6E Submittal Form
4.00
4.00
8.00
$ 1,00800
Preparation of SHPD Request for Determination
4.00
4.00
8.00
$ 1,008.00
Consultation with SHPD
6.00
800
$ 870.00
Letter Report
8.00
24.00
16.00
8.00
56.00
S 6,04000
Graphics and GPS/Gl5 Work
8-00
800
f 85600
Reporl Production
2.00
200
S 15000
TOTAL HOURS:
0.001
24.00
52001
42001 2.001 16001
8001 8.00
F15200
TOTAL LABOR:
f - 1 $1,480001 S 5,VA 00
1 S3.822001 S 15000 S 1,71200 S
600001S 8-4001S
18,184 00
Taz at 4.166%:
S 874.23
OTHER DIRECT COSTS (ODC)
ITEM
COnplmaaf and IRMr Small Ticket items
Consumblables (Ex. Field supplies such as flagging tape)
S 150.00
SIIBTOTAIOIX.:
f 150.00
HANDLING FEE at 11196:
S 15.00
SHPD/DLNR Report Review Fees
S 25.00
TOTAL ODC:
S 190.00
PROJECT SUMMARY
Labor $ 16,184-001
Tax at 4.166%
5
674.231 Total Labor with lax
=
f 16,66823
Other Direct Cost (ODC) 1 $ 190.001
Tax at 4.166%
$
-I Tot■1 ODC with tax H applicable
=
f 190.00
Total Pre -Tax Cost: I S 16,374,001
Total Tax
S
674.23 1 Total Project
S 17,046.25
Work not in Scope
Additional meeting attendance, additional consultation, or items above and beyond the scope of work
outlined in this proposal will be billed at the standard rates:
• $75.00/hour for General Staff (includes Archaeologisl and Archaeological Support Siafj)
• $91.00/hour for Supervisor
• $107.00/hour for Project Director, GIS Specialist, and Editor
• $145.00/hour for Project Manager/Principal Investigator
• $160.00/hour for Principal
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD. Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 11
wish to contribute their opinions and knowledge of the cultural practices of the area and the potential
impacts.
Section 5: ESTIMATE FOR CONSULTATION FOR SECTION 106
Costs detailed below represent a best estimate based on information gathered at the time of submission.
Services outlined in this document are offered on a time and materials basis and actual costs may vary.
LABOR
TASK
cc
2.00
cc
D
0
0
0
0
x
Initial Consultation with Client and SHPD
6.00
6.00
a
A
16.00
$ 1,812.00
Formulation of Consulting Parties List
S
E
8.00 8.00
16.00
$ 1,328.00
Preparation of Section 106 Consultation Letter
6.00
6.00
12.00
S 1,512.00
Consultation
8.00
6.00
m
18.00
$ 2,102.00
Request to SHPD for Section 106 Compliance Letter
6.00
6.00
12.00
c
Graphics and GPS/GIS Work
� _
8.00
8.00
S 856.00
Q
2
,i a
a
,n l7
l7
S 160.00 $ 145.00
$ 107.00
$ 91.00 $ 75.00
$ 107.00
cc
2.00
cc
D
0
0
0
u
x
Initial Consultation with Client and SHPD
6.00
6.00
O
O
16.00
$ 1,812.00
Project Coordination & Management
2.00
2.00
4.00
$ 504.00
Initial Consultation with Client and SHPD
6.00
6.00
4.00
16.00
$ 1,812.00
Formulation of Consulting Parties List
8.00 8.00
16.00
$ 1,328.00
Preparation of Section 106 Consultation Letter
6.00
6.00
12.00
S 1,512.00
Consultation
8.00
6.00
4.00
18.00
$ 2,102.00
Request to SHPD for Section 106 Compliance Letter
6.00
6.00
12.00
$ 1,512.00
Graphics and GPS/GIS Work
8.00
8.00
S 856.00
TOTAL HOURS: 0.00 28.00 26.001 8.001 16.00 8.00 86.00
TOTALLABOR:J S 4,060.00 1 $ 2,782.00 1 $ 728.00 1 S 1,200.00 S 856.00 1 S 9,626.00
Tax at 4.712%: $ 453.58
PROJECT SUMMARY
Labor $ 9,626.00 Tax at 4.712% $ 453.58 Total Labor with tax = $ 10,079.68
Other Direct Cost (ODC) $ Tax at 4.712% $ Total ODC with tax If applicable = 0
Total Pre -Tax Cost: S 9,626.00 1 Total Tax $ 453.58 1 Total Project
Work not in Scope
Meeting attendance, additional consultation, or items above and beyond the scope of work outlined in this
proposal will be billed at the standard rates:
• $75.00/hour for General Staff (includes Archaeologist and Archaeological Support Staffi
• $91.00/hour for Supervisor
• $107.00/hour for Project Director, GIS Specialist, and Editor
• $145.00/hour for Project Manager/Principal Investigator
• $160.00/hour for Principal
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation
Section 6: ARCHAEOLOGICAL INVENTORY SURVEY SCOPE OF WORK
Page 12
The following tasks are required in order to satisfy the Hawaii state requirements for archaeological
inventory surveys (Hawai`i Administrative Rules [HAR] § 13-276 and § 13-284):
Historic and archaeological background research, including a search of historic maps, written records,
Land Commission Award documents, and the reports from prior archaeological investigations. This
research will focus on the specific project area's past land use, with general background on the
precontact and historic settlement patterns of the ahupua `a and district. This background information
will be used to compile a predictive model for the types and locations of historic properties that could
be expected within the project area.
2. A complete (100 %) systematic pedestrian inspection of the project area to identify any potential
surface historic properties. Surface historic properties will be recorded with an evaluation of age,
function, interrelationships, and significance. Documentation will include photographs, scale
drawings, and, if warranted, limited controlled excavation of select sites and/or features.
Based on the project area's environment and the results of the background research, test excavations
will be undertaken for surface feature interpretation and identification of subsurface archaeological
cultural resources. The testing program will consist of controlled hand excavation as applicable at
surface archaeological features and hand and/or backhoe excavations in locations within the project
area with the potential for impact by project development and/or for subsurface cultural deposits.
Appropriate samples from these excavations will be analyzed for cultural and chronological
information. All subsurface historic properties identified will be documented to the extent possible,
including geographic extent, content, function/derivation, age, interrelationships, and significance.
4. As appropriate, consultation with knowledgeable individuals regarding the project area's history, past
land use, and the function and age of the historic properties documented within the project area.
5. As appropriate, laboratory work to process and gather relevant environmental and/or archaeological
information from collected samples.
6. Preparation of an inventory survey report, which will include the following:
• A project description;
• A section of a USGS topographic map showing the project area boundaries and the location of all
recorded historic properties;
• Historical and archaeological background sections summarizing traditional Hawaiian and post -
Contact land use of the project area and its vicinity;
• Descriptions of all historic properties, including selected photographs, scale drawings, and
discussions of age, function, laboratory results, and significance, per the requirements of HAR
§13-276. Each historic property will be assigned a Hawaii State Inventory of Historic Places
number;
• If appropriate, a section concerning cultural consultations [per the requirements of HAR § 13-276-
5(g) and HAR § 13-275/284-8(a)(2)].
• A summary of historic property categories, integrity, and significance based upon the State of
Hawaii historic property significance criteria.
• A project effect recommendation;
• Treatment recommendations to mitigate the project's adverse effect on any significant historic
properties identified in the project area.
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 13
If historic properties and / or cultural deposits are located, there are specific requirements for
documentation including written descriptions and recording their geographic location with a GPS on
project area maps. Documentation may include, as appropriate, section drawings and stratigraphic profiles,
plan views, and photographs. Required analysis of located historic properties (or potential historic
properties) may include any or all of the following:
• analysis of recovered artifacts and midden from traditional Hawaiian deposits,
• analysis of historic artifacts from historic -era deposits, and
• radiocarbon dating of samples from cultural contexts.
The scope of work includes coordination with the SHPD relating to archaeological matters. This
coordination takes place after consent of the owner and/or project proponents.
Proposed Strategy & Associated Assumptions
The SHPD determines whether an archaeological inventory survey is needed for a project. The SHPD
also has final authority on the sufficiency of an archaeological inventory survey's level of testing and
documentation and can increase requirements if significant archaeological resources are encountered
during the archaeological inventory survey. Based on project information supplied by the client, a brief
review of previous archaeology work in the area, and similar CSH studies, CSH has outlined a strategy
for satisfying the Hawaii state requirements for an archaeological inventory survey and noted any
assumptions made. CSH will modify costs if the level of work required to complete the project is different
than that described below or if conditions vary from the assumptions noted.
Strategy
CSH's strategy to implement the scope of work is as follows:
1. Fieldwork will include a 100% pedestrian inspection of the project area.
2. Test excavations will be the primary means of identifying and documenting archaeological cultural
resources. The subsurface testing program will consist of eight (8) test excavations (trenches).
3. To allow for in situ documentation and sampling of features, excavation methodology will include
backhoe excavation of fill layers. If non -sand natural deposits are found beneath the fill layers,
mechanized excavation will continue through both the overlying fill layers and these natural sediments.
Where appropriate and feasible, archaeological features and/or deposits exposed in plan view during
the mechanized excavation of the trench will be documented in plan view and excavated by hand. All
excavations will be made to bedrock or depths just below the water table unless prohibited by safety
concerns. If natural sedimentary deposits (e.g., buried A horizon) are found beneath fill layers,
excavation will shift to removing thin sections by hand shovel in an effort to identify in plan view any
possible in situ features.
1. Documentation efforts will include sample collection and analysis. This estimate provides for of in-
house sorting and analysis. Costs for outsourced sample analysis are detailed in the cost section of this
proposal.
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the N5'dlehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 14
Assumptions
CSH has made the following assumptions when preparing this proposal:
1. This scope of work is contingent on SHPD's historic preservation determination for this project which
will be the outcome of the LRFI and consultation with SHPD. If the sub -surface testing program or
other strategies offered in this proposal requires revision, CSH will provide a change order request for
the revisions.
2. Backhoe expenses are based on a standard trench dimensions measuring 3.3 feet (1.0 meter) by 16.5
feet (5.0 meter), constituting a 54.5 square feet trench. Depth of excavation depends on subsurface
conditions. Please note that enclosed archaeological inventory survey costs assume trenches will be
excavated in unimproved areas where there is no paving. Saw -cutting through pavement and repaving
are not included in this cost estimate.
3. CSH will charge shift differential rates for work performed on weekends, at night and on holidays.
Work at night is defined as all work that occurs between the hours of 6pm and 5am.
4. Travel time to and from project area will be added to fieldwork hours and billed at standard rates.
5. This project will be scheduled to be completed by Hawaii- and Oahu -based staff and travel costs will
be incurred.
Item
Airfare
Rate
$213.61
LJI n it
1 round trip per person
Car Rental
$52.36
Per day for I to 5 people
Parking at home airport
$18.00
Per day per person
Meals
$30.00
Per da er person
Lodging
$157.07
Per night for 1 to 2 people
6. This proposal includes provisions for the following tasks and reimbursable expenses:
• Project Coordination and Management: coordination, communications and management with
client, vendors, subcontractors, SHPD, etc.;
• Background Research: study of archival sources, historic maps, Land Commission Awards and
previous archaeological reports to construct a history of land use and to determine if
archaeological sites have been recorded on or near this project area.
• Fieldwork: two (2) archaeologists 10 days to conduct pedestrian survey of 100% of the project
area and subsurface testing;
• Travel Time: travel time to and from project site;
• Lab Work: lab work which may include, but not limited to dating, faunal analyses, soil analyses,
botanical analyses, lithic analyses, and artifact analyses;
• Draft Report: preparation of report to include the results of the background research, fieldwork
and lab work for client's and SHPD's review;
• Final Report: incorporation of edits and changes from SHPD;
• Graphics and GPS/GIS Work: production of graphics for the background research, fieldwork
documentation, and other graphics needed for the draft and final report;
• Report Production: production and transmittal of draft and final reports for client and SHPD;
• Reimbursable expenses include:
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 15
o Of -Island Travel Expenses: airfare, car rental, parking, meals, and lodging;
o Consumables: miscellaneous equipment and supplies for fieldwork;
o Machine Assisted Excavation: backhoe and labor;
o Sample Analysis: for processing and analysis (radiocarbon dating AMS and charcoal wood
taxa identification);
o SHPD review fee of $450.00.
Section 7: COST ESTIMATE FOR ARCHAEOLOGICAL INVENTORY SURVEY
Costs detailed below represent a best estimate based on information gathered at the time of submission.
Services outlined in this document are offered on a time and materials basis and actual costs may vary.
LABOR
z
E
>:
O
E
a
E
S
7
f
9
L
2
O
u
a
tj
IJ
w
Production
=
v
2
v
On
7
y
N
N
C
F
f
$ 160.00
$ 145.001$
107.00
5 91.00 $
75.00
$ 107.00
$ 107.00
TASK
Project Coordination &Management
4.00
8.00
8.00
20.00
$ 2.164.00
Background Research
8.00
12.00
12.00
32.00
$ 2,912.00
Fieldwork &Travel Time
18.00
90.00
90.00
198.00
5 16.866.00
Consultation with SHPD
4.00
6.00
10.00
$ 1.222.00
Lab Work
8.00
16.00
24.00
5 1,926.00
Draft Report
16.00
32.00
48.00
40.00
8.00
144.00
5 13.968.00
Final Report
4.00
8.00
16.00
24.00
8.00
60.00
$ 5,548.00
Graphics and GPS/GIS Work
12.00
12.00
S 1.284.00
Report
TOTAL HOURS:
0.00
28.00
72.00
178.00
184.00
24.00
16.00
502.00
TOTAL LABOR:
$ -
$ 4.060.00
$ 7,704.00
$16.198.00 $ 13,800.00
$ 2.568.00
$ 1,712.00
$ 46,042.00
' Tax at 4.166%:
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Production
2.00
2.00
5
150.00
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 16
OTHER DIRECT COSTS (ODC)
ITEM
PLUPLE
QTY
$595.00 per sample
RATE
$425.00 per sample
Energy Dispersive X -Ray Fluorescence
Off-IsUnd Travel Expenses
Pal nomor h(pollen) ID
$600.00 per sample
Airfare
1 2 1
Tickets
x $
213-611
per Rount-Trip Ticket
=
$ 427.22
Car Rental
10
Das
x $
62.08
per Day
=
$ 520.83
Parking
1 Peo le x
10
Days
x $
18.00
per Day
=
$ 180.00
Meals
1 People x
10
Da
x f
30.00
er Da
-
f 300.00
Lodging
1 Rooms x
8
Ni hts
x $
156.25
per Night
-
$ 1.249.99
Consumables and Other Small Ticket Items
Consumables (Ex. Field supplies such as flagging tape)
$ 600.00
Machine Assisted Excavation and Associated Services
Backhoe- Transportation to Site
f 385.41
Backhoe -Operation
1 64.00 1
Homs
x1 S
145.83 1
per Hour
-
$ 9.333.27
Sample Analysis
Radiocarbon Dating - AMS
2 1
Samples
x $
595.00 1
per Sam le
-
rr-5 1.190.00
Charcoal Wood Taxa Identification
1 2 1
Samples
x f
425.00 1
per Sample
-
5 850.00
SUBTOTAL ODC: I
F$--14 9-36-7-3
HANDLING FEE at 10%:
5 1.493.67
SHPD/DLNR Report Review Fees
S 450.00
TOTALODC:
f 16,880.41
PROJECT SUMMARY
Labor $
46,042.001
Tax at 4.166%
S
1,918.111
Total Labor with tax
= f 47,960.11
Other Direct Cost (ODC $
16,880.411
Tax at 4.166%
- I
Total ODC with tax If applicable
= f 16,880.41
Total Pre -Tax Cost. $
62,922.411
Total Tax
$
1,912-111
Total Project
f &1.840.52
Sample Analysis
Costs for sample analysis are estimated below. Actual costs will depend on the samples collected.
TYPE OF SAMPLE
FEE
Radiocarbon Dating
Accelerator Mass Spectrometry
$595.00 per sample
Charcoal Wood Taxa ID
$425.00 per sample
Energy Dispersive X -Ray Fluorescence
$30.00 per sample
Pal nomor h(pollen) ID
$600.00 per sample
Human Skeletal Remains
If suspected human skeletal remains are encountered, an osteologist will be called to the site to make a
determination and implement temporary mitigation measures if warranted. Mileage to and from the site
as well as the osteologist's travel time will be billed to the client.
In the event that human skeletal remains are found, representation to the Island Burial Council and/or
other community related meetings will be necessary. The cost for archaeological representation will
include labor and expenses, including off -island travel expenses if necessary. A detailed cost proposal will
be developed if these services are required; professional services are billed at a maximum hourly rate of
$160.00.
Work not in Scope
Additional meeting attendance, additional consultation, or items above and beyond the scope of work
outlined in this proposal will be billed at the standard rates:
• $75.00/hour for General Staff (includes Archaeologist and Archaeological Support Staffi
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 17
• $91.00/hour for Supervisor
• $107.00/hour for Project Director, GIS Specialist, and Editor
• $145.00/hour for Project Manager/Principal Investigator
• $160.00/hour for Principal
Section 8: SCHEDULE
Upon acceptance of this proposal CSH will coordinate with client to schedule work.
Section 9: CLIENT RESPONSIBILITIES
Should client engage CSH for this work, we request delivery of all relevant project information to
commence work including a project area map with defined project boundaries; verification of project
information as stated on page 4 of this proposal; and any topographic maps, aerial photos, and other
scientific/technical reports for the project, if available. CSH requests receiving graphics in SSRI shapefile
or AutoCAD format when available.
Client will provide available information on utility locations. CSH is not responsible for damages to
unidentified utilities. Client will coordinate with current landowners/representatives/lessees to provide
access to the site for the subsurface work on a suitable schedule.
All archaeological materials and/or samples recovered during this investigation and removed from the
project area are the sole property of the landowner. CSH will deliver any such items for client's handling,
subsequent to analysis per the scope for an archaeological inventory survey. The final disposition of the
collection is the responsibility of the landowner, in consultation with SHPD. Private landowners may
request storage and archiving of these materials for a fee.
Section 10: SCHEDULE
Upon acceptance of this Proposal CSH will coordinate with client to schedule work.
Section 11: CLIENT RESPONSIBILITIES
Should client engage CSH for this work, we request delivery of all relevant project information to
commence work including a project area map with defined project boundaries; verification of project
information as stated on page 4 of this proposal; and any topographic maps, aerial photos, and other
scientific/technical reports for the project, if available. CSH requests receiving graphics in ESRI shapefile
or AutoCAD format when available.
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
Wilson Okamoto Corporation Page 18
Section 12: ENGAGEMENT
This proposal is valid for 30 days.
CSH will bill monthly for work completed. Expenses are billed at cost plus a 10% handling fee. CSH
reserves the right to charge 1.5% interest on any or all invoices more than 30 days past due.
If the terms of this proposal are satisfactory, please acknowledge your authorization by signing and dating
a copy of this proposal and returning it to Louise Funai at lfunai(a�culturalsurveys.com.
If you have any questions regarding the scope of these services and data to be furnished, please contact
me at (808) 262-9972 or by email at hhammatt c! culturalsurveys.com. We look forward to working with
you on this project.
Sincerely,
Hallett H. Hammatt. PhD
ACCEPTED:
Signature
Printed Name
Date
Proposal for Archaeological Literature Review and Field Inspection to Support Consultation with SHPD, Consultation for
Section 106, and Archaeological Inventory Survey for the Na`alehu Wastewater Treatment Plant Project
ATTACHMENT B
Flora Fauna Survey
AECOS, Inc.
AECOS, Inc.
45-939 Kamehameha Hwy, #104
Kaneohe, HI 96744
TO: Wilson Okamoto
FROM: Snookie Mello
aecos(a-.aecos.com
(808)234-7770 (phone)
(808)234-7775 (fax)
ATTN: John/Earl
DATE: revised 1012/2018
NAALEHU WWTP
Flora/Fauna Survey
TASK 1 Flora Fauna Survey of proposed WWTP site $13,768.66
(approximately 40 acres) inclusive of
State GET
A flora and fauna survey will be conducted at the proposed
Naalehu WWTP site, drainage way and the pipline route
along the roadway through the subdivision. A report
suitable for an EA or EIS will be prepared. The report will
include the findings of the survey and assess potential
impacts to any protected species.
TASK 2 Section 7 Informal Consultation to NLAA $ 5,999.96
inclusive of
Informal consultation with resource agencies will be State GET
undertaken through the agency that triggers the federal
action.
NOTES: If section 7 formal consultation is necessary, cost will be
based on time and materials.
Right of entry will be provided by Wilson Okamoto.
February 13, 2019
Craig Lekven
Brown and Caldwell
1955 Main St., Suite 200
Wailuku, HI 96793
Dear Craig:
Subject: Naalehu Wastewater Treatment Plant
Proposal for Community Outreach Program During Environmental Assessment
Phase
This is a proposal to provide community outreach services during the Environmental Assessment
phase of the Naalehu Wastewater Treatment Plant project. Proposed services include:
1. Assist the project team in media and other communications regarding the preparation and
issuance of the Draft Environmental Assessment.
2. Assist the project team in preparing for a community information meeting regarding the
Environmental Assessment, including
2.1. Recommended approach and talking points
2.2. Input in presentation material, include PowerPoint presentation
3. Facilitate community information meeting
4. If meetings with landowners, including owners of former C. Brewer lands and of newly
accessible properties, are conducted, assist project team as follows:
4.1. Input on announcements and invitations
4.2. Recommended approach and talking points
4.3. Facilitate meeting(s) if requested, and as appropriate
35 meadowbrook lane . trophy club, texas 76262 • 817.898.0068 • eplanl@aol.com
Attachment: Proposal
Proposal to Brown and Caldwell re: Naalehu WWTP Community Outreach
February 13, 2019
Page 2 of 3
Proposed Fees
Based on this proposed scope of work, we propose a ceiling fee of $14,735.00. This is based on
an estimated $10,375.00 in hourly fees and $4,360 in expenses. I would bill for actual time spent
and expenses. Copies of receipts will be provided.
Please note that expenses are based on a possible two trips. While only one trip is anticipated, I
included two in the expense estimate should a separate trip is needed for landowner meetings.
Further, I ask that we review these expense estimates every six months upon contract approval
to assess if estimates are within a reasonable range, and that contract adjustments are made if
appropriate.
Again, thank you for including Earthplan on your project team. I hope that this proposal meets
your needs. Please let me know if you have questions or need further information.
Sincerely
EARTHP,
Berna Cabg6unga
35 meadowbrook lane • trophy club, texas 76262 • 817.898.0068 • eplanlgaol.com
Proposal to Brown and Caldwell re: Naalehu WWTP Community Outreach
February 13, 2019
Page 3 of 3
Hourly Fees (based on hourly rate of $125)
Scope Item Number of Subtotal
Hours
1. Assist in communications re: EA preparation and issuance
5
$
625.00
2. Preparations for community information meeting
50
$
6,250.00
3. Facilitate meeting
8
$
1,000.00
4. Assist in landowner meetings
20
$
2,500.00
Subtotal Hourly Fees
78
$
10,375.00
Expenses
Roundtrip airfare DFW - KOA or ITO ($1,500 per trip; 2 trips) $ 3,000.00
Lodging ($200 per night; 5 nights) $ 1,000.00
Car rental ($60 per day; 6 days) $ 360.00
Expenses Subtotal $ 4,360.00
Total Proposed Fees $ 14,735.00
Estimates for Ceiling Fee
35 meadowbrook lane • trophy club, texas 76262 • 817.898.0068 • eplanlC&aol.com
EXHIBIT B — FEE SUMMARY:
Table 1— Project Costs
Task No.
Description
Cost
1
Project Management
$65,287.00
2
Collection System Planning
$133,237.00
3
EA/EID and Special Permit
$467,825.00
4
R-1 Stock Water Feasibility
$57,939.00
5
Unforeseen Work
$25,712.00
Total
$750,000.00
EXHIBIT C— SCHEDULE OF WORK:
Table 2 — Project Schedule
Deliverable (from 3/19/19
Milestone (from rev 22
Consent Order Deadline
Proposal)/Description
schedule, last dated 6/7/19)
Notice to Proceed
June 24, 2019
Task 1 — Weekly: Call Logs with Action
Throughout Project
Items and Key Decisions Tracked
Monthly: Status Reports, Invoices,
Schedule Updates
Task 2A, ID 102 — Draft Collection
11/4/19
System TM
Task 3A, ID 99 start — Issue Pre-
7/22/19
Assessment Consultation Package
Task 4A, ID 108 — Draft TM for R-1
9/23/19
Stock Water Feasibility Study
Task 313, ID 131 start — Review Draft EA
3/2/20
Task 3C, ID 134 start — Draft EA to
4/6/2020-
OEQC
Task 3D, ID 139 start - Public Meeting
Early in Public Comment
Period -4/27/19 -
Task 213, ID 105 — Final Collection
12/2/19 -
System TM
Task 3E, ID 147 — Review Final EA
4/28/21-,b
Task 413, ID 111— Final TM for R-1
11/4/19 -
Stock Water Feasibility
Task 3F, ID 150— Final EA and FONSI to
6/2/21-,b
October 5, 2019
OEQC
Task 3G, ID 51 - Special Permit
3/8/22b
Application Complete (Ready for
Submittal)
Task 3H —Serve Notice and Post Signs
Order of Possession- + 10
for Special Permit Application
daysb
Land Acquisition (by County,
3/18/22a,b
June 1, 2020
Possession)
- Dependent on timely County or outside agency reviews or responses that are outside Consultant's
control.
b Schedule assumes a 90 -day review and approval of draft AIS by SHPD. Consultant shall submit an
updated schedule within 14 calendar days of County receiving written approval of draft AIS from
SHPD. Milestone for this item shall be updated by Supplemental Agreement, based on the mutually -
agreeable updated schedule.
GENERAL TERMS AND CONDITIONS
for
CONSULTANT SERVICES CONTRACTS
October 22, 2014
SECTION 1 - DEFINITIONS
When used in these General Terms and Conditions or elsewhere in the contract, the following terms, or
pronouns used in place of them, shall have meaning ascribed to them in this section, unless it is
apparent from the context that a different meaning is intended.
1.1 CONSTRUCTION MANAGEMENT SERVICES. The endeavor to provide inspection services as an
authorized representative of the Director.
1.2 CONSULTANT. Any individual, partnership, firm, corporation or joint venture engaged by the
County to perform the services under the contract.
1.3 CONTRACT. The written agreement covering the performance of the services required for the
project by the consultant. It shall include these general terms and conditions, and the special provisions.
It shall also include all modifications of the contract by supplemental agreements thereto in writing and
written orders of the Mayor and Director.
1.4 COUNTY. The County of Hawaii, State of Hawaii.
1.5 DESIGNS AND PLANS. Any and all designs, plans, construction drawings, specifications, cost
estimates, work schedules, proposals, studies, reports and other items.
1.6 DIRECTOR. The Director of Environmental Management of the County of Hawaii, Department of
Environmental Management, directly or through an assistant or representative.
1.7 ENGINEER. The Director of Public Works of the County of Hawaii, Department of Public Works,
directly or through an assistant or representative.
1.8 INSPECTION. Visual observation of materials, equipment, or construction work for the purpose
of ascertaining that the work is in substantial conformance with the contract documents and with the
design intent. Such inspection shall not be relied upon by others as acceptance of the work, nor shall it
be construed to relieve the Contractor in any way from his obligations and responsibilities under the
construction contract.
1.9 MAYOR. The Mayor of the County of Hawaii.
1.10 SRF. State Revolving Fund.
SECTION 2 - AWARD AND EXECUTION OF CONTRACT
2.1 AWARD OF CONTRACT: The CONSULTANT, upon being selected to render certain professional
services for the project, will be notified of his commission by the DIRECTOR. Said notice shall not be
construed to be authorization to proceed with performance of services under the contract.
Any services performed by the CONSULTANT prior to the date indicated in the notice to proceed from the
DIRECTOR shall be at his own risk.
2.2 EXECUTION OF CONTRACT: Prior to the drafting of the contract, discussions will be held between
the parties relative to the extent of the services to be performed by the CONSULTANT and other pertinent
matters. Based on said discussions, the COUNTY will draft the contract and submit the same to the
CONSULTANT for review and signature. If the CONSULTANT is an individual, or partnership, the
CONSULTANT shall sign the contract in the office of the DIRECTOR or before a notary public. If the
CONSULTANT is a corporation, the CONSULTANT shall cause the contract to be signed before a notary
public by an officer authorized to do so and shall affix to the contract its corporate certificate, resolution
or other instrument vesting such officer with authority to sign the contract on its behalf. The signed
contract shall be returned to the COUNTY for signature and further processing.
2.3 TAX CLEARANCES/COMPLIANCE WITH LAWS:
A. In accordance with Section 103-53, Hawaii Revised Statutes (HRS), tax clearances from
the State Director of Taxation and the Internal Revenue Service to the effect that due tax
returns have been filed and all taxes, penalties and interest have been paid are prerequisites to
entering into the contract and to receipt of final payment, except as otherwise provided by rule
or statute. Progress payments are subject to statutory assignment to satisfy delinquent taxes,
interest and penalties.
B. Consultant is also required to furnish proof of compliance with the requirements of
Section 3-122-112, Hawaii Administrative Rules (HAR):
a. Chapter 237, tax clearance;
b. Chapter 383, unemployment insurance;
C. Chapter 386, workers' compensation;
d. Chapter 392, temporary disability insurance;
e. Chapter 393, prepaid health care; and
f. One of the following:
(1) Be incorporated or organized under the laws of the State of (hereinafter
referred to as a "Hawaii business); or
(2) Be registered to do business in the State (hereinafter referred to as a
"compliant non -Hawaii business").
C. Effective July 1, 2011, the Governor of Hawaii signed Act 190 into law, which requires
compliance documentation for awards of $2,500.00 or more:
The responsibility of all Offerors doing business with the State or County are required to comply
with all applicable statues, administrative rules and procedures. State or County agencies must
verify compliance prior to award. Acceptable verification is through Hawaii Compliance Express
(HCE). Vendors wishing to do business with the State or County must register in HCE and be in
compliance.
HCE is a one-stop online program where vendors verify and manage their compliance. Once a
vendor is registered, HCE provides the following proof of compliance/ compliance
documentation:
Certificate of Good Standing (COGS) from the Department of Commerce and Consumer
Affairs (DCCA) Business Registration Division
Tax clearances (federal and state) from the Department of Taxation (DOTAX)
Compliance with HRS Chapters 383 Hawai'i Employment Security Law (Unemployment
Insurance), 386 (Worker's Compensation Law), 392 Temporary Disability Insurance and
393 Prepaid Healthcare Act, from the Department of Labor and Industrial Relations
(DLIR)
There is a nominal fee to subscribe to HCE. Please note that it may take two or more weeks to
establish a vendor account in HCE. For more information and to register, see
http://vendors.ehawaii.gov.
D. The above certificates should be applied for and submitted to the Department as soon
as possible. If a valid certificate is not submitted on a timely basis for award of a contract, an
offeror otherwise responsive and responsible may not receive the award.
E. In addition to a tax clearance certificate, an original "Certification of Compliance for Final
Payment" (SPO Form -22) will be required for final payment. A copy of the form is also available
at www.spo.hawaii.gov. Select "Forms for Vendors/Contractors" from the Chapter 103D, HRS,
pop-up menu. A consultant making a false affirmation shall be suspended and may be debarred
pursuant to Section 103D-702, HRS.
2.4 CONTRACT NOT BINDING: The Contract shall not be binding or of any force until said contract has
been fully and properly signed by all of the parties thereto, certified by the Director of Finance as to
availability of funds in the amounts and for the purpose set forth therein and signed by the Mayor.
SECTION 3 - LEGAL RELATIONS AND RESPONSIBILITY
3.1 INDEPENDENT CONTRACTOR: In the performance of the services required under this
Agreement, the CONSULTANT shall be an independent contractor with the authority to control and
direct the performance and details of the work and services required under this Agreement; however,
the COUNTY shall have a general right to inspect work in progress, with proper and reasonable notice, to
determine whether, in the opinion of the COUNTY, the work is being performed by the CONSULTANT in
accordance with the provisions of this Agreement.
All persons hired or used by the CONSULTANT shall be the CONSULTANT'S agents and
employees and the CONSULTANT shall be responsible for the accuracy, completeness, and adequacy of
any and all work and services performed by its agents and employees.
Furthermore, the CONSULTANT intentionally, voluntarily, and knowingly assumes the sole and
entire liability, if any such liability is determined to exist, to its agents and employees, or to third
persons, for all loss, cost, damage, or injury to the extent caused by the negligence of CONSULTANT'S
agents and employees in the course of their employment.
The performance of work under this Agreement alone shall not be construed as employment
with the COUNTY and shall not entitle the CONSULTANT or the CONSULTANT'S agents, employees, to
vacation, sick leave, retirement, or other benefits directly afforded COUNTY employees. The
CONSULTANT shall be responsible for payment of income, social security, and any other federal, state,
or local taxes that it may be required to pay.
3.2 INDEMNIFICATION: The Consultant shall indemnify and hold harmless the County, it's officers,
agents and employees, from and against any and all actions, claims, suits, damages, losses, costs, and
expenses to the extent arising out of the negligent, reckless, intentional or wrongful acts, errors or
omissions of the Consultant, its officers, agents, employees or subcontractors occurring during or in
connection with the performance of the Consultant's services under this contract, or to the
extent arising out of the breach of this Contract by the Consultant. It is strictly understood that the
County, its officers, agents and employees shall in no way be held liable for any damages, cause of
action or suits resulting from the negligent, reckless, intentional or wrongful acts, errors, or omissions of
the Consultant, its officers, agents, employees, or subcontractors. The Consultant shall reimburse the
County and its officers, agents, and employees for their defense costs, including but not limited to
attorney's fees and costs, to the extent attributable to the negligent, reckless intentional or wrongful
acts or omissions of the Consultant, or its subcontractors and their officers, agents, and employees.
3.3 LIABILITY INSURANCE: The Consultant shall secure adequate public or commercial liability
insurance covering death or bodily injury with limits not less than FIVE HUNDRED THOUSAND AND NO/
100 DOLLARS ($500,000.00) for personal injury, and for injury or damage to property, which policy shall
remain in full force and effect for the term of this contract and which further names the County of
Hawaii as additional insured. Proof of workers compensation coverage and motor vehicle coverage
(assuming consultant will be using vehicle(s) in performance of the scope of work) be provided
compliant with laws of the State of Hawaii.
The Consultant shall file with the Department of Environmental Management copies of a
certificate of insurance showing it has in full force and effect the required insurance. The Consultant shall
give the County thirty (30) days' notice of any cancellation in the policy."
3.4 NONDISCRIMINATION IN COUNTY CONTRACTS:
A. Pursuant to Executive Order No. 142, County of Hawaii, dated February 11, 2005, during
the performance of this contract, the contractor agrees as follows:
1) The contractor shall comply with all requirements set forth in Federal and State
laws and regulations relative to Title VI of the Civil Rights Act of 1964, as amended,
which provide for non-discrimination in Federally assisted programs.
2) The contractor shall not discriminate against any employee or applicant for
employment because of race, ancestry/national origin, religion, color, disability, age,
marital status, military status, veteran's status, sexual orientation, lactation, arrest and
court record, citizenship, or any other classification protected by state and federal
law. 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. The contractor agrees to post in conspicuous places notices to be provided by
the contracting officer setting forth the provisions of the nondiscrimination clause.
3) The contractor shall in all solicitations or advertisements for employees placed by
or on behalf of the contractor, state that all qualified applicants shall receive
consideration for employment without regard to race, ancestry/national origin, religion,
color, disability, age, marital status, military status, veteran's status, sexual orientation,
lactation, arrest and court record, citizenship, or any other classification protected by
state or federal law.
4) In the event of the contractor's noncompliance with the nondiscrimination
clauses of this contract, this contract may be canceled or suspended in whole or in part
and the contractor may be declared ineligible for further County contracts until such
time that the contractor by satisfactory evidence, in good faith, ceases such
discriminatory practices or procedures.
5) The contractor who subcontracts any portion of the contract shall assure the
County that such subcontractor shall abide by the nondiscrimination provisions stated
herein and agrees that any subcontractor who is found in violation of such provisions
shall subject the principal contractor's contract with the County to be terminated or
suspended pursuant to Section (4) above.
6) The County may direct any bidder, prospective contractor, or subcontractor to
submit a statement in writing signed by an authorized officer, agent, or employee of the
contracting party that the signer's practices and policies do not discriminate on the
grounds of race, ancestry/national origin, religion, color, disability, age, marital status,
military status, veteran's status, sexual orientation, lactation, arrest and court record,
citizenship, or any other classification protected by state or federal law, and that the
terms and conditions of employment under the proposed contract shall be in
accordance with the purposes and provisions stated herein.
3.5 LAWS & REGULATIONS: The CONSULTANT shall keep himself fully informed of all laws,
ordinances, codes, rules and regulations, governmental changes and development plans, setback
limitations, rights-of-way, and all changes thereto, which in any manner affect the contract and the
performance thereof.
The CONSULTANT shall comply with all such present laws, ordinances, codes, rules, regulations, design
standards and criteria, governmental general and development plans, set back limitations, rights-of-way,
including the giving of all notice necessary and incident to the proper and lawful prosecution of the
work, and all changes thereto. If any discrepancy or inconsistency is discovered between the contract
and any such law, ordinance, code, rule, regulation, design standard, design criterion, governmental
general and development plans, setback limitation, rights-of-way, the CONSULTANT shall forthwith
report the same in writing to the DIRECTOR.
3.6 SRF BOILERPLATE: When the Project is to be funded through the State Revolving Fund, the
consultant shall comply with all federal regulations as listed in the "SRF Boilerplate" Federal
Requirements for SRF Projects dated June 1997 as applicable "Cross -cutter" regulations which have
been determined as applying to the SRF loan program.
3.7 H.A.R. 3-125 (CHAPTER 125) REQUIREMENTS:
A. The language contained in the following provisions of the Hawaii Administrative Rules,
Title 3, Subtitle 11, Chapter 125, are adopted and included by reference:
1) §3-125-2 Change order to goods and services contracts;
2) §3-125-3 Modifications to goods and service contracts;
3) §3-125-5 Authorization for a stop work order for goods and services contracts;
4) §3-125-6 Stop work orders for goods and services contracts;
5) §3-125-8 Variations in quantities for definite quantity goods and services
contracts;
6) §3-125-9 Variations in quantities for indefinite quantity goods and services
contracts;
7) §3-125-12 Price adjustment for goods and services contracts;
8)
§3-125-14 Novation or change of name;
9)
§3-125-15 Claims based on a procurement officer's actions or omissions for
goods
and services contracts;
10)
§3-125-16 Claims based on oral directives;
11)
§3-125-17 Termination for default in goods and services contracts;
12)
§3-125-19 Liquidated damages for goods and services contracts;
13)
§3-125-21 Termination for convenience of goods and services contracts;
14)
§3-125-23 Prompt payment by contractors to subcontractors; and
15)
§3-125-24 Remedies.
B. In the event of
conflict or omission between the language of this contract and the intent of
Chapter 125, H.A.R., the contract shall not be void or voidable, but the intent of Chapter 125 shall
prevail.
SECTION 4 - MODIFICATIONS
4.1 MODIFICATION OF CONTRACT: The COUNTY may at any time make such modifications in the
contract, as it deems necessary and advisable. Such modifications shall be made by a supplemental
agreement in writing or by a written order of the Mayor provided that modifications by such a written
order shall be limited to modifications in the scope of services and provided further that modifications
involving no reduction or increase in compensation of the CONSULTANT may be made by written order
of the DIRECTOR.
Upon receipt of a written order, the CONSULTANT shall proceed with the modification as ordered. If the
CONSULTANT does not agree with any of the terms or conditions of or with the amount of the
reduction, increase in compensation provided for in the order, he shall file with the DIRECTOR a written
protest setting forth his reasons in detail within ten (10) calendar days after receipt of the order. The
protest shall be disposed of pursuant to the provisions of subsection 5.4. Failure to file such protest
within the time specified shall constitute agreement on the part of the CONSULTANT with the terms,
conditions and amount in the order.
In the event the CONSULTANT for reasons related to safety does not agree with and refuses to proceed
with the modifications required by the COUNTY in the written order, the Mayor may allow the
CONSULTANT to withdraw from the contract without breach, provided the CONSULTANT files with the
Mayor a written protest setting his reasons in detail within ten (10) calendar days after receipt of the
order. If withdrawal is allowed, the CONSULTANT shall be compensated in the same proportion of the
compensation under the contract as the services performed bear to the services to be performed under
the contract.
SECTION 5 - PERFORMANCE OF CONTRACT
5.1 TIME: Time is of the essence of the contract. Performance of the services under the contract
shall begin on the commencement date designated in the notice to proceed and be completed within
the number of calendar days specified.
5.2 DELAY: If any delay in the performance of the services under the contract occurs as a result of
unforeseeable causes beyond the control and without fault or negligence of the CONSULTANT, including
but not limited to, acts of God, acts of the public enemy, acts of the COUNTY with respect to the
contract, acts of another contractor in the performance of a contract with the COUNTY, fires, floods,
epidemics, quarantine restrictions, strikes, freight embargoes, unusually severe weather, or delays of
subcontractors or suppliers, then the CONSULTANT shall be granted an extension of the time for
performance corresponding to the delay. If as a result of the delay completion of performance within
the extended time would cause undue hardship to the CONSULTANT, the DIRECTOR may, in his
discretion, grant further extension of the time for performance. No extension of time, however, shall be
granted unless a written application therefore stating in detail the cause or cause of delay is filed by the
CONSULTANT with the DIRECTOR within ten (10) calendar days after commencement of the delay. The
number of days of each extension of time shall be determined by the DIRECTOR. No such extension
shall be deemed a waiver of the right of the COUNTY to require the completion of the services under the
contract within the time required herein as so extended by the specific terms of such extension or
extensions, nor a waiver of right to terminate the contract for any other or additional delay not covered
by the specific terms of such extension or extensions.
5.3 PROSECUTION OF THE WORK: The CONSULTANT shall be available upon reasonable demand to
discuss the progress of the services being performed under contract. All questions arising during the
performance of the contract that must be resolved by the Mayor or DIRECTOR shall be brought to their
immediate attention.
The CONSULTANT shall direct his work to relate appropriately to, and in accordance with, established
and generally accepted engineering, planning and/or architectural design principles and practices in
effect at the time that CONSULTANT'S professional services are rendered.
The CONSULTANT shall be responsible for the accuracy of all computations and completeness of all
work.
All notes, including field notes, designs, drawings, tracings and other data produced in the performance
of the contract shall be the property of the COUNTY.
The DIRECTOR shall have access, at all reasonable times, to all notes, designs, drawings, tracings or other
technical data pertaining to the services being performed under the contract for the purpose of
inspection and making copies of them. Upon completion of the services under the contract, any and all
such notes, studies, designs, drawings, tracings or other technical data shall be delivered and
surrendered to the COUNTY on demand, provided that copies of notes, studies and other technical data
may be delivered and surrendered instead of originals.
5.4 MEDIATION: At the option of, and in the sole discretion of the Director, any dispute,
controversy or claim arising out of or in connection with the interpretation or performance of any term
or condition of this Agreement or any breach or alleged breach of this Agreement, shall be submitted to
and resolved by non-binding mediation by a neutral and independent mediator, who shall be selected
by the parties by mutual agreement, or if the parties are unable to agree upon the selection of a
mediator, then in accordance with the commercial arbitration rules of the American Arbitration
Association. The mediation shall take place in the County of Hawaii, State of Hawaii. The cost of the
mediator and other mediation costs shall be borne equally by the parties. The mediation process and
the outcome of the mediation shall remain confidential to the maximum extent permissible by law.
Notwithstanding the foregoing terms, the parties shall make every reasonable effort to resolve disputes,
controversies or claims between themselves in a cooperative fashion prior to submitting a dispute to
mediation.
5.5 SUBCONTRACTING OR ASSIGNMENT OF CONTRACT: The CONSULTANT shall not subcontract or
assign all or any part of the services under the contract without the prior written consent of the
DIRECTOR. Any consent by the COUNTY to subcontract, assign or otherwise dispose of any portion of
the contract shall not be construed to relieve the CONSULTANT of any responsibility for the
performance of the contract.
5.6 STANDARDS: All work related to wastewater projects shall be performed in conformance with
the Design Standards of the Department of Wastewater Management, City and County of Honolulu.
Where there are no established Standards, the CONSULTANT shall submit the proposed Standard(s) for
approval.
5.7 OWNERSHIP OF DOCUMENTS: Upon completion, the CONSULTANT agrees to relinquish and
furnish to the COUNTY all original tracings of any and all plans and stencils which hereafter shall become
the property of the COUNTY.
SECTION 6 - SERVICES TO BE PERFORMED BY THE COUNTY
6.1 COOPERATION BY THE COUNTY: The COUNTY shall, without cost to the CONSULTANT, through
the DIRECTOR, cooperate fully with the CONSULTANT and will promptly place at the disposal of the
CONSULTANT all available pertinent information which the COUNTY may have in its possession. The
COUNTY does not represent that other information not certified as accurate is so and takes no
responsibility therefore, and the CONSULTANT shall rely on such information at his own risk.
SECTION 7 - COMPENSATION
7.1 COMPENSATION: The CONSULTANT shall be paid the amount stated in the written agreement,
less any reduction in compensation and plus any increase in compensation pursuant to subsection 7.4 as
full compensation for the performance of the services under the contract.
7.2 ABANDONMENT OF THE PROJECT• DEATH OR DISABILITY OF CONSULTANT: In the event the
COUNTY terminates the contract because it wishes to abandon, defer, restudy or revise the project, or in
the event the CONSULTANT, in the case of an individual, dies or become physically or mentally disabled,
the CONSULTANT or his estate shall be compensated in the same proportion of the compensation under
the contract as the services performed bear to the services to be performed under the contract.
7.3 PROGRESS PAYMENTS: Prior to any progress payment authorization, the CONSULTANT shall
submit, and the COUNTY shall approve a detailed schedule of values corresponding to the specific
services to be performed. As long as the services of the CONSULTANT are being performed in a manner
satisfactory to the COUNTY, the COUNTY shall pay the CONSULTANT monthly partial payments in
amounts proportionate to the value of the services performed by the CONSULTANT as indicated in the
schedule of values.
7.4 REDUCTION OR INCREASE IN COMPENSATION: The compensation of the CONSULTANT shall be
reduced whenever modification of the contract pursuant to subsection 4.1 reduces the services to be
performed by the CONSULTANT.
The compensation of the CONSULTANT shall be increased to reimburse him for increased costs to
perform the services under contract if performance of the services was delayed for more than six
months by an act or omission of the COUNTY. No such reimbursement, however, shall be made unless
he files a written application therefore with the DIRECTOR within thirty (30) calendar days after
termination of the delay. In addition, the compensation of the CONSULTANT shall be increased
whenever modification of the contract pursuant to subsection 4.1 requires the CONSULTANT to perform
services not required under the contract. For each such modification and each modification reducing
the services to be performed by the CONSULTANT, the compensation of the CONSULTANT shall be
increased or reduced in accordance with the supplemental agreement or if no supplemental agreement
has been entered into, by an amount equal to the sum total of the following:
a) Wages of employees actually engaged in the services required by the modification and
the salary cost of principals when actually engaged in such services in the case of an
increase in compensation or the wages of employees and the salary cost of principals
who would have been engaged in the case of a reduction in compensation;
b) One hundred fifty percent (150%) of (a) for all other overhead, including bonus
allowances, cost of supplies used, cost of transportation within the State of Hawaii
required for the project and profit; and
C) Other direct costs, including the cost of transportation to and from destination outside
of the County of Hawaii and long-distance telephone calls.
d) The State of Hawaii General Excise Tax payable by the CONSULTANT on (a), (b) and (c).
7.5 ASSIGNMENT OF MONEY DUE OR PAYABLE: Assignment of money due or to become payable to
the CONSULTANT under the contract shall not be valid without the prior written consent of the Mayor.
The rights of the assignee to moneys due or to become due to the CONSULTANT shall be subject to
subsection 8.4.
7.6 ACCEPTANCE AND FINAL PAYMENT: Final payment will be made only after the issuance of a
notice of final approval and acceptance by the Mayor advising the CONSULTANT of the satisfactory
fulfillment of the terms of the contract and receipt of a certificate from the Director of Taxation, as
provided in Section 103-53, HRS, relating to prerequisite for final settlement of contracts.
Acceptance by the CONSULTANT of the final payment shall constitute payment in full for all services
performed under the contract.
SECTION 8 - REMEDIES
8.1 RIGHT OF THE COUNTY TO TERMINATE: The COUNTY shall have the right to suspend
performance of the services under the contract or terminate the contract in whole or in part at any time
by written notice to the CONSULTANT. Upon termination all data, plans, specifications, reports,
estimates, summaries, completed work and work in progress and such other information and materials
as may have been accumulated by the CONSULTANT in the performance of his services shall, in the
manner and to the extent determined by the DIRECTOR, become the property of and be delivered to the
COUNTY. If the termination is for reasons other than default of the CONSULTANT as provided in
subsection 8.2, the CONSULTANT shall be compensated in accordance with subsection 7.2.
It is understood and agreed that any services to be provided in accordance with the terms of this
contract may be terminated immediately, in whole or in part, upon a finding by the County that the
services must be provided by public employees pursuant to Civil Service Laws or that such services will
be discontinued. It is further understood, that should such a finding be made, the COUNTY will not be
liable under this contract for any resulting damages, and such a termination will not be considered a
breach of this agreement.
8.2 TERMINATION BECAUSE OF CONSULTANT'S DEFAULT: The COUNTY shall have the right to enter
into a new contract with another CONSULTANT and pay a reasonable compensation for such services as
may be necessary to properly complete the services under the contract if it terminates the same
because the CONSULTANT:
a) fails to begin work under the contract at the time required,
b) is unnecessarily delaying the performance of the contract or any part thereof,
C) is failing to perform the contract with sufficient or adequate personnel, equipment or
materials or is making sufficient progress to ensure the completion of the contract with
the time specified,
d) fails to perform the contract in accordance with directions of the DIRECTOR,
e) discontinues performance of the contract,
f) fails to recommence performance of the contract within a reasonable time after service
of a written order to do so if the performance has been suspended,
g) becomes insolvent or is declared bankrupt,
h) commits any act of bankruptcy or insolvency,
allows any final judgment to stand against him unsatisfied for a period of ten (10)
calendar days,
j) makes an assignment for the benefit of creditors,
k) fails to pay for all labor, tools, materials and equipment,
has abandoned the contract,
M) or violates or fails to comply with any of the terms, covenants and conditions of the
contract.
The fee of such other CONSULTANT shall be paid from said unexpended amount of the compensation
under the contract. Should the compensation of such other CONSULTANT exceed such unexpended
amount, the CONSULTANT shall reimburse the COUNTY for the difference as part of the damages caused
by CONSULTANT'S default. The provisions of this subsection shall not apply if the CONSULTANT is an
individual and the default is due to his death or mental or physical disability.
8.3 LIQUIDATED DAMAGES: The amount of damage to the COUNTY as a result of failure to
complete performance of specified services under the contract within the time fixed or any extension
thereof, exclusive of overhead expenses, being certain but difficult, it not impossible, to ascertain, the
CONSULTANT agrees to pay the sum stated in the contract as liquidated damages, and not by way of
penalty, for every day delay until the services are completed and accepted, or a reasonable time has
expired for completion and acceptance of the services remaining to be performed.
8.4 AUTHORITY TO WITHHOLD MONEY DUE OR PAYABLE: The COUNTY may withhold such amount
from the money due or to become payable under the contract to the CONSULTANT, or any assignee
under subsection 7.5, as may be necessary to protect the COUNTY against liability or to satisfy the
obligations of the CONSULTANT to the COUNTY and to employees, subcontractors and material men
who have performed labor or furnished material and equipment under the contract and may make such
payments from such amounts as may be necessary to discharge such obligations and protect the
COUNTY.
8.5 DISPUTES (HAR § 3-126-31)
(1) All controversies between the County and the Consultant which arise under, or are by virtue
of, this contract and which are not resolved by mutual agreement, shall be decided by the Procurement
Officer in writing, within ninety (90) calendar days after a written request by the Consultant for a final
decision concerning the controversy; provided that if the Procurement Officer does not issue a written
decision within ninety (90) calendar days after written request for a final decision, or within such longer
period as may be agreed upon by the parties, the Consultant may proceed as if an adverse decision had
been received
(2) The Procurement Officer shall immediately furnish a copy of the decision to the Consultant,
by certified mail, return receipt requested, or by any other method that provided evidence of receipt.
(3) Any such decision shall be final and conclusive, unless fraudulent, or unless the Consultant
brings an action seeking judicial review of the decision in a circuit court of the State within six (6)
months from the date of the receipt of the decision.
(4) The Consultant shall comply with any decision of the Procurement Officer and proceed
diligently with performance of this contract pending final resolution by a circuit court of this State of any
controversy arising under, or by virtue of, this contract, except where there has been a material breach
of contract by the Count; provided that in any event the Consultant shall proceed diligently with the
performance of the contract where the Chief Procurement Officer has made a written determination
that continuation of work under the contract is essential to public health and safety.
8.6 REMEDIES NOT EXCLUSIVE: The express provision herein of certain measures which may be
exercised by the COUNTY for its protection shall not be construed to preclude the COUNTY from
exercising any other or further legal or equitable right to protect interest.
- - O
June 2018
"CWSRF BOILERPLATE"
FEDERAL REQUIREMENTS
FOR
CONSULTANTS AND CONTRACTORS
To the Consultant, Contractor or Sub -contractor of a CWSRF loan
funded project:
All CWSRF projects must comply with all the federal regulations
listed herein which have been determined as applying to the SRF
loan program.
A. CROSS -CUTTER REGULATIONS
1. ENVIRONMENTAL AUTHORITIES:
a. ARCHEOLOGICAL AND HISTORIC PRESERVATION ACT OF 1974,
16 USC 469a-1
Should the contractor discover potential archaeological
or historical resources during construction, all work in
the area of the find shall stop and the construction
management consultant shall be called in to evaluate the
situation and make recommendations to the State Historic
Preservation Officer, Department of Land and Natural
Resources, State of Hawaii. The Historic Preservation
Officer will determine what will be necessary for
construction to proceed.
2. SOCIAL POLICY AUTHORITIES:
a. AGE DISCRIMINATION ACT OF 1975, 42 USC 6102
No person in the United States shall, on the basis of
age, be excluded from participation in, be denied the
benefits of, or be subjected to discrimination under any
program or activity receiving Federal financial
assistance.
b. CIVIL RIGHTS ACT OF 1964, TITLE VI, 42 USC 2000d
No person in the United States shall, on the grounds of
race, color, or national origin, be excluded from
participation in, be denied the benefits of, or be
subjected to discrimination under any program or
activity receiving Federal financial assistance.
c. EQUAL EMPLOYMENT OPPORTUNITY, EXECUTIVE ORDER 11246, AS
AMENDED
The contractor, subcontractor, or consultant for any SRF
project shall maintain a policy of non-discrimination in
the treatment of employees, shall make this policy known
to employees, and shall recruit, hire and train
employees without regard to race, color, sex, religion
and national origin.
d. SECTION 13 OF THE FEDERAL WATER POLLUTION CONTROL ACT
AMENDMENTS OF 1972, 33 USC 1251
No person in the United States shall, on the grounds of
sex, be excluded from participation in, be denied the
benefits of, or be subjected to discrimination under any
program or activity receiving Federal assistance
under... the federal Water Pollution Control Act...
e. REHABILITATION ACT OF 1973, 29 USC 794
No otherwise qualified handicapped individual in the
United States shall, solely by reason of his handicap,
be excluded from participation in, be denied the
benefits of, or be subjected to discrimination under any
program or activity receiving Federal financial
assistance.
f. MINORITY BUSINESS ENTERPRISE DEVELOPMENT, EXECUTIVE
ORDER 12432
This executive order sets forth in more detail the
responsibilities of Federal agencies for the monitoring,
maintaining of data and reporting on the use of minority
enterprises.
g. NATIONAL PROGRAM FOR MINORITY BUSINESS ENTERPRISE,
EXECUTIVE ORDER 11625
This Executive Order directs Federal agencies to promote
and encourage the use of minority business enterprises
in projects utilizing federal funds.
h. NATIONAL WOMEN'S BUSINESS ENTERPRISE POLICY AND NATIONAL
PROGRAM FOR WOMEN'S BUSINESS ENTERPRISE, EXECUTIVE ORDER
This Executive Order directs each department or agency
empowered to extend Federal financial assistance to any
program or activity to issue regulations requiring the
recipient of such assistance to take appropriate
affirmative action in support of women's business
enterprises and to prohibit actions or policies which
discriminate against women's business enterprises on the
grounds of sex.
i. SMALL BUSINESS ADMINISTRATION REAUTHORIZATION AND
AMENDMENT ACT OF 1998, PUB. L. 100-590, SECTION 129
This Amendment directs Federal agencies to promote and
encourage the use of small business enterprises in
projects utilizing federal funds.
j. DEPARTMENT OF VETERANS AFFAIRS AND HOUSING AND URBAN
DEVELOPMENT, AND AGENCIES APPROPRIATIONS ACT, 1993, PUB.
L. 102-389
The Administrator of the Environmental Protection Agency
shall, hereafter to the fullest extent possible, ensure
that at least 8 per centum of Federal funding for prime
and subcontracts awarded in support of authorized
programs, including grants, loans and contracts for
wastewater treatment and for leaking underground storage
tanks, be made available to businesses or other
organizations owned or controlled by socially and
economically disadvantaged individuals (within the
meaning of Section 8(a)(5) and (6) of the Small Business
Act (15 U.S.C. 637(a)(5) and (6)), including
historically black colleges and universities. For
purposes of this section, economically and socially
disadvantaged individuals shall be deemed to include
women.
k. DISADVANTAGED BUSINESS ENTERPRISE RULE, 2008
40 CFR Part 33
Prior to the award of a consultant or construction
contract, the Contractor or Consultant shall fully
comply with 40 CFR Part 33, entitled "Participation by
Disadvantaged Business Enterprises in Procurement under
Environmental Protection Agency (EPA Financial
Assistance Agreements)". The Consultant or Contractor
shall notify the County prior to termination of a
Disadvantaged Business Enterprise (DBE) subconsultant
or subcontractor for convenience by the Contractor. In
addition, the Consultant or Contractor shall employ the
six good faith efforts listed in 40 CFR 33.301 when
soliciting a replacement subconsultant or
subcontractor.
The Consultant or Contractor shall not discriminate on
the basis of race, color, national origin, or sex in
the performance of this contract. The Consultant or
Contractor shall carry out applicable requirements of
40 CFR Part 33 in the award and administration of
contracts awarded under EPA financial assistance
agreements. Failure by the Consultant or Contractor to
3.
carry out these requirements is a material breach of
this contract, which may result in the termination of
this contract or other legally available remedies.
1. DAVIS BACON ACT, TITLE 29, PART 5, CODE OF FEDERAL
REGULATIONS
The consultant or construction contractor shall comply
with the labor standards provided under this act,
including but not limited to:
(1) Payment of the prevailing wage rate;
(2) Posting of prevailing wage rates and Davis -Bacon
poster at the work site where it can be easily seen
by the workers;
(3) The following Wage Determination General Decision
and Modification numbers apply to this contract:
Wage Determination General Decision No.:
Not Applicable for Consultants
(CWSRF Loan Recipient to fill in)
Modification No.:
Not Applicable for Consultants
- -�-
(CWSRF Loan Recipient to fill in)
The consultant or construction contractor understands
that labor standards interviews will be conducted during
the course of construction in accordance with Standard
Form 1445.
MISCELLANEOUS AUTHORITIES:
a. DEBARMENT AND SUSPENSION, EXECUTIVE ORDER 12549
Prior to the award of a construction or consultant
contract, the Contractor or Consultant shall fully
comply with Subpart C of 40 CFR Part 32, entitled
"Responsibilities of Participants Regarding
Transactions" and ensure that any lower tier covered
transaction and subsequent lower tier transaction,
includes a term or condition requiring compliance with
Subpart C. The Contractor shall certify that his
subcontractors and suppliers are not on the Excluded
Parties List when the bid proposals are submitted. The
Consultant shall certify that his sub -consultants are
not on the Excluded Parties List. The Contractor or
Consultant acknowledges that failing to disclose the
information required under 40 CFR 32.335 may result in
the delay or negation of payment, or pursuance of legal
remedies, including suspension and debarment. The
Contractor or Consultant may access the Excluded Parties
List System at http://epls.arnet.gov.
B. AMERICAN IRON AND STEEL (AIS) SECTION 608 OF THE CLEAN WATER
ACT (CWA):
Funds made available from a State water pollution control
revolving fund established under this title may not be used
for a project for the construction, alteration, maintenance,
or repair of treatment works unless all of the iron and steel
products used in the project are produced in the United
States.
See attached AIS Guidance.
C. REQUIRED FEDERAL FORM AND INFORMATION:
1. The following EPA form shall be submitted by the Consultant
or Contractor to the recipient (County) for each CWSRF
project:
EPA Form 5700-52A (MBE/WBE Utilization Under Federal Grants,
Cooperative Agreements, and Other Federal Financial
Assistance)
2. The following information must be included in the contract
specifications:
a. Davis Bacon Requirements (see attached)
LABOR STANDARDS INTERVIEW
CONTRACT NUMBER
EMPLOYEE INFORMATION
LAST NAME
FIRST NAME
MI
NAME OF PRIME CONTRACTOR
STREET ADDRESS
NAME OF EMPLOYER
CITY
STATE
ZIP CODE
SUPERVISOR'S NAME
LAST NAME
FIRST NAME
MI
WORK CLASSIFICATION
WAGE RATE
ACTION
CHECK BELOW
YES
NO
Do you work over 8 hours per day?
Do you work over 40 hours per week?
Are you paid at least time and a half for overtime hours?
Are you receiving any cash payments for fringe benefits required by the posted wage determination decision?
WHA I UtUUC I IUNS U I HEM I HAN I AXtS AND SUCIAL SECUHI I Y AHE MADE f HUM YOUH PAY?
HOW MANY HOURS DID YOU WORK ON YOUR LAST WORK DAY BEFORE TOOLS YOU USE
THIS INTERVIEW?
DATE OF LAST WORK DAY BEFORE INTERVIEW (YYMMDD)
DATE YOU BEGAN WORK ON THIS PROJECT (YYMMDD)
I I
THE ABOVE IS CORRECT TO THE BEST OF MY KNOWLEDGE
EMPLOYEE'S SIGNATURE DATE (YYMMDD)
INTERVIEWER SIGNATURE TYPED OR PRINTED NAME DATE (YYMMDD)
INTERVIEWER'S COMMENTS
WORK EMPLOYEE WAS DOING WHEN INTERVIEWED ACTION (If explanation is needed, use comments section) YES NO
IS EMPLOYEE PROPERLY CLASSIFIED AND PAID?
ARE WAGE RATES AND POSTERS DISPLAYED?
FOR USE BY
IS ABOVE INFORMATION IN AGREEMENT WITH PAYROLL DATA?
❑ YES ❑ NO
COMMENTS
CHECKER
LAST NAME IFIRST NAME IMI IJOB TITLE
SIGNATURE
DATE (YYMMDD)
AUTHORIZED FOR LOCAL REPRODUCTION STANDARD FORM 1445 (REV. 12-96)
Previous edition not usable Prescribed by GSA - FAR (48 CFR) 53.222(8)
OMB CONTROL NO. 2030-0020
APPROVED. 06/3012014
APPROVAL EXPIRES: 0613012017
U.S. ENVIRONMENTAL PROTECTION AGENCY
MBE/WBE UTILIZATION UNDER FEDERAL GRANTS
AND COOPERATIVE AGREEMENTS
PART I. (Reports are required even if no procurements are made during the reporting period.)
1A. FEDERAL FISCAL YEAR
1B. REPORTING PERIOD (Check ALL appropriate boxes)
(Oct. 1 -Sep 30)
❑ 1s ' (Oct -Dec) ❑ 2"d (Jan -Mar) ❑ 3rd (Apr -Jun) ❑ 41b (Jul -Sep)
Cl Semi -Annual (Oct -Mar) ❑ Semi -Annual (Apr -Sep)
20
❑ Annual
❑ Check if this is the last report for the project (Project completed).
1C. REVISION OF A PRIOR REPORT? Y
BRIEFLY DESCRIBE THE REVISIONS YOU ARE MAKING:
or N Year:
Quarter:
2A. EPA FINANCIAL ASSISTANCE OFFICE ADDRESS (ATTN: DBE
3A. RECIPIENT NAME AND ADDRESS
Coordinator)
2B. EPA DBE COORDINATOR
2C. PHONE:
3B. RECIPIENT REPORTING CONTACT:
3C. PHONE:
Name:
Name:
E-mail:
Fax:
E-mail:
Fax:
4A. FINANCIAL ASSISTANCE AGREEMENT ID NUMBER
4B. FEDERAL FINANCIAL ASSISTANCE PROGRAM TITLE or CFDA
(SRF Slate Recipients, refer to Instructions for Completion of blocks
NUMBER:
4A, 5A and 5C.)
5A. TOTAL ASSISTANCE AGREEMENT AMOUNT
5B. If NO procurement and NO accomplishments were made this reporting period (by the
(SRF State Recipients, refer to Instructions for Completion of blocks
recipients, sub -recipients, loan recipients, and prime contractors), CHECK and SKIP to Block
4A, 5A and 5C.)
No. 7. (Procurements are all expenditures through contract, order, purchase, lease or barter of
supplies, equipment, construction, or services needed to complete Federal assistance
EPA Share: $
programs. Accomplishments, in this context, are procurements made with MBEs and/or WBEs.
Recipient Share: $
5C. Total Procurements This Reporting Period
(Only include amount not reported in any prior reporting period)
Total Procurement Amount $ (Include total dollar values awarded by recipient, sub -recipients and SRF loan recipients,
including MBE/WBE expenditures.)
5D.
Were sub -awards issued under this assistance agreement? Yes_ No_ Were contracts issued under this assistance agreement ? Yes_ No_
5E. MBEMBE Accomplishments This Reporting Period
Actual MBE/WBE Procurement Accomplished:
(Include total dollar values awarded by recipient, sub -recipients, SRF loan recipients and Prime Contractors.)
Construction Equipment Services Supplies Total
$MBE:
$WBE:
6. COMMENTS: (If no MBE/WBE procurements were accomplished during the reporting period, please explain what steps you are taking to achieve the
MBE/WBE Program requirements specified in the terms and conditions of the Assistance Agreement.)
7. NAME OF RECIPIENT'S AUTHORIZED
TITLE
REPRESENTATIVE
B. SIGNATURE OF RECIPIENT'S AUTHORIZED
DATE
REPRESENTATIVE
EPA FORM 5700-52A available electronically at hftp://www.epa.gov/osbl)/pdfs/5700 52a.0f
Instructions:
A. General Instructions:
MBENVBE utilization is based on 40 CFR Part 33. EPA
Form 5700-52A must be completed by recipients of
Federal grants, cooperative agreements, or other Federal
financial assistance which involve procurement of
supplies, equipment, construction or services to
accomplish Federal assistance programs.
Recipients are required to report 30 days after the end of
each federal fiscal quarter, semiannually, or annually, per
the terms and conditions of the financial assistance
agreement.
MBENVBE program requirements, including reporting, are
material terms and conditions of the financial assistance
agreement.
B. Definitions:
Procurement is the acquisition through contract, order,
purchase, lease or barter of supplies, equipment,
construction or services needed to accomplish Federal
assistance programs.
A contract is a written agreement between an EPA
recipient and another party (also considered "prime
contracts') and any lower tier agreement (also considered
"subcontracts") for equipment, services, supplies, or
construction necessary to complete the project. This
definition excludes written agreements with another public
agency. This definition includes personal and
professional services, agreements with consultants, and
purchase orders.
A minority business enterprise (MBE) is a business
concern that is (1) at least 51 percent owned by one or
more minority individuals, or, in the case of a publicly
owned business, at least 51 percent of the stock is owned
by one or more minority individuals; and (2) whose daily
business operations are managed and directed by one or
more of the minority owners. In order to qualify and
participate as an MBE prime or subcontractor for EPA
recipients under EPA's DBE Program, an entity must be
properly certified as required by 40 CFR Part 33, Subpart
B.
U.S. citizenship is required. Recipients shall presume
that minority individuals include Black Americans,
Hispanic Americans, Native Americans, Asian Pacific
Americans, or other groups whose members are found to
be disadvantaged by the Small Business Act or by the
Secretary of Commerce under section 5 of Executive
order 11625. The reporting contact at EPA can provide
additional information.
A woman business enterprise (WBE) is a business
concern that is, (1) at least 51 percent owned by one or
more women, or, in the case of a publicly owned
business, at least 51 percent of the stock is owned by one
or more women and (2) whose daily business operations
are managed and directed by one or more of the women
owners. In order to qualify and participate as a WBE
prime or subcontractor for EPA recipients under EPA's
DBE Program, an entity must be properly certified as
required by 40 CFR Part 33, Subpart B.
Business firms which are 51 percent owned by minorities
or women, but are in fact managed and operated by non -
minority individuals do not qualify for meeting MBENVBE
procurement goals. U.S. Citizenship is required.
Good Faith Efforts
A recipient is required to make the following good faith
efforts whenever procuring construction, equipment,
services, and supplies under an EPA financial assistance
agreement. These good faith efforts for utilizing MBEs
and WBEs must be documented. Such documentation is
subject to EPA review upon request:
1. Include of MBEs/WBEs on solicitation lists.
2. Assure that MBEsNVBEs are solicited once they
are identified.
3. Divide total requirements into smaller tasks to
permit maximum MBENVBE participation, where
feasible.
4. Establish delivery schedules which will encourage
MBENVBE participation, where feasible.
5. Encourage use of the services of the U.S.
Department of Commerce's Minority Business
Development Agency (MBDA) and the U.S. Small
Business Administration to identify MBEsNVBEs.
Quarterly
Reporting
Due Date
Semiannual
Reporting
Due Date
Annual
Reporting
Due Date
Agreements
January 30,
awarded
April 30,
N/A
October
prior to May
July 30,
30
27, 2008
October 30
Agreements
awarded on
N/A
April 30,
October
or after May
October 30
30
27, 2008
MBENVBE program requirements, including reporting, are
material terms and conditions of the financial assistance
agreement.
B. Definitions:
Procurement is the acquisition through contract, order,
purchase, lease or barter of supplies, equipment,
construction or services needed to accomplish Federal
assistance programs.
A contract is a written agreement between an EPA
recipient and another party (also considered "prime
contracts') and any lower tier agreement (also considered
"subcontracts") for equipment, services, supplies, or
construction necessary to complete the project. This
definition excludes written agreements with another public
agency. This definition includes personal and
professional services, agreements with consultants, and
purchase orders.
A minority business enterprise (MBE) is a business
concern that is (1) at least 51 percent owned by one or
more minority individuals, or, in the case of a publicly
owned business, at least 51 percent of the stock is owned
by one or more minority individuals; and (2) whose daily
business operations are managed and directed by one or
more of the minority owners. In order to qualify and
participate as an MBE prime or subcontractor for EPA
recipients under EPA's DBE Program, an entity must be
properly certified as required by 40 CFR Part 33, Subpart
B.
U.S. citizenship is required. Recipients shall presume
that minority individuals include Black Americans,
Hispanic Americans, Native Americans, Asian Pacific
Americans, or other groups whose members are found to
be disadvantaged by the Small Business Act or by the
Secretary of Commerce under section 5 of Executive
order 11625. The reporting contact at EPA can provide
additional information.
A woman business enterprise (WBE) is a business
concern that is, (1) at least 51 percent owned by one or
more women, or, in the case of a publicly owned
business, at least 51 percent of the stock is owned by one
or more women and (2) whose daily business operations
are managed and directed by one or more of the women
owners. In order to qualify and participate as a WBE
prime or subcontractor for EPA recipients under EPA's
DBE Program, an entity must be properly certified as
required by 40 CFR Part 33, Subpart B.
Business firms which are 51 percent owned by minorities
or women, but are in fact managed and operated by non -
minority individuals do not qualify for meeting MBENVBE
procurement goals. U.S. Citizenship is required.
Good Faith Efforts
A recipient is required to make the following good faith
efforts whenever procuring construction, equipment,
services, and supplies under an EPA financial assistance
agreement. These good faith efforts for utilizing MBEs
and WBEs must be documented. Such documentation is
subject to EPA review upon request:
1. Include of MBEs/WBEs on solicitation lists.
2. Assure that MBEsNVBEs are solicited once they
are identified.
3. Divide total requirements into smaller tasks to
permit maximum MBENVBE participation, where
feasible.
4. Establish delivery schedules which will encourage
MBENVBE participation, where feasible.
5. Encourage use of the services of the U.S.
Department of Commerce's Minority Business
Development Agency (MBDA) and the U.S. Small
Business Administration to identify MBEsNVBEs.
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6. Require that each party to a subgrant,
subagreement, or contract award take the good
faith efforts outlined here.
C. Instructions for Part I:
la. Specify Federal fiscal year this report covers. The
Federal fiscal year runs from October 1 St through
September 30th (e.g. November 29, 2010 falls
within Federal fiscal year 2011)
1 b. Check applicable reporting box, quarterly,
semiannually, or annually. Also indicate if this is
the last report for the project.
1c. Indicate if this is a revision to a previous year,
half-year, or quarter, and provide a brief
description of the revision you are making.
2a -c. Please refer to your financial assistance
agreement for the mailing address of the EPA
financial assistance office for your agreement.
The "EPA DBE Reporting Contact' is the DBE
Coordinator for the EPA Region from which your
financial assistance agreement was originated.
For a list of DBE Coordinators please refer to the
EPA OSBP website at www.epa.gov/osbp. Click
on "Regional Contacts" for the name of your
coordinator.
3a -c. Identify the agency, state authority, university or
other organization which is the recipient of the
Federal financial assistance and the person to
contact concerning this report.
4a. Provide the Assistance Agreement number
assigned by EPA. A separate report must be
submitted for each Assistance Agreement.
*For SRF recipients: In box 4a list numbers for
ALL OPEN Assistance Agreements being
reported on this form. Please note that although
the New DBE Rule (which took effect May 27,
2008) revised the reporting frequency
requirements from quarterly to semiannually, that
change only applies to agreements awarded
AFTER the New DBE Rule took effect.
Therefore, SRF recipients may either continue to
report activity for all Agreements on one form on
a quarterly basis until the last award that was
made prior to the New DBE Rule has been closed
out; OR, the recipient may split the submission of
SRF reports into quarterly reports for Agreements
awarded prior the New DBE Rule, and
semiannually for the awards made after the New
DBE Rule.
4b. Refer back to Assistance Agreement document
for this information.
5a. Provide the total amount of the Assistance
Agreement which includes Federal funds plus
recipient matching funds and funds from other
sources.
*For SRF recipients only: SRF recipients will not
enter an amount in 5a. Please leave 5a blank.
5b. Self-explanatory.
5c. Provide the total dollar amount of ALL
procurements awarded this reporting period by
the recipient, sub -recipients, and SRF loan
recipients, including MBE/WBE expenditures.
For example: Actual dollars for procurement from
the procuring office; actual contracts let from the
contracts office; actual goods, services, supplies,
etc., from other sources including the central
purchasing/ procurement centers).
*NOTE: To prevent double counting on line 5C, if
any amount on 5E is for a subcontract and the
prime contract has already been included on Line
5C in a prior reporting period, then report the
amount going to MBE or WBE subcontractor on
line 5E, but exclude the amount from Line 5C. To
include the amount on 5C again would result in
double counting because the prime contract,
which includes the subcontract, would have
already been reported.
5d. State whether or not sub -awards and/or
subcontracts have been issued under the
assistance agreement by indicating "yes" or "no".
5e. Where requested, also provide the total dollar
amount of all MBE/WBE procurement awarded
during this reporting period by the recipient, sub -
recipients, SRF loan recipients, and prime
contractors in the categories of construction,
equipment, services and supplies. These
amounts include Federal funds plus recipient
matching funds and funds from other sources.
*For SRF recipients only: In 5c please enter the
total procurement amount for the quarter, or
semiannual period, under all of your SRF
Assistance Agreements. The figure reported in
this section is not directly tied to an individual
Assistance Agreement identification number.
(SRF state recipients report state
procurements in this section)
6. If there were no MBE/WBE accomplishments this
reporting period, please briefly explain what
specific steps you are taking to achieve the
MBE/WBE requirements specified in the terms
and conditions of the Assistance Agreement.
Name and title of official administrator or
designated reporting official.
Signature, month, day, and year report submitted
D. Instructions for Part II:
For each MBE/WBE procurement made under this
assistance agreement during the reporting period, provide
the following information:
1. Check whether this procurement was made by
the recipient, sub-recipient/SRF loan recipient, or
the prime contractor.
2. Check either the MBE or WBE column. If a firm
is both an MBE and WBE, the recipient may
choose to count the entire procurement towards
EITHER its MBE or WBE accomplishments. The
recipient may also divide the total amount of the
procurement (using any ratio it so chooses) and
count those divided amounts toward its MBE and
WBE accomplishments. If the recipient chooses
to divide the procurement amount and count
portions toward its MBE and WBE
accomplishments, please state the appropriate
amounts under the MBE and WBE columns on
the form. The combined MBE and WBE
amounts for that MBEIWBE contractor must
not exceed the "Value of the Procurement"
reported in column #3
3. Dollar value of procurement.
4. Date of procurement, shown as month, day, year.
Date of procurement is defined as the date the
contract or procurement was awarded, not the
date the contractor received payment under the
awarded contract or procurement, unless
payment occurred on the date of award. (Where
direct purchasing is the procurement method,
the date of procurement is the date the
purchase was made)
5. Using codes at the bottom of the form, identify
type of product or service acquired through this
procurement (e.g., enter 1 if construction, 2 if
supplies, etc).
6. Name, address, and telephone number of
MBE/WBE firm.
*This data is requested to comply with provisions
mandated by: statute or regulations (40 CFR Part 30, 31,
and 33); OMB Circulars; or added by EPA to ensure
sound and effective assistance management. Accurate,
complete data are required to obtain funding, while no
pledge of confidentiality is provided.
The public reporting and recording burden for this
collection of information is estimated to average I hour per
response annually. Burden means the total time, effort,
or financial resources expended by persons to generate,
maintain, retain, or disclosure or provide information to or
for a Federal agency. This includes the time needed to
review instructions; develop, acquire, install, and utilize
technology and systems for the purposes of collecting,
validating, and verifying information, processing and
maintaining information, and disclosing and providing
information; adjust the existing ways to comply with any
previously applicable instructions and requirements; train
personnel to be able to respond to a collection of
information; search data sources; complete and review
the collection of information; and transmit or otherwise
disclose the information. An agency may not conduct or
sponsor, and a person is not required to respond to, a
collection of information unless it displays a currently valid
OMB control number.
Send comments on the Agency's need for this
information, the accuracy of the provided burden
estimates, and any suggested methods for minimizing
respondent burden, including through the use of
automated collection techniques to the Director, OPPE
Regulatory Information Division, U.S. Environmental
Protection Agency (2136), 1200 Pennsylvania Avenue,
NW, Washington, D.C. 20460. Include the OMB Control
number in any correspondence. Do not send the
completed form to this address.
AMERICAN IRON AND STEEL (AIS) GUIDANCE
Covered Iron and Steel Products
What is an iron or steel product?
For purposes of the CWSRF projects that must comply with the AIS requirement,
an iron or steel product is one of the following made primarily of iron or steel that
is permanently incorporated into the public water system or treatment works:
Lined or unlined pipes or fittings;
Manhole Covers;
Municipal Castings (defined in more detail below);
Hydrants;
Tanks;
Flanges;
Pipe clamps and restraints;
Valves;
Structural steel (defined in more detail below);
Reinforced precast concrete; and
Construction materials (defined in more detail below).
What does the term `primarily iron or steel' mean?
'Primarily iron or steel' places constraints on the list of products above. For one
of the listed products to be considered subject to the AIS requirements, it must
be made of greater than 50% iron or steel, measured by cost. The cost should be
based on the material costs.
Can you provide an example of how to perform a cost determination?
For example, the iron portion of a fire hydrant would likely be the bonnet, body
and shoe, and the cost then would include the pouring and casting to create
those components. The other material costs would include non -iron and steel
internal workings of the fire hydrant (i.e., stem, coupling, valve, seals, etc).
However, the assembly of the internal workings into the hydrant body would not
be included in this cost calculation. If one of the listed products is not made
primarily of iron or steel, United States (US) provenance is not required. An
exception to this definition is reinforced precast concrete,
which is addressed in a later question.
If a product is composed of more than 50% iron or steel, but is not listed in
the above list of items, must the item be produced in the US? Alternatively,
must the iron or steel in such a product be produced in the US?
The answer to both question is no. Only items on the above list must be
produced in the US. Additionally, the iron or steel in a non -listed item can be
sourced from outside the US.
What is the definition of steel?
Steel means an alloy that includes at least 50 percent iron, between .02 and 2
percent carbon, and may include other elements. Metallic elements such as
chromium, nickel, molybdenum, manganese, and silicon may be added during
the melting of steel for the purpose of enhancing properties such as corrosion
resistance, hardness, or strength. The definition of steel covers carbon steel,
alloy steel, stainless steel, tool steel and other specialty steels.
What does `produced in the United States' mean?
Production in the United States of the iron or steel products used in the project
requires that all manufacturing processes, including application of coatings, must
take place in the United States, with the exception of metallurgical processes
involving refinement of steel additives. All manufacturing processes includes
processes such as melting, refining, forming, rolling, drawing, finishing,
fabricating and coating. Further, if a domestic iron and steel product is taken out
of the US for any part of the manufacturing process, it becomes foreign source
material. However, raw materials such as iron ore, limestone and iron and steel
scrap are not covered by the AIS requirement, and the 7 material(s), if any, being
applied as a coating are similarly not covered. Non -iron or steel components of
an iron and steel product may come from non -US sources. For example,
for products such as valves and hydrants, the individual non -iron and steel
components do not have to be of domestic origin.
Are the raw materials used in the production of iron or steel required to
come from US sources?
No. Raw materials, such as iron ore, limestone, scrap iron, and scrap steel, can
come from non -US sources.
If an above listed item is primarily made of iron or steel, but is only at the
construction site temporarily, must such an item be produced in the US?
No. Only the above listed products made primarily of iron or steel, permanently
incorporated into the project must be produced in the US. For example trench
boxes, scaffolding or equipment, which are removed from the project site upon
completion of the project, are not required to be made of U.S. Iron or Steel.
What is the definition of `municipal castings'?
Municipal castings are cast iron or steel infrastructure products that are melted
and cast. They typically provide access, protection, or housing for components
incorporated into utility owned drinking water, storm water, wastewater, and
surface infrastructure. They are typically made of grey or ductile iron, or steel.
Examples of municipal castings are:
Access Hatches;
Ballast Screen;
Benches (Iron or Steel);
Bollards;
Cast Bases;
Cast Iron Hinged Hatches, Square and Rectangular;
Cast Iron Riser Rings;
Catch Basin Inlet;
Cleanout/Monument Boxes;
Construction Covers and Frames;
Curb and Corner Guards;
Curb Openings;
Detectable Warning Plates;
Downspout Shoes (Boot, Inlet);
Drainage Grates, Frames and Curb Inlets;
Inlets;
Junction Boxes;
Lampposts;
Manhole Covers, Rings and Frames, Risers; 8
Meter Boxes;
Service Boxes;
Steel Hinged Hatches, Square and Rectangular;
Steel Riser Rings;
Trash receptacles;
Tree Grates;
Tree Guards;
Trench Grates; and
Valve Boxes, Covers and Risers.
What is `structural steel'?
Structural steel is rolled flanged shapes, having at least one dimension of their
cross-section three inches or greater, which are used in the construction of
bridges, buildings, ships, railroad rolling stock, and for numerous other
constructional purposes. Such shapes are designated as wide -flange shapes,
standard I -beams, channels, angles, tees and zees. Other shapes include H -
piles, sheet piling, tie plates, cross ties, and those for other special purposes.
What is a `construction material' for purposes of the AIS requirement?
Construction materials are those articles, materials, or supplies made primarily of
iron and steel, that are permanently incorporated into the project, not including
mechanical and/or electrical components, equipment and systems. Some of
these products may overlap with what is also considered "structural steel". This
includes, but is not limited to, the following products: wire rod, bar, angles,
concrete reinforcing bar, wire, wire cloth, wire rope and cables, tubing, framing,
joists, trusses, fasteners (i.e., nuts and bolts), welding rods, decking, grating,
railings, stairs, access ramps, fire escapes, ladders, wall panels, dome
structures, roofing, ductwork, surface drains, cable hanging systems, manhole
steps, fencing and fence tubing, guardrails, doors, and stationary screens.
What is not considered a `construction material' for purposes of the AIS
requirement?
Mechanical and electrical components, equipment and systems are not
considered construction materials. Mechanical equipment is typically that which
has motorized parts and/or is powered by a motor. Electrical equipment is
typically any machine powered by electricity and includes components that are
part of the electrical distribution system.
The following examples (including their appurtenances necessary for their
intended use and operation) are NOT considered construction materials: pumps,
motors, gear reducers, drives (including variable frequency drives (VFDs)),
electric/pneumatic/manual accessories used to operate valves (such as electric
valve actuators), mixers, gates, motorized screens (such as traveling screens),
blowers/aeration equipment, compressors, meters, sensors, controls and
switches, supervisory control and data acquisition (SCADA), membrane
bioreactor systems, membrane filtration systems, filters, clarifiers and clarifier
mechanisms, rakes, grinders, disinfection systems, presses (including belt
presses), conveyors, cranes, HVAC (excluding ductwork), water heaters,
heat exchangers, generators, cabinetry and housings (such as electrical
boxes/enclosures), lighting fixtures, electrical conduit, emergency life systems,
metal office furniture, shelving, laboratory equipment, analytical instrumentation,
and dewatering equipment.
4
If the iron or steel is produced in the US, may other steps in the
manufacturing process take place outside of the US, such as assembly?
No. Production in the US of the iron or steel used in a listed product requires that
all manufacturing processes must take place in the United States, except
metallurgical processes involving refinement of steel additives.
What processes must occur in the US to be compliant with the AIS
requirement for reinforced precast concrete?
While reinforced precast concrete may not be at least 50% iron or steel, in this
particular case, the reinforcing bar and wire must be produced in the US and
meet the same standards as for any other iron or steel product. Additionally, the
casting of the concrete product must take place in the US. The cement and other
raw materials used in concrete production are not required to be of domestic
origin.
If the reinforced concrete is cast at the construction site, the reinforcing bar and
wire are considered to be a construction material and must be produced in the
US.
Construction Contract Lanquage for AIS
Projects funded with monies from the Clean Water State Revolving Fund are
subject to the American Iron and Steel (AIS) requirement as in Section 608 of the
Clean Water Act. The Contractor hereby represents and warrants to and for the
benefit of the Purchaser and the State that a) the Contractor has reviewed and
understands the AIS requirement, (b) all of the iron and steel products used in
the project will be and/or have been produced in the United States in a manner
that complies with the AIS requirement, unless a waiver of the requirement is
approved, and (c) the Contractor will provide any further verified information,
certification or assurance of compliance with the AIS requirement, or information
necessary to support a waiver of the AIS requirement, as may be requested by
the Purchaser or the State. Failure to comply with the AIS requirement by the
Contractor shall permit the Purchaser or State to recover as damages against the
Contractor any loss, expense, or cost (including without limitation attorney's fees)
incurred by the Purchaser or State resulting from any such failure (including
without limitation any impairment or loss of funding, whether in whole or in part,
from the State or any damages owed to the State by the Purchaser).
6
Sample Certifications
The following information is provided as a sample letter of step certification for
AIS compliance. Documentation must be provided on company letterhead.
Date
Company Name
Company Address
City, State Zip
Subject: American Iron and Steel Step Certification for Project (XXXXXXXXXX)
I, (company representative), certify that the (melting, bending, coating,
galvanizing, cutting, etc.) process for (manufacturing or fabricating) the following
products and/or materials shipped or provided for the subject project is in full
compliance with the American Iron and Steel requirement as mandated in EPA's
State Revolving Fund Programs.
Item, Products and/or Materials:
1. Xxxx
2. Xxxx
3. Xxxx
Such process took place at the following location:
If any of the above compliance statements change while providing material
to this project we will immediately notify the prime contractor and the
engineer.
Signed by company representative
7
The following information is provided as a sample letter of certification for AIS
compliance. Documentation must be provided on company letterhead.
Date
Company Name
Company Address
City, State Zip
Subject: American Iron and Steel Certification for Project (XXXXXXXXX X)
I, (company representative), certify that the following products and/or materials
shipped/provided to the subject project are in full compliance with the American
Iron and Steel requirement as mandated in EPA's State Revolving Fund
Programs.
Item, Products and/or Materials:
1. Xxxx
2. Xxxx
3. Xxxx
Such process took place at the following location:
If any of the above compliance statements change while providing material
to this project we will immediately notify the prime contractor and the
engineer.
Signed by company representative
DAVIS BACON REQUIREMENTS
Contract and Subcontract provisions.
(a) The Recipient shall 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 treatment
work under the CWSRF the following clauses:
(1) Minimum wages.
(i) 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 (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.
The Recipient may obtain wage determinations from the U.S. Department of
Labor's web site, www.dol.gov.
(ii)(A) The Recipient, on behalf of EPA, 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 State award official shall approve a request
for 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
DAVIS BACON REQUIREMENTS
(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 Recipient agree on the
classification and wage rate (including the amount designated for fringe benefits
where appropriate), documentation of the action taken and the request,
including the local wage determination shall be sent by the Recipient to the
State award official. The State award official will transmit the report, to the
Administrator of the Wage and Hour Division, Employment Standards
Administration, U.S. Department of Labor, Washington, DC 20210 and to the
EPA DB Regional Coordinator concurrently. The Administrator, or an authorized
representative, will approve, modify, or disapprove every additional classification
request within 30 days of receipt and so advise the State award official or will
notify the State award official 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 and the Recipient do not agree on
the proposed classification and wage rate (including the amount designated for
fringe benefits, where appropriate), the award official shall refer the request,
and the local wage determination, including the views of all interested parties
and the recommendation of the State award official, to the Administrator for
determination. The request shall be sent to the EPA Regional Coordinator
concurrently. The Administrator, or an authorized representative, will issue a
determination within 30 days of receipt of the request 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.
DAVIS BACON REQUIREMENTS
(2) Withholding. The Recipient shall upon written request of the EPA Award Official or 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 (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. 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 Recipient, that is, the entity that receives
the sub -grant or loan from the State capitalization grant recipient. Such
documentation shall be available on request of the State or EPA. As to each
payroll copy received, the Recipient shall provide written confirmation in a form
satisfactory to the State indicating whether or not the project is in compliance
with the requirements of 29 CFR 5.5(a)(1) based on the most recent payroll
copies for the specified week. The payrolls 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 the weekly payrolls. 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).
3
DAVIS BACON REQUIREMENTS
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 Recipient for transmission to
the State or EPA if requested by EPA, the State, 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 Recipient.
(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 State, EPA 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
4
DAVIS BACON REQUIREMENTS
required records or to make them available, the Federal agency or State 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
DAVIS BACON REQUIREMENTS
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 EPA
determines may by appropriate, 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
DAVIS BACON REQUIREMENTS
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 Recipient, State, EPA, 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.
2. Contract Provision for Contracts in Excess of $100,000.
(a) Contract Work Hours and Safety Standards Act. The Recipient shall insert the following clauses
set forth in paragraphs (a)(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
Section 1, above or 29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics
include watchmen and guards.
(1) Overtime requirements. No contractor or subcontractor contracting for any part of the
contract work which may require or involve the employment of laborers or mechanics
shall require or permit any such laborer or mechanic in any workweek in which he or she
is employed on such work to work in excess of forty hours in such workweek unless
such laborer or mechanic receives compensation at a rate not less than one and one-
half times the basic rate of pay for all hours worked in excess of forty hours in such
workweek.
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of
the clause set forth in paragraph (b)(1) of this section the contractor and any
subcontractor responsible therefore 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 $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 (b)(1) of this section.
(3) Withholding for unpaid wages and liquidated damages. The Recipient shall upon the
request of the EPA Award Official or an authorized representative of the Department of
Labor, withhold or cause to be withheld, from any moneys payable on account of work
DAVIS BACON REQUIREMENTS
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.
(b) In addition to the clauses contained in Section 1, above, in any contract subject only to the
Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29
CFR 5. 1, the Recipient shall 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 Recipient shall 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.
3. Compliance Verification
(a) The Recipient shall periodically interview a sufficient number of employees entitled to DB
prevailing wages (covered employees) to verify that contractors or subcontractors are paying the
appropriate wage rates. As provided in 29 CFR 5.6(a)(6), all interviews must be conducted in
confidence. The Recipient must use Standard Form 1445 (SF 1445) or equivalent
documentation to memorialize the interviews. Copies of the SF 1445 are available from EPA on
request.
(b) The Recipient shall establish and follow an interview schedule based on its assessment of the
risks of noncompliance with DB posed by contractors or subcontractors and the duration of the
contract or subcontract. At a minimum, the Recipient should conduct interviews with a
representative group of covered employees within two weeks of each contractor or
subcontractor's submission of its initial weekly payroll data and two weeks prior to the estimated
completion date for the contract or subcontract. The Recipient must conduct more frequent
interviews if the initial interviews or other information indicates that there is a risk that the
contractor or subcontractor is not complying with DB. The Recipient shall immediately conduct
necessary interviews in response to an alleged violation of the prevailing wage requirements. All
interviews shall be conducted in confidence.
(c) The Recipient shall periodically conduct spot checks of a representative sample of weekly
payroll data to verify that contractors or subcontractors are paying the appropriate wage rates.
The Recipient shall establish and follow a spot check schedule based on its assessment of the
risks of noncompliance with DB posed by contractors or subcontractors and the duration of the
contract or subcontract. At a minimum, if practicable the Recipient shall spot check payroll data
within two weeks of each contractor or subcontractor's submission of its initial payroll data and
DAVIS BACON REQUIREMENTS
two weeks prior to the completion date the contract or subcontract. The Recipient must conduct
more frequent spot checks if the initial spot check or other information indicates that there is a
risk that the contractor or subcontractor is not complying with DB. In addition, during the
examinations the Recipient shall verify evidence of fringe benefit plans and payments
thereunder by contractors and subcontractors who claim credit for fringe benefit contributions.
(d) The Recipient shall periodically review contractors and subcontractors use of apprentices and
trainees to verify registration and certification with respect to apprenticeship and training
programs approved by either the U.S Department of Labor or a state, as appropriate, and that
contractors and subcontractors are not using disproportionate numbers of, laborers, trainees
and apprentices. These reviews shall be conducted in accordance with the schedules for spot
checks and interviews described in Item 5(b) and (c) above.
(e) The Recipient must immediately report potential violations of the DB prevailing wage
requirements to the EPA DB contact listed above and to the appropriate DOL Wage and Hour
District Office listed at http://www.dol.gov/esa/contacts/whd/america2.htm.
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