Section 3: Personnel and Safety Issues
Anchor: #i1004112Personnel Diversity and Equal Opportunity
FHWA policy found at 23 CFR 420.121 (m) states:
The nondiscrimination provisions of 23 CFR Parts 200 and 230 and 49 CFR Part 21, with respect to Title VI of the Civil Rights Act of 1964 and the Civil Rights Restoration Act of 1987, apply to all programs and activities of recipients, subrecipients, and contractors receiving FHWA planning and research funds whether or not those programs or activities are Federally funded.
TxDOT policy on employment practices to implement equal employment opportunities for all citizens and to encourage diversity of TxDOT staff has benefited the research program. TxDOT’s personnel policies may be found in the TxDOT Human Resources Manual.
The universities, by signature to the CRIA, agree to abide by the following non-discrimination provisions:
CRIA Article 22 – Equal Employment Opportunity
The UNIVERSITY agrees to comply with Executive Order 11246, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 and as supplemented by Department of Labor regulations (41 CFR Part 60).
The UNIVERSITY agrees to consider working with minority universities when the opportunity exists.
CRIA Article 23 – Affirmative Action
The UNIVERSITY warrants that it has developed and has on file appropriate affirmative action programs as required by applicable federal and state rules, regulations and laws.
CRIA Article 24 – Civil Rights
1. Compliance with Regulations: The UNIVERSITY shall comply with the regulations relative to nondiscrimination in federally-assisted programs of the U.S. Department of Transportation: Title 49, Code of Federal Regulations, Part 21; Title 23, Code of Federal Regulations, subchapter C, Title 41, Code of Federal Regulations, Part 60-74 as they may be amended periodically.
2. Nondiscrimination: The UNIVERSITY, with regard to the work performed during this agreement, shall not discriminate on the grounds of race, color, sex, national origin or disability in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The UNIVERSITY shall not participate either directly or indirectly in the discrimination prohibited by Title 23, Code of Federal Regulations, Subchapter C, and Part 60-741 of the Regulations, including employment practices when this agreement covers a program set forth in Appendix B of the Regulations.
3. Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by the UNIVERSITY for work to be performed under a subcontract, including procurements of materials or leases of equipment, each potential subcontractor or supplier shall be notified by the UNIVERSITY of the UNIVERSITY's obligations under this agreement and the Regulations relative to nondiscrimination on the grounds of race, color, sex, national origin, or disability.
4. Information and Reports: The UNIVERSITY shall provide all information and reports required by the Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the Texas Department of Transportation or the U.S. Department of Transportation to be pertinent to ascertain compliance with such Regulations or directives. Where any information required of the UNIVERSITY is in the exclusive possession of another who fails or refuses to furnish this information, the UNIVERSITY shall so certify to the Texas Department of Transportation or the U.S. Department of Transportation, whichever is appropriate, and shall set forth what efforts the UNIVERSITY has made to obtain the requested information.
5. Sanctions for Noncompliance: In the event of the UNIVERSITY's noncompliance with the nondiscrimination provisions of this agreement, the Texas Department of Transportation shall impose such sanctions as it or the U.S. Department of Transportation may determine to be appropriate, including but not limited to: withholding of payments to the UNIVERSITY under the agreement until the UNIVERSITY complies, and/or cancellation, termination, or suspension of the agreement in whole or in part.
6. Incorporation of Provisions: The UNIVERSITY shall include the provisions of paragraphs 1 through 5 in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Regulations or directives issued pursuant thereto. The UNIVERSITY shall take such action with respect to any subcontract or procurement as the Texas Department of Transportation may direct as a means of enforcing such provisions including sanctions for noncompliance; provided, however, that in the event a UNIVERSITY becomes involved in, or is threatened with litigation with a subcontractor or supplier as a result of such direction, the UNIVERSITY may request the Texas Department of Transportation to enter into such litigation to protect the interests of the State; in addition, the UNIVERSITY may request the United States to enter into such litigation to protect the interests of the United States.
Anchor: #i1004196Prohibition on Use of Debarred Persons or Institutions
23 CFR 420.121 precludes TxDOT and its subrecipients (i.e., universities, etc.) from using debarred persons or institutions in its research programs.
Anchor: #i1004206Debarment Certification in the Cooperative Research and Implementation Agreement
The university, by signing the CRIA, is precluded from using debarred persons or institutions:
CRIA Article 25 – Debarment Certification
The UNIVERSITY is prohibited from making any award or permitting any award at any tier to any party which is debarred or suspended or otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549, "Debarment and Suspension." The UNIVERSITY shall require any party to a subcontract or purchase order awarded under this Agreement as specified in 49 CFR Part 29 (Debarment and Suspension) to certify its eligibility to receive federal funds and, when requested by TxDOT, to furnish a copy of the certification. The UNIVERSITY shall certify compliance with the certification, attached as Attachment B, by signing the debarment certification.
CRIA Article 25 – Debarment Certification, Attachment B
(Negotiated Contracts)
(1) The UNIVERSITY SYSTEMcertifies to the best of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by any federal department or agency;
(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (1)(b) or this certification; and
(d) Have not within a three-year period preceding this application/proposal had one or more public transactions (federal, state, or local) terminated for cause or default.
(e) Have not been disciplined or issued a formal reprimand by any State agency for professional accreditation within the past three years.
(2) Where the UNIVERSITY SYSTEM is unable to certify to any of the statements in this certification, such UNIVERSITY SYSTEM shall attach an explanation to this certification.
Anchor: #i1004274Lobbying, Influence, and Gratuity
The universities, by signing the CRIA Agreement, agree not to offer gifts to TxDOT employees or to influence (lobby) a Federal employee:
CRIA Article 26 – Gratuity Provisions
UNIVERSITIES are expected, as a minimum, to follow their own ethics policies.
Texas Transportation Commission policy mandates that employees of TxDOT shall not accept any benefits, gifts, or favors from any person doing business or who reasonably speaking may do business with TxDOT under this Agreement. Any person doing business with TxDOT under this Agreement may not make any offer of benefits, gifts, or favors to TxDOT employees, except as otherwise may be permitted by law. Failure on the part of the UNIVERSITY to adhere to this policy may result in the termination of this Agreement.
CRIA Article 27 – Lobbying Certification
The UNIVERSITY shall comply with the "Lobbying Certification \ Disclosure Form" in federal aid agreements in excess of $100,000 or subcontracts in excess of $100,000, identified as Attachment A.
CRIA Article 27, Attachment A, Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies to the best of his or her knowledge and belief that:
(1) No federal appropriated funds have been paid or will be paid by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than federal appropriated funds have been paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclosure accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Anchor: #i1004336Roadway Safety
TxDOT and university personnel involved in research-related work are required to adhere to the TxDOT publication, Handbook of Safe Practices. All traffic-control practices and devices shall be in accordance with the Texas Manual on Uniform Traffic Control Devices for Streets and Highways (TMUTCD) and approved in advance by the TxDOT district where the work will be performed. No coordination with RTI is necessary.
CRIA Article 21 – Roadway Safety
The UNIVERSITY agrees to follow all safety rules while working on State rights of way as prescribed in TxDOT publication, “Handbook of Safe Practices." This includes the wearing of appropriate attire, such as hard hats, safety vests, and safety shoes. Copies of the publication are available from the Research and Technology Implementation Office.
Anchor: #i1004357Drug-free Workplace
TxDOT is required to certify to FHWA that it provides a drug-free workplace:
23 CFR 420.121(d) states:
In accordance with the provisions of 49 CFR Part 29, subpart F, State DOTs must certify to the FHWA that they will provide a drug-free workplace. This requirement can be satisfied through the annual certification for the Federal-aid highway program.