The necessary forms and instructions for furnishing the "Contractor's Financial - Experience - Equipment Statement" will be supplied by the Contracting Authority upon application.

For proposals involving only the furnishing of materials, granular surfacing, lighting, buildings, asbestos removal, salvage and removal, wells, traffic signals, pavement marking, or mowing, the following shall apply in lieu of the above requirements of this article:

Bidders submitting proposals must be recognized contractors engaged in the class of work provided for in the contract documents, and must possess all necessary licenses, certificates and resources to complete the work. Before the contract is awarded to a bidder, the bidder may be required to furnish evidence to the satisfaction of the Contracting Authority of the bidder's ability to perform and complete the contract.

1102.02 REDUCTION IN BIDDER QUALIFICATION RESTRICTIONS.
The requirements and conditions for bidder qualification as contained in Article 1102.01 may be reduced by the Contracting Authority either for contractors who have well established performance records in other fields or for contractors having adequate financial responsibility and experienced supervisory personnel available for the work that is under consideration or for both the above reasons.

Likewise, the requirements may be modified by the Contracting Authority for newly formed or reorganized firms or corporations whose basic organization is composed of individuals who are veterans of the construction industry, with proven records of satisfactory performance in the field in which they have elected to bid, provided, however, that they have adequate financial responsibility, equipment, and available experienced supervisory personnel.

1102.03 IMPOSITION OF INCREASE IN BIDDER QUALIFICATION REQUIREMENTS, SUSPENSION, AND DISQUALIFICATION.
The requirements and conditions for bidder qualification in Article 1102.01 may be imposed or reimposed or increased, or a contractor may be suspended or disqualified.

A. The requirements and conditions for bidder qualification of a contractor may be imposed or reimposed or increased if or when:

1. The Contractor seriously delays commencement or completion of any work within the contract period or any extension thereof under circumstances that would normally give rise to a right in the Contracting Authority for liquidated damages or declaration of default, or

2. The Contractor does any act or omits doing or performing any act which, in the judgment of the Contracts Engineer, evidences a material change in the Contractor's financial responsibility or work capability where, in the judgment of the Contracts Engineer, the same will materially prejudice the Contractor's ability to successfully prosecute such public improvement contracts, or the Contractor knowingly submits false information on the "Contractor's Financial - Experience - Equipment Statement" (Form 650004) or "Certification of Uncompleted Work Under Contract" (Form 650022) or other information concerning prequalification, or

3. The Contractor takes or fails to take any action which the Contracts Engineer deems to warrant an imposition of increase in bidder qualification requirements.

B. A contractor may be suspended from bidder qualification if or when:

1. The Contractor continually fails or refuses to remove and replace materials or work found by the Engineer not to be in reasonably close conformity with the contract documents or to correct such material or work so as to cause such materials or finished product to be reasonably acceptable work, or

2. The Contractor continually and, in the judgment of the Contracts Engineer, without good cause therefor, fails to carry on the work in an acceptable manner or refuses to comply with a written order of the Engineer within a reasonable time, or

3. The Contractor fails to perform with its own organization the work as required in Article 1108.01, or otherwise assigns or disposes of work or the contract or any part thereof without approval of the Contracting Authority, or

4. The Contractor forfeits a proposal guaranty and fails to enter into the contract upon an offer of award by the Contracting Authority in response to a prior advertisement for bids for the same project or any combination of projects involving the project for which award is currently being considered, or

5. The Contractor fails to comply with Equal Employment Opportunity/Affirmative Action requirements of the contract, or

6. The Contractor fails to pay the subcontractor progress payments and retainage as required by Article 1109.05, or

7. The Contractor continually takes actions, or continually fails to take actions, which present safety concerns for the Contracting Authority or the general public, or

8. The Contracts Engineer deems a suspension is appropriate for reasons stated in Paragraph A above.

A suspension is intended to be for an indefinite period of time or, in the case of Paragraph 4, for a specific project. A suspension shall continue until the Contractor resolves, to the satisfaction of the Contracts Engineer, the problem for which the suspension was made.

C. A contractor may be disqualified from bidder qualification if or when:

1. The Contractor is currently debarred by some other state or Federal agency, or

2. The Contractor subcontracts, employs, or otherwise uses services, for work of the Contracting Authority, of one who is debarred by the Contracting Authority or disqualified according to Paragraph 1, except to fulfill agreements for work on existing contracts, or

3. The Contractor is convicted of or pleads guilty or nolo contendere (no contest) to a charge of engaging in any conspiracy, combination, or other unlawful act in restraint of trade or of similar charges in any Federal court or a court of this or any other state, or

4. The Contractor has offered or given gifts or gratuities to employees of the Contracting Authority in violation of State law or has had as an employee a person who was at that time also an employee of the Contracting Authority, or

5. The Contractor has falsified documents or certifications, or has knowingly provided false information to the Department or the Contracting Authority, or

6. The Contracts Engineer deems a disqualification is appropriate for reasons stated in Paragraph A or B above.

A disqualification is intended to be for a specified time. A disqualification will not exceed 36 months.

The Contracts Engineer will issue a written notice of any intent to disqualify or suspend a contractor, except when suspended for a specific project according to Paragraph B, 4.

Should the Contractor believe that the increase in bidder qualification requirements, intended suspension, or intended disqualification is based on false, biased, or incomplete information or that the increase or intended action is severe or unwarranted, the Contractor may make a written request to the Contracts Engineer for an opportunity to be heard in a contested case pursuant to Chapter 17A, Code of Iowa, and 761 IAC, Ch. 13. If notice is given, the written request for a hearing shall be filed with the Contracts Engineer within 10 calendar days of receipt of the notice of intended agency action. If the basis of the intended disqualification is a criminal violation which is reasonably related to bidding and contracting procedures, the intended disqualification may be applied to the organization, including a person, firm, association, partnership, or corporation, to an affiliate, officer, representative, or employee thereof, and to any other such organization in which the organization or affiliate or the officer, representative, or employee has an interest as either officer or owner.

When a notice is given or when any action is contested, the Contracts Engineer will issue a notice of the final action taken.

1102.04 CONTENTS OF PROPOSAL FORMS.
Bidders will be furnished with proposal forms showing the location and description of the proposed work, the approximate quantities of work to be performed or materials to be furnished, the form and amount of the required proposal guaranty, and the contract period. The proposal form will also contain a reference to any special provisions or requirements which are supplemental to the standard specifications.

The statement, "By virtue of statutory authority preference will be given to products and provisions grown and coal produced within the State of Iowa where applicable," which is on the bidding document shall not be applicable to contracts involving Federal-aid participation in construction.

The minimum wage shown on the proposal form for all Federal-aid projects will apply to all labor used on the project. This will include labor used in the production of aggregate, HMA, and ready mix PCC which is not produced in a commercial plant. The rulings of the U.S. Department of Labor will be used in determining what is a "roadside plant" where the minimum wage will apply and a commercial plant where the minimum wage will not apply.

The following bidding and letting regulations shall apply to all proposals for which the Department receives bids (includes projects on Interstate, Primary, urban, park and institutional roads, farm-to-market, and local county systems).

1. Contractors will be permitted to bid on proposals amounting in total to three times their adjusted prequalification rating (prequalification rating minus uncompleted contracts).

The adjusted prequalification rating will be determined at each letting, taking into consideration the amount of work under contract, equipment and personnel available, and construction periods, etc.

Approvals for award of contracts will not exceed any contractor's actual adjusted prequalification rating.

2. Contracts will be recommended for approval for award on the basis of the greatest total savings in the public interest. The determination of which proposals to be awarded will be based on the approval by the Department and even if the selected bids are later rejected by other contracting agencies, other projects will not be substituted.

3. Contractors will not be permitted to tie proposals or to designate on the bidding proposal the limit of the amount they will accept. Contractors may voluntarily lower their prequalification rating provided written request is on file at the Office of Contracts, Iowa Department of Transportation, Ames, Iowa, by noon of the working day prior to the letting.

1102.05 ISSUANCE OF PROPOSALS.
Requests for proposal forms to bid construction and maintenance contracts must be filed by noon of the working day prior to the letting. These requests should be on the request form provided by the Department. Unless otherwise specified, proposal forms will be furnished to qualified bidders who have filed properly completed "Certification of Uncompleted Work Under Contract" forms (Form 650022) with their request. Any contractor knowingly submitting any false information required by Form 650022 may be suspended from bidding as provided in Article 1102.03.

1102.06 NONSEGREGATED FACILITIES NOTICE TO PROSPECTIVE FEDERAL-AID SUBCONTRACTORS AND MATERIAL SUPPLIERS.
Certain requirements concerning nonsegregated facilities may be applicable to prospective subcontractors and material suppliers for Federal-aid projects. These are in the contract documents.

1102.07 ESTIMATE OF QUANTITIES.
The Proposal form will contain a Schedule of Prices that lists the items of work on the project(s). The Schedule of Prices, which shall be completed and submitted by each bidder, will be used for comparing bids for award of the contract.

Contract items listed in the Schedule of Prices will be either Unit Price or Lump Sum.

The contract documents may also include a list of items that are noted as incidental. Incidental work is normally minor in scope and is clearly described in the contract documents. The cost to complete incidental items shall be included in the contract unit price bid for the item to which they are listed as incidental. Additional payment will not be made for incidental items unless there are obvious errors or changes to the quantity of the incidental item. An item of work, normally paid for separately, but not listed in the contract documents as incidental, will be paid for in accordance with Article 1109.03, B.

1102.08 EXAMINATION OF PLANS, PROPOSAL FORM, SPECIFICATIONS, SUPPLEMENTAL SPECIFICATIONS, DEVELOPMENTAL SPECIFICATIONS, SPECIAL PROVISIONS, AND SITE OF WORK.
It is the responsibility of the bidder to examine the plans, proposal form, Standard Specifications, Supplemental Specifications, Developmental Specifications, Special Provisions, the site of the work, and the state of the work of other contractors on the project to assure that all requirements of the proposal form and the plans are fully understood. It is the bidder's responsibility to understand the nature of the work and all reasonably ascertainable conditions which may affect performance under the contract. The Contracting Authority does not warrant, impliedly or explicitly, the nature of the work, the conditions that will be encountered by the bidder, or the adequacy of the contract documents for the Contractor to perform the work.

1102.09 PREPARATION OF PROPOSALS.
Only contractors who have been authorized to bid a proposal may submit a bid for a contract. For bids submitted to the Department that exceed $600,000, the Contractor shall use subparagraph B or subparagraph C below. The Department may wave this requirement for unique or isolated situations.

A. Submit the signed, original Bidding Document furnished by the Contracting Authority with a Schedule of Prices from the Estimating Proposal.

B. Submit the signed, original Bidding Document furnished by the Contracting Authority with the computer printout and diskette of the Schedule of Prices from the bidding software furnished by the Department.

C. Submit an electronic bid with digital signature using the bidding software furnished by the Department and the electronic bid submittal procedures of the Department.

The bidder shall be familiar with the requirements of the applicable specifications. The bidder shall specify a unit price in figures of dollars and cents for all pay items, the extensions for the respective unit prices and quantities in figures in the column provided for the purpose, and the total amount of the proposal obtained by adding the amounts of the several items. All the unit price figures shall be in ink, typed, or computer printed. If there is a discrepancy between the unit bid prices, extensions, or total amount of bid, the unit prices shall govern. The Contractor shall not alter the quantity, unit price, or the extension which has been provided for items which have been predetermined by the Contracting Authority.

If the proposal is made by a partnership or corporation, the name of the partnership or corporation, its agent, and its principal place of business shall be shown. The proposal shall be signed by an authorized agent of the partnership or corporation.

If the proposal is made on the basis of a joint bid, the proposal shall be signed by each of the joint bidders, unless the firms submitting the joint venture have a written request on file with the Department signed by each of the bidders which states the individual(s) who are authorized to sign the bidding documents for the joint venture.

By signing and submitting the proposal, the bidder:

A. Acknowledges the bidding requirements included in the bidding documents,

B. Agrees to perform all work that is necessary to complete the proposed work in the time specified. Work not covered by proposal will be paid for according to Article 1109.03,

C. Certifies compliance with the provision of the Code of Iowa listed in the bidding documents,

D. Gives an unsworn declaration on behalf of each person, firm, association, partnership, or corporation submitting a proposal, certifying that such person, firm, association, partnership, or corporation has not, either directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of free competitive bidding in connection with such contract, and is not under debarment currently by the Federal government for a criminal violation which is reasonably related to bidding and contracting procedures.

E. For Federal-aid contracts, certifies acknowledgment of the limitations of lobby activities shown in the bidding documents, and

F. For Federal-aid contracts, certifies the bidder does not maintain segregated facilities.

Cooperation and coordination will be required of all contractors and other agencies authorized to do work in the project area.

The attention of the bidder, for the work covered by a proposal and referred to as this work, is directed to the fact that contracts for work other than the work covered in this proposal may have been awarded, are being advertised for letting on the same date as this work, or may be awarded in the future.

Completion of work covered by this proposal may be contingent upon certain work covered by other contracts being performed on the project in advance of this work; likewise, completion of work covered by other contracts may be dependent upon completion of work covered by this proposal.

The proposal will list types of work involving other contracts anticipated to be let on the same letting date or sometime within the contract period anticipated for this work. The contract documents will also list other governmental agencies, railroads, utilities, or other parties who will have work with which it is known that this work must be coordinated.

The bidder is expected to become familiar with work already in progress or previously let on this project, the contract periods, the progress being made, and any other conditions regarding that work which may affect the bid or the bidder's performance under this contract.

The bidder on this work acknowledges these facts and agrees that it is in the public interest to have the work of certain contracts and agencies performed concurrently rather than consecutively. The bidder further agrees to cooperate and coordinate the work with that of other contractors or agencies to the mutual interest of all parties doing work in the project area, whether by contract with the State, County, or City or necessary work being done by governmental agency or utility force.

By the submission of a bid on this work, the bidder acknowledges and agrees that investigation and inquiry has been made regarding the contracts for work with which this work must be coordinated.

In the event disputes arise between contractors or other agencies, or both, doing work on the project as to their mutual rights or obligations, the Contracting Authority or its authorized representative will, when requested to do so or the Contracting Authority's own motion, act as referee and define the rights of all interested parties with regard to the conduct of the work, which decision shall be final as provided in Article 1105.01.

If a prospective bidder, for a proposal for which the Department is accepting bids, is in doubt as to the true meaning of any part of the contract documents, the bidder may submit to the Contracts Engineer a request for additional information, explanations, or interpretations. Interpretations may be in the form of an addendum to the contract documents. The Contracting Authority will not be responsible for any information, explanation, or interpretation from any other source.

1102.10 IRREGULAR PROPOSALS.
Proposals will be considered irregular and may be rejected for any unauthorized changes in the proposal form or for any of the following reasons:

A. If on a form other than that furnished by the Contracting Authority, or if the form is altered or any part thereof is detached,

B. If there are unauthorized additions, conditional or alternate bids, or irregularities of any kind which may tend to make the proposal incomplete, indefinite, or ambiguous as to its meaning,

C. If the bidder adds any provisions reserving the right to accept or reject an award because of being low bidder on another proposal in the same letting,

D. If the bidder adds any provisions reserving the right to accept or reject an award or to enter into contract pursuant to an award,

E. If a bid on one proposal is tied to a bid on any other proposal, except as specifically authorized on the proposal form by the Contracting Authority,

F. If the proposal does not contain a unit price for each pay item listed, except in the case of authorized alternate pay items.

1102.11 PROPOSAL GUARANTY.
Each proposal shall be supported by a proposal guaranty in the form and amount prescribed in the proposal. Bids not so supported will not be read.

The proposal guaranty shall be in the form of a certified check or credit union certified share draft, cashier's check, money order, or bank draft drawn on a solvent bank or credit union. Certified checks or credit union certified share drafts shall bear an endorsement signed by a responsible official of such bank or credit union as to the amount certified. Cashier's checks, money orders, or bank drafts shall be made payable either to the Contracting Authority or to the bidder and, where made payable to the bidder, shall contain an unqualified endorsement to the Contracting Authority signed by the bidder or the bidder's authorized agent. Certified checks and credit union share drafts shall be certified, or the cashier's check shall be drawn and endorsed, in an amount not less than prescribed in the proposal.

A "Contractor's Bid Bond" (Form 650001) may be used for the proposal guaranty in lieu of that specified above. Bid bonds will be declared invalid and bid proposals will not be considered if any of the following items are omitted or incorrect:

Date of Letting
Bid Order Number
Name of Contractor
Original Signature of Contractor: In case of joint venture bid, all contractors must sign.
Name of the Surety Company
Original Signature of Surety (if Surety's limitation is less than the amount of the bid bond, a certificate of reinsurance must be attached).

A Contractor's Annual Bid Bond (Form 650043) may also be used for the proposal guaranty in lieu of that specified above. The Annual Bid Bond shall contain the following items:

1102.18 SPECIFIC AFFIRMATIVE ACTION RESPONSIBILITIES ON NON-FEDERAL-AID PROJECTS (TARGETED SMALL BUSINESS PROJECT PARTICIPATION).
Affirmative Action (AA) requirements are to encourage and increase participation of disadvantaged individuals in business enterprises in all state projects involving funds made available through the Department. This is required by Iowa Code Section 19B.7 and 541 Iowa Administrative Code Chapter 4. On projects let by the Department, funded in whole or in part by state funds, these requirements supersede all existing Targeted Small Business (TSB) enterprise regulations, orders, circulars, and administrative requirements.

TSB Directory information is available from:

Office of Contracts
Iowa Department of Transportation
800 Lincoln Way
Ames, IA 50010
Ph. (515) 239-1422

A. Targeted Small Business.
A TSB is a small business, defined by Iowa Code Section 15.102(4), which is 51% or more owned, operated, and actively managed by one or more women or minority persons. Generally this is a for-profit small business enterprise under single management, which is located in Iowa.

B. Contractor's TSB Policy.
The Contractor is expected to promote participation of disadvantaged individuals in business enterprises as suppliers, manufacturers, and subcontractors through a continuous, positive result oriented program. The following statement should be included in the Contractor's operating policy:

It is the policy of this firm that TSB concerns, as defined in Iowa Code Section 19B.7 and 541 Iowa Administrative Code Chapter 4, shall have the maximum practical opportunity to participate in contracts funded in whole or in part by state funds through this firm (e.g. suppliers, manufacturers, and subcontractors).

The purpose of the Contractor's policy is to encourage and increase participation by TSBs in contracting opportunities made available by this firm in the performance of contracts let by the Department.

C. Positive TSB Effort Documentation.
Contractors are required to make positive efforts in utilizing TSBs on all non-Federal-aid projects let by the Department. The Contractor shall document all efforts made to include TSB participation in these projects. The documentation shall remain in the Contractor's project files for a period of 3 years after the completion of the project and be available, upon request, for examination by the Department.

On proposals where a specific TSB goal has been established, the Contractor will be required to submit the TSB form with their bid. The TSB form will be provided by the Contracting Authority and used to document the TSB participation that shall be attained. The Contracting Authority will determine if the bidder has made adequate Good Faith Effort to meet the established goal. Bidders who fail to make such Good Faith Effort may have their bid rejected on the basis of being non-responsive to meeting the established TSB goal.

1102.19 EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION REQUIREMENTS.
Equal Employment Opportunity (EEO) and Affirmative Action (AA) requirements will apply to all contracts let by the Department that equal or exceed $10,000.00. The requirements will also apply to any subcontracts that equal or exceed $10,000 if the subcontract involves a contract let by the Department.

On Federal-aid projects laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630, and 41 CFR 60), and orders of the Secretary of Labor, as modified by this specification and imposed pursuant to 23 U.S.C. 140, shall constitute the EEO/AA standards for the Contractor's company-wide activities for contracts let by the Department and for subcontracts involved in such contracts. The Equal Opportunity Construction Contract Specifications, set forth under 41 CFR 60-4.3, and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630, are both incorporated by reference in contracts and subcontracts utilized by the Department.

On non-Federal-aid projects the Iowa Civil Rights Act of 1965, as amended; current Iowa Administrative Rules; and Iowa Executive Order 15 shall constitute the specific EEO/AA standards for the Contractor's company-wide activities for contracts let by the Department and for subcontracts involved in such contracts.

A. Definitions.

1. Affirmative Action.
The efforts exerted toward achieving equal opportunity through positive, aggressive, and continuous result-oriented measures to correct past and present discriminatory practices and their effects on the conditions and privileges of employment. These measures include, but are not limited to, recruitment, hiring, promotion, upgrading, demotion, transfer, termination, compensation, and training.

Women and minorities are both considered disadvantaged persons. They are however considered distinct and separate groups in regard to employer's good faith recruitment efforts.

2. Equal Employment Opportunity.
In hiring and employment practices, the absence of discrimination on the basis of race, religion, sex, color, national origin, age, disability, or other protected classification under Federal, state, or local law.

3. Journey-Worker.
A trained worker who is capable of performing all duties within a given job classification or craft.

4. Minority.
A citizen or lawful permanent resident of the United States and who is a member of one of the following racial groups:

a. Black: All persons having origins in any of the Black racial groups not of Hispanic origin.

b. Hispanic: All persons of Mexican, Puerto Rican, Cuban, Central or South American, or any other Spanish culture or origin, regardless of race.

c. Asian or Pacific Islanders: All persons having origins in any of the original peoples of the Far East, Southeast Asia, or the Pacific Islands. This area includes, for example, China, Japan, Korea, the Philippine Islands, and Samoa.

d. American Indian or Alaskan Native: All persons having origins in any of the original peoples of North America.

5. New Hire.
A new hire is not a recall or a rehire, and was originally hired within the previous 12 months. It is not required that the new hire was originally hired for a contract let by the Department, but they shall have worked on a contract let by the Department within the previous 12 months.

6. Recall.
A person who, after being involuntarily laid off by a contractor, is re-employed by that same contractor when the layoff is no longer necessary. In addition, to be defined as a recall, at least one of the following two criteria must have been met during the layoff period:

a. The former employee must have had no employment with other heavy highway contractors.

b. The former employee's health insurance or pension plan must have been maintained by the re-employing contractor.

7. Rehire.
A person who, after voluntarily terminating employment with a contractor because of a change in working conditions or circumstances, returns to employment with the same contractor. In addition, to be defined as a rehire, at least one of the following two criteria must have been met during the period of severed employment:

a. The former employee must have had no employment with other heavy highway contractors.

b. The former employee's health insurance or pension plan must have been maintained by the re-employing contractor.

8. Segregated Facilities.
Employee facilities that are separated on the basis of race, religion, color, national origin, age, or disability either by explicit directive or by fact because of habit, local custom, or any other reason. Examples of such facilities include, but are not limited to, the following: waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, time clocks, locker rooms, storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities. The only exception to this definition is the provision of special accommodations, such as handicapped parking spaces, to make the workplace more accessible for those who are disabled.

9. Trainee/Apprentice.
A person receiving on-the-job training through a program approved or accepted by the United States Department of Labor, the FHWA, or the Department.

B. Contractor's/Subcontractor's EEO/AA Policy.
The Contractor/subcontractor, with the exception of manufacturers, suppliers, and hauling firms, shall have an EEO/AA policy approved by the Department prior to being awarded a contract or subcontract that equals or exceeds $10,000.00. The Contractor's/subcontractor's EEO/AA policy shall be re-approved on an annual basis through either the preparation or completion of a new EEO/AA policy or the review of an existing policy. When requesting re-approval under the latter option, the Contractor/subcontractor shall submit a written statement indicating that the existing policy has been reviewed. It shall further state that the policy is current with no revisions or, if revisions have been made, the revisions shall be signed and dated by their EEO/AA Officer and another company officer. The Contractor's/ subcontractor's EEO/AA policy shall also include the following items:

1. The EEO/AA Operating Statement.
"It is the policy of this Company to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age, or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, pre-apprenticeship, and/or on-the-job training."

2. Designation and Job Responsibilities of the Company's EEO/AA Officer.
The Contractor/subcontractor shall designate an EEO/AA Officer to be responsible for and capable of effectively administering and promoting the Contractor's/subcontractor's EEO/AA program. Adequate authority and responsibility shall also be assigned to the EEO/AA Officer in order to perform these duties.

3. Affirmative Action Recruitment Plan.
The Contractor's/subcontractor's Affirmative Action Recruitment Plan shall be designed to seek out and obtain applications from women and minorities for all job openings and promotions. The plan shall also include the following provisions:

a. At a minimum, the Contractor/subcontractor shall utilize one or more Iowa Workforce Development Centers or State Employment Services. When feasible, the Contractor/ subcontractor shall commence a recruitment effort no later than 1 month prior to the date on which a hiring decision will be made.

b. All solicitations and advertisements for employees, placed by or on behalf of the Contractor/subcontractor, shall include the notation: "An Equal Opportunity Employer."

4. Identification of Recruitment Methods.
When the Contractor/subcontractor is unable to obtain a reasonable flow of applications from women and minorities, the Affirmative Action Recruitment Plan shall identify specific methods used to exhaust all possible avenues of recruitment. Such methods may include:

a. Maintaining a list of the names and locations of publications that have a large circulation among minority groups in the area from which the workforce would normally be derived, and placing recruiting advertisements in these publications.

b. Utilizing public and private employee referral sources likely to yield applications from qualified women and minorities.

c. If unionized, a strategy for obtaining union referrals of women and minorities through the Contractor's/subcontractor's collective bargaining agreement. If the union is unable to provide the Contractor/subcontractor with a reasonable flow of referrals of women and minorities within the time limit set forth in the collective bargaining agreement or other contract or understanding, the Contractor/subcontractor will go through independent recruitment efforts. As part of those efforts, the Contractor/ subcontractor will attempt to obtain qualified, qualifiable, and/or trainable women and minorities, and will fill employment vacancies without regard to race, religion, sex, color, national origin, age, or disability.

d. A plan for encouraging present employees to recruit women and minorities.

e. Other specific actions the Contractor/subcontractor will take to ensure that a pool of woman and minority candidates is available from which to hire.

5. Facility Certification.
The Contractor/subcontractor shall certify that nonsegregated facilities are provided for their employees. In addition, certification shall state that no employee will be denied access to adequate facilities on the basis of sex or disability. If the Contractor/ subcontractor provides employees with any facility that is segregated, work at the site with the segregated facility may be suspended.

C. Training and Promotion Plan.
If the Contractor/subcontractor is planning to provide any training, the Contractor/subcontractor shall have a training and promotion plan. If the Contractor/subcontractor does not have a training and promotion plan, the Contractor's/subcontractor's EEO/AA policy shall state there is no plan. The Contractor/subcontractor shall have a plan, however, if they later decide to provide training for new or existing employees. Any training and promotion plan that is required shall include the following:

This training specification supplements subparagraph 7e of the Contract Provision entitled "Standard Federal Equal Opportunity Construction Contract Specification (Executive Order 11246)" and is in implementation of 23 U.S.C. 140(a).

The Contractor shall provide on-the-job training aimed at developing full journeymen in the type of trade or job classification involved.

As part of the Contractor's equal employment opportunity affirmative action program, the Contractor, shall provide training to a prescribed number of trainees. Training new and existing employees for the purpose of promotion is to be considered a part of doing business with the Department. No reimbursement payment will be made to the Contractor.

The number of trainees required shall be determined by the Contractor. The number of trainees will be determined by using the previous 3 year average of work actually performed by the Contractor including all prime and sub contract work with the Department. The Contractor shall provide the following number of trainees while under contract with the Department:

Under $4,999,999	No trainee requirement
$5,000,000 to $9,999,999	1 trainee
$10,000,000 to $19,999,9992	2 trainees
$20,000,000 to $29,999,9993	3 trainees
$30,000,000 or more	4 trainees

These training requirements are minimums and the Contractor is encouraged to have more than the minimum.

Completion of this required training shall be the responsibility of the Contractor and shall not be assigned to a Subcontractor.

This information may be verified by the Department.

1. Work Classifications.
The number of trainees shall be distributed among the work classifications on the basis of the Contractor's needs and the availability of journeymen in the various classifications within a reasonable area of recruitment. The Contractor will be credited for each trainee employed on the contract work, who is currently enrolled or becomes enrolled in an approved program.

2. Minorities and Women.
Training and upgrading of minorities and women toward journeymen status is a primary objective of this training specification. Accordingly, the Contractor shall make every effort to enroll minority trainees and women by conducting systematic and direct recruitment through public and private sources likely to yield minority and women trainees to the extent that these persons are available within a reasonable area of recruitment. The Contractor shall be responsible for demonstrating the steps taken in pursuance of recruitment, prior to a determination of the Contractor being in compliance with this training specification.

3. Training.
An employee shall not be employed as a trainee in any classification in which an employee has successfully completed a training course leading to journeyman status or in which an employee has been employed as a journeyman. The Contractor shall satisfy this requirement by including appropriate questions in the employee application or by other suitable means. Regardless of the method used, the Contractor's records shall document the findings in each case.

The minimum length and type of training for each classification will be as established in the training program selected by the Contractor and approved by the Department. The Department will approve a program, if it is determined to meet the equal employment opportunity and affirmative action obligations of the Contractor and to qualify the average trainee for journeyman status in the classification concerned by the end of the training period. Furthermore, apprenticeship programs registered with the U. S. Department of Labor, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau and training programs approved but not necessarily sponsored by the U. S. Department of Labor, Manpower Administration, Bureau of Apprenticeship and Training, will also be considered acceptable provided it is being administered in a manner consistent with the equal employment and affirmative action obligations of Federal-aid highway construction contracts. Approval or acceptance of a training program shall be obtained from the Department prior to commencing work on the classification covered by the program.

It is the intention of these provisions that training is to be provided in the construction crafts rather than clerk-typists or secretarial-type positions. Training is permissible in lower level management positions, such as office engineers, estimators, etc., where the training is oriented toward construction applications. Training in the laborer classification may be permitted provided that significant and meaningful training is provided and is approved by the division office of the Federal Highway Administration. Some offsite training is permissible as long as the training is an integral part of an approved training program and does not comprise a significant part of the overall training.

4. Payment of Trainees.
On contracts with a predetermined wage rate, trainees must be paid at least the journeyman's wage unless the trainee is enrolled in an approved U.S. Department of Labor (DOL) training program. Trainees in approved U.S. DOL training programs shall be paid the appropriate rates approved by the U. S. DOL or Iowa DOT.

5. Compliance.
A Contractor's compliance will be based on the number of trainees completing a training program during the construction season.

A Contractor that fails to meet the determined number of trainees will be allowed the opportunity to show that a Good Faith Effort was made trying to meet the training requirement. If the Contractor fails to show that a Good Faith Effort was made in meeting the training requirement, the Contractor may be suspended from bidding projects with the Department.

6. Records.
The Contractor shall furnish the trainee a copy of the program the trainee will follow during the training. The Contractor shall provide each trainee with a certification showing the type and length of training satisfactorily completed.

The Contractor shall provide for the maintenance of records and furnish a report once per construction year documenting their performance under this training specification. The report shall be submitted to the Office of Contacts with the Annual Company Wide Report of Total Employment on All Federal and Non-Federal Projects Let By the Iowa Department of Transportation. This report shall include but is not limited to, names of trainees, job classifications, gender, ethnic background, future status with the company and hours of training received. The Office of Contracts may verify this information with the trainee.

a. Designation of Trainee and Promotional Job Classifications.
For each designated classification, the plan shall identify benchmarks specifying the types of work an employee will be doing after various intervals of time. For example, the plan might describe increasingly skilled levels of work to be performed after every 100 hours of training.

b. Notice of On-the-Job Training Programs and Training Entrance Requirements.
Methods to advise employees and job applicants of training programs and training entrance requirements.

c. Review of Training and Promotion Potential.
Methods to periodically review the training and promotion potential of women and minority employees, thus ensuring they have the opportunity to be upgraded.

d. Training Progress Review.
A method to routinely review the progress of each employee enrolled in training.

e. Maximum Trainee/Journey-Worker Ratio.
The maximum trainee/journey-worker ratio, by craft, that the Contractor/subcontractor intends to utilize; a maximum ratio of 1:3 is suggested.

D. Dissemination of Policy.
All members of the Contractor's/subcontractor's staff who are involved in the hiring, supervision, promotion, and discharge of employees shall be made knowledgeable of the Contractor's/subcontractor's EEO/AA policy. The following actions shall be taken as a minimum:

1. Periodic Review of Contractor's/Subcontractor's EEO/AA Policy.
Periodic meetings of supervisory and personnel office employees shall be conducted at least once every 6 months, at which time the Contractor's/subcontractor's EEO/AA policy and its implementation will be reviewed and explained. The meetings shall be conducted by the EEO/AA Officer.

2. Instruction of New Supervisory and Personnel Office Employees.
The EEO/AA Officer shall provide all new supervisory and personnel office employees with thorough instruction, covering all major aspects of the Contractor's/subcontractor's EEO/AA obligations, within 30 calendar days following the date they first reported for duty with the Contractor/subcontractor.

3. Instruction in Recruitment Procedures.
All personnel directly engaged in recruiting shall be instructed, by the EEO/AA Officer, in the Contractor's/subcontractor's procedures for locating and hiring women and minorities.

4. Employee Notification of EEO/AA Policies and Procedures.
The Contractor's/subcontractor's EEO/AA policy, as well as the procedures for its implementation, shall be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means.

5. Placement of EEO/AA Notices and Posters.
The Contractor shall place the following notices and posters on a bulletin board at the project site in areas readily accessible to employees and potential employees.

a. Notice provided by the Iowa DOT listing the names, addresses, and phone numbers of the Contractor and all approved subcontractors.

b. Form EEOC-P/E-1, stating "Equal Employment Opportunity is THE LAW".

c. Form FHWA-1022, regarding any false statement, false representation, false report, or false claim made in connection with any Federal or Federal-aid highway or related project.

d. Form FHWA-1495, regarding wage rate information for a Federal-aid highway project, required only if Davis/Bacon predetermined wage rates apply to the project.

e. Current Iowa Predetermined Wage Rate Decision, identifying Davis/Bacon predetermined wage rates for the State of Iowa. The wage rate decision shall be arranged on a bulletin board so that all wage rate and classification information is visible.

f. IOSH 30 Safety and Health Protection on the Job.

g. WH-1420 Your Rights Under the FMLA Act of 1993.

h. WH-1462 Notice: Employee Polygraph Protection Act.

i. Form FHWA-1495A (Spanish version of form FHWA-1495), stating "Informacion Sobre Escalas De Salarios Proyecto De Carretera Con Ayuda Federal", required only if Davis/Bacon predetermined wage rates apply to the project.*

j. Form EEOC-P/S-1 (Spanish version of form EEOC-P/E-1), stating "La Igualdad de Oportunidades De Empleo Es LA LEY".*

* These forms are not required, but it is strongly recommended that these two Spanish notices be posted whenever the company employs and/or anticipates receiving applications from those who speak Spanish.

All required postings shall be in place when work commences on a project and shall remain in place through completion of the project.

Progress payments to the Contractor will not be made until these notices and posters are displayed at the required site.

E. Personnel Actions.
Wages, working conditions, employee benefits, and personnel actions of every type including hiring, upgrading, promotion, transfer, demotion, layoff, and termination shall be made without regard to race, color, religion, sex, national origin, age, or disability. The following procedures shall be followed by the Contractor/subcontractors. The EEO/AA Officer may appoint a designee to perform these functions.

1. Periodic Inspection of Project Sites.
Project sites shall be periodically inspected by the EEO/AA Officer to ensure that there is no discriminatory treatment of project site personnel with regard to employee facilities and working conditions. The EEO/AA Officer shall document the dates of these inspections and provide the Contractor/subcontractor with a summary of the findings. The Contractor/ subcontractor shall promptly take corrective action where evidence of discriminatory treatment is found.

2. Periodic Evaluation of Wage Differentials.
Wage differentials within each job classification shall be periodically evaluated by the EEO/AA Officer to determine whether there are any discriminatory wage practices. The EEO/AA Officer shall document the dates of these evaluations and provide the Contractor/subcontractor with a summary of the findings. The Contractor/subcontractor shall promptly take corrective action where evidence of discriminatory treatment is found.

3. Periodic Review of Selected Personnel Actions.
Selected personnel actions shall be periodically reviewed by the EEO/AA Officer to determine whether there is evidence of discrimination. The EEO/AA Officer shall document the dates of these reviews and provide the Contractor/subcontractor with a summary of the findings. The Contractor/subcontractor shall promptly take corrective action where evidence of discriminatory treatment is found.

4. Review of Supervisors.
An annual review shall be conducted to discuss each supervisor's performance with regard to the Contractor's/subcontractor's EEO/AA policy. The review shall include a discussion of each supervisor's adherence to the provisions of that policy.

5. Investigation of Each Complaint, with Corrective Action if Necessary.
An investigation of each discrimination complaint shall be initiated within 14 calendar days following receipt of the complaint. If the investigation indicates that discrimination exists, which may affect persons other than the complainant, corrective action shall include the other persons in addition to the complainant. Upon completion of the investigation, the Contractor/subcontractor shall inform the complainant and each affected person of all their avenues of appeal.

F. Records and Reports.
A Contractor/subcontractor shall keep records to document compliance with the EEO/AA requirements. The records shall be retained for a period of 3 years following completion of the contract work, and shall be available for inspection, at reasonable times and places, by authorized representatives of the Department and the FHWA.

1. The Contractor/subcontractor shall keep records to document the following:

a. All of the Contractor's/subcontractor's efforts and progress toward locating, hiring, training, qualifying, and upgrading women and minorities. A detailed summary of these efforts and progress shall include a list providing the name, address, phone number, date of contact, and contact person of each referral source and each publication in which job vacancies were posted. In addition, dated copies shall be kept of all job orders, tear sheets, and newspaper ads, along with the specific job classification that was posted in each of these employment notices.

b. All company efforts and progress toward cooperating with unions, community organizations, and other recruitment sources for the purpose of increasing employment opportunities for women and minorities. A current file, providing the following information, shall also be maintained:

1) Name, address, and phone number of each woman and minority off-the-street applicant.

2) Name, address, and phone number of each woman and minority referred from a union, community organization, or other recruitment source.

3) The date on which action was taken with respect to each of the above individuals. If an individual was referred to the Contractor/subcontractor, but not employed by the Contractor/subcontractor, the reason(s) for not hiring the individual shall be documented. Similarly, if an individual was sent by the Contractor/subcontractor to a union hiring hall for referral, but not referred back to the Contractor/subcontractor by the union, the reason(s) for not making the referral shall be documented. Any additional actions taken with regard to either of these referrals shall also be documented.

c. Employment data, arranged both by race and sex within each race, for each of the following:

1) The number of individuals employed within each of the Contractor's/ subcontractor's job categories.

2) The number of individuals employed as apprentices in all of the Contractor's/subcontractor's job categories combined.

3) The number of individuals employed as on-the-job trainees in all of the Contractor's/subcontractor's job categories combined. The data shall be provided for any employee who worked on any Federal-aid project and any non-Federal-aid project let by the Department during the week of peak employment for the previous 12 months. A grid of these required kinds of data is illustrated on Form 650037 7-99 (Iowa PR-1391); see Article 1102.19, F, 2, b. The number of individuals employed as on-the-job trainees in all of the Contractor's/subcontractor's job categories combined. The data shall be provided for any employee who worked on any Federal-aid project and any non-Federal-aid project let by the Department during the week of peak employment for the previous 12 months. A grid of these required kinds of data is illustrated on Form 650037 7-99 (Iowa PR-1391); see Article 1102.19, F.

d. The name, race, sex, job classification, date of employment, and specific referral source(s) of each new employee utilized on any project let by the Department during the previous 12 months.

e. The name, race, sex, job classification, date of employment, date of last job change, hours worked during the previous 12 months, and current rate of pay of each employee utilized on any project let by the Department during the previous 12 months.

f. The name, race, and sex of each trainee and each employee who was terminated, transferred, demoted, or promoted while utilized on any project let by the Department during the previous 12 months. Records shall also include the dates for each of these actions, the previous and/or new job classifications, and the wage rates corresponding to those classifications.

g. The maximum trainee/journey-worker ratio, by craft, that was utilized on all projects let by the Department during the previous 12 months.

h. All meetings of supervisory employees that include a discussion, during the previous 12 months, of EEO/AA topics and requirements. Records shall also document the thoroughness of instruction explaining the company's EEO/AA obligations to new supervisory employees within 30 days of their hiring or promotion date. Documentation of all meetings and training sessions shall be dated and signed by those in attendance. It shall also identify the specific EEO/AA topics that were discussed.

i. The provision, for all personnel directly engaged in recruitment, of thorough instruction on the company's procedures for locating and hiring women and minorities. The instruction shall be given by the EEO/AA Officer within the past 12 months. Documentation of the instruction shall be dated and signed by those in attendance, and shall also include the specific EEO/AA topics that were discussed.

j. The provision of information regarding the Contractor's/subcontractor's EEO/AA policy and the company's procedures for implementing the policy. The information shall be provided to all employees. Documentation should include the name of each employee receiving the information, along with the method and date of its distribution.

k. All EEO/AA on-site inspections by the EEO/AA Officer, or designee, on projects let by the Department during the previous 12 months. Observations made during the inspection shall include the following: poster reviews; identification of segregated and non-segregated facilities; stated, observed, or overheard employee EEO/AA concerns; and the method(s) of addressing those concerns.

l. Periodic evaluation of wage differentials within each job classification utilized on projects let by the Department during the previous 12 months.

m. Periodic review of selected personnel actions(s) to determine whether there is evidence of discrimination on projects let by the Department during the previous 12 months.

n. All pending Equal Employment Opportunity Commission, Department of Justice, and local and state Human/Civil Rights Agency cases, including a copy of each complaint and a summary of the Contractor's/subcontractor's investigation into each complaint.

o. Initiation of an investigation into each complaint of discrimination within 14 calendar days of the receipt of each complaint.

2. The Contractor/subcontractor shall submit the following documentation to the Office of Contracts:

a. The Contractor's/subcontractor's EEO/AA policy, shall be submitted annually and include the following:

1) Age of the firm.

2) Annual gross receipts of the firm may be reported by designating the appropriate bracket below:

Less than $500,000

$500,000 - $1,000,000

$1 million - $2 million

$2 million - $5 million

$5 million - $10 million

$10 million - $20 million

$20 million - $50 million

over $50 million

b. Two annual reports, submitted in July of each year, which are titled "Federal-Aid Contractor's Annual Employment Report" and "Annual Company Wide Report of Total Employment on All Federal and Non-Federal Projects Let by the Iowa Department of Transportation." Report form numbers are 650038 7-97 (Iowa PR-1391) and 650039 5-97 (Iowa PR-1391), respectively. The reports shall provide employment data, arranged both by race and sex within each race, for each of the following:

1) The number of individuals employed within each of the Contractor's/ subcontractor's job categories.

2) The number of individuals employed as apprentices in all of the Contractor's/subcontractor's job categories combined.

3) The number of individuals employed as on-the-job trainees in all of the Contractor's/subcontractor's job categories combined.

The annual data shall be provided during the last week in July for any employee who worked on any Federal-aid project and any non-Federal-aid project let by the Department. A grid of these required kinds of data is illustrated on both of the required report forms.

c. Immediate notification that a union having a collective bargaining agreement, contract, or other understanding with the Contractor/subcontractor, has failed to refer to the Contractor/subcontractor a minority or woman who had been sent to the union hall by the Contractor/subcontractor for help in obtaining employment. The Office of Contracts shall also be notified if the Contractor's/ subcontractor's efforts to meet EEO/AA obligations have been impeded in any other way by a union referral process.

G. Non-compliance with EEO/AA Requirements.
Compliance with the Department's EEO/AA specifications and/or the Contractor's/subcontractor's EEO/AA policy will be enforced as follows:

1. Compliance through Informal Means, Including Conciliation and Persuasion.
If a Contractor/subcontractor is found to have violated the Department's EEO/AA specifications and/or the Contractor's/subcontractor's EEO/AA policy, reasonable efforts will be made, whenever possible, to secure the Contractor's/subcontractor's compliance through informal means, including conciliation and persuasion. Such efforts may require a written commitment by the Contractor/ subcontractor to correct violations through a plan of specified remedial actions.

a. Violations are considered to be either deficiencies or minor deficiencies. Any of the following is considered to be a deficiency, all other violations are considered to be minor deficiencies:

1) Hiring employees from another company.

2) Failure to engage in a good faith recruitment effort.

3) Failure to use training hours assigned to a project.

4) A finding of probable cause with regard to a civil rights complaint.

5) Failure to utilize project assigned training hours on contracts.

6) Refusal to submit an EEO/AA policy.

7) Refusal to allow access to premises for an on-site compliance review.

b. The form of written agreement utilized for correcting deficiencies is called a conciliation agreement, whereas the form of agreement for resolving minor deficiencies is called a letter of commitment. If a letter of commitment is violated, the violation may be corrected through either a conciliation agreement or an enforcement proceeding. Violation of a conciliation agreement may lead to either a notice to show cause or an enforcement proceeding.

2. Compliance through Enforcement Proceedings or a Notice to Show Cause.
If conciliation efforts are unsuccessful, administrative enforcement proceedings may be initiated or the Contractor/subcontractor may be issued a show cause notice. The show cause notice will require the Contractor/subcontractor to show, within 30 calendar days, why monitoring, enforcement proceedings, or other appropriate action to ensure compliance should not be instituted. Enforcement proceedings may lead to a written notice prohibiting the violations, requiring the Contractor/subcontractor to provide whatever remedies are appropriate, and/or imposing sanctions. Such sanctions may include withholding progress payments; termination of a contract, in whole or in part; or suspension for an indefinite or specified period of time.

3. Compliance with Executive Order 11246.
The Office of Federal Contract Compliance Programs, within the United States Department of Labor, is the only party having authority to determine enforcement of and compliance with Executive Order 11246 requirements incorporated in contracts and subcontracts utilized by the Department. Included among these requirements are the equal opportunity clause, contained in 41 CFR 60-1.4; the Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity, contained in 41 CFR 60-4.2; and (3) the Standard Federal Equal Employment Opportunity Construction Contract Specifications, contained in 41 CFR 60-4.3.