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HomeMy WebLinkAboutCounty of San Bernardino-2008-08 (2) • FOR COUNTY USE ONLY r X NeW Vendor Code �+^ Dept. _Cayract Alumbber 1 G. Change SC ECD A / I1lC/_/ 1Y11' Cancel County Department Dept. Orgn. Contractor's License No. Community Development and Housing ECD ECD County Department Contract Representative Telephone Total Contract Amount County of San Bernardino Patricia M. Cole, Deputy Admin. Officer (909)388-0808 N/A Adolphus Okeke, Section Chief (909) 388-0969 F A S _ _ _ Contract nType Revenue Encumbered Unencumbered LJ Other: Cooperation Agreement — CONTRACT TRANSMITTAL If not encumbered or revenue contract type,provide reason: Commodity Code Contract Start Date Contract End Date Original Amount Amendment Amount July 1, 2009 June 30, 2012 N/A N/A Fund Dept. Organization Appr. Obj/Rev Source GRC/PROD/JOB No. Amount Non-Metro SBA ECD ECD 200 2005 N/A 1 1 Project Name Estimated Payment Total by Fiscal Year FY 2009-10, 2010-11, 2011-12 FY Amount I/D FY Amount City-County Cooperation N/A Agreement CONTRACTOR City of Grand Terrace Federal ID No. or Social Security No. N/A Contractor's Representative Thomas J. Schwab, City Manager Address 22795 Barton Road, Grand Terrace, CA 92313-5207 Phone (909) 824-6621 Nature of Contract: (Briefly describe the general terms of the contract) The County of San Bernardino is in the process of qualifying for the next threw-yap (Fiscal Years 2009-2010, 2010-2011, 2011-2012) of Community Development Block Grant (CD ) ffUtrefent funding as an Urban County. The attached Cooperation Agreement is required by th@@ . -epartment of Housing and Urban Development (HUD) in order to include the City of Grand Terrace s''a\participant in the County's CDBG program. It allows the City's population statistics to be used by HUD tQQ cAlcalate the County's grant amount for each of the next three years. The Cooperation Agreement uljll'iFespap]nage, which has, been prescribed by HUD. Once entered, the Cooperation Agreement will remain reffect for the full three-�,�a''Sperio RECEIVED �,� > JUL 03 2000 The attached Contract consists of 6 pages arfd�i�ejNb l �,. CITY OF GRAND TERRACE rt1�' TT.1it ?- ',ICI PRK'S DEPARTMENT (Attach this transmittal to all contracts not p epared<on the "Standard Contract"form.) A proved as t Legal Form(sign in blue ink) gevl$vled`A^slo Contract Compliance pfes me _ not re County Couns/ Depart ent Head/r/� Date 1 t K' Date 6 -ia- o Date ✓ -70 -4(4 Auditor/Controller-Recorder Use On[ COOPERATION AGREEMENT FOR COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS FOR FISCAL YEARS 2009-2010,2010-2011,2011-2012 This Agreement is made and entered into this day of , 2008, by and between the County of San Bernardino, of the State of California, hereinafter referred to as "COUNTY", and the City of Grand Terrace, a City within COUNTY,hereinafter referred to as "CITY". WHEREAS, the Housing and Community Development Act of 1974, as amended (Public Law 93-383), hereinafter called "ACT", provides that Community Development Block Grant, hereinafter referred to as "CDBG", funds may be used for the support of activities that provide decent housing and suitable living environments and expanded economic opportunities principally for persons of low-and moderate-income; and, WHEREAS, CDBG regulations require counties to re-qualify as an Urban County under the CDBG program every three years; and, WHEREAS, U.S. Department of Housing and Urban Development (HUD) notice CPD-07-03, provides instruction for Urban County Qualification for participation in the CDBG program for fiscal years 2009-2010, 2010-2011,2011-2012, and specific agreement term and standards; and, WHEREAS, the execution of this Agreement is necessary to include CITY as a participating unit of general government under COUNTY's Urban County CDBG program. NOW THEREFORE, in consideration of the mutual covenants herein set forth and the mutual benefits to be derived therefrom, the parties agree as follows: 1. GENERAL This Agreement gives COUNTY authority to undertake or assist in undertaking activities for Fiscal Years 2009-2010, 2010-2011, and 2011-2012, which will be funded from the CDBG program, the HOME Investment Partnership Program, and from any program income generated from the expenditure of such funds. COUNTY and CITY agree to cooperate to undertake, or assist in undertaking community renewal and lower income housing assistance activities. By executing this Agreement, CITY understands that it may not apply for grants under the Small Cities or State CDBG Programs from appropriations for fiscal years during the term of this Agreement, and CITY may not participate in a HOME consortium other than COUNTY HOME program regardless of whether COUNTY receives a HOME formula allocation. 2. TERM The term of this Agreement shall be for no less than the COUNTY CDBG Urban County qualification period for fiscal year 2009-2010, commencing on July 1, 2009, and extending through fiscal year 2011- 2012, which ends on June 30, 2012, unless an earlier date of termination is fixed by the Department of Housing and Urban Development,hereinafter called HUD,pursuant to ACT. This Agreement shall remain in effect until all CDBG (and HOME, where applicable) funds covered under the terms of this Agreement, and any income generated from the expenditure of such funds, are expended, and the funded activities are completed. This Agreement may not be terminated or withdrawn by the parties herein covenanted for any circumstance or reason during the term of this Agreement. Page 1 of 6 3. PREPARATION OF APPLICATION COUNTY, by and through its Department of Community Development and Housing, subject to approval of COUNTY Board of Supervisors, shall be responsible for preparing and submitting to HUD all necessary applications for the CDBG entitlement grant under ACT. This duty shall include the preparation and processing of COUNTY Housing, Community and Economic Development Needs Identification Report, Citizen Participation Plans, the County Consolidated Plan, and other CDBG related programs which satisfy the application requirements of ACT and its regulations. 4. COMPLIANCE WITH FINAL PROGRAMS AND PLANS COUNTY and CITY shall comply in all respects with final Community Development plans and programs and the Consolidated Plan which are developed through mutual cooperation pursuant to the application requirements of ACT and its regulations and approved by HUD. 5. COMPLIANCE WITH ACT AND REGULATIONS COUNTY and CITY shall comply with all applicable requirements of ACT and its regulations, in utilizing basic grant funds under ACT, and shall take all actions necessary to assure compliance with COUNTY certifications required by Section 104(b) of Title I of ACT. COUNTY and CITY will comply with the provisions of the National Environmental Policy Act of 1969, Title VI of the Civil Rights Act of 1964, Title VIII of the Civil Rights Act of 1968, Executive Order 11988, Section 109 of Title I of ACT, the Fair Housing Act, and other applicable federal laws. CITY agrees that CDBG funding for activities in or in support of CITY are prohibited if CITY does not affirmatively further fair housing within its own jurisdiction or impedes COUNTY actions to comply with its fair housing certification. 6. CONFLICT OF INTEREST CITY shall comply with all applicable federal and state laws,regulations and policies governing conflict of interest, including State conflict of interest regulations found in California Government Code Sections 1090, 1126, 87100 et seq., Federal conflict of interest regulations found in 24 CFR 570.611, 85.36, and 84.42,and any other applicable policies,rules and regulations related to conflict of interest. Any person who is an employee, agent, consultant, officer, elected or appointed official of the CITY, who exercises any functions or responsibilities with respect to CDBG-funded activities identified in this Contract and who is in a position to participate in a decision making process or gain inside information with regard to activities identified in this Contract, may not obtain a financial interest or benefit from the CDBG-assisted activities identified in this Contract or any related contract, subcontract, or agreement, either for themselves, an immediate family member or business partner, during his/her tenure. CITY shall maintain written standards of conduct governing the performance of their employees engaged in the award and administration of contracts. 7. POLICIES CITY has adopted and is enforcing a policy prohibiting the use of excessive force by law enforcement agencies within its jurisdiction against any individuals engaged in non-violent civil rights demonstrations; and a policy of enforcing applicable state and local laws against physically barring entrance to or exit from a facility or location which is the subject of such non-violent civil rights demonstrations within jurisdictions. 8. INDEMNIFICATION CITY agrees to indemnify, defend and hold harmless COUNTY and its respective authorized officers, employees, agents and volunteers from any and all claims, actions, losses, damages, and/or liability arising out of this Contract from any cause whatsoever, including the acts, errors or omissions and for any costs or Page 2 of 6 expenses incurred by COUNTY on account of any claim therefore, except where such indemnification is prohibited by law. CITY shall indemnify and hold harmless COUNTY and its respective authorized officers, employees, agents and volunteers from any liability, claims, losses, demands, and actions incurred by COUNTY as a result of the determination by HUD or its successor that activities undertaken by CITY under the program(s) fail to comply with any laws, regulations or policies applicable thereto or that any funds billed by and disbursed to CITY under this Agreement were improperly expended. COUNTY shall, at its own cost and expense, defend, indemnify, and hold CITY, its officers, agents, volunteers, and employees, harmless from and against any loss, liability, claim, or damage that may arise from negligent act or omission by COUNTY, its officers, agents, and employees. 9. INSURANCE REQUIREMENTS Without, in any way affecting the indemnity herein provided and in addition thereto, CITY shall secure and maintain throughout the Contract the following types of insurance with limits as shown: - Workers' Compensation - A program of Workers' Compensation insurance or a State-approved Self Insurance Program in an amount and form to meet all applicable requirements of the Labor Code of the State of California, including Employers' Liability with $250,000 limits, covering all persons providing services on behalf of CITY and all risks to such persons under this Contract. If CITY has no employees, it may certify or warrant to COUNTY that it does not currently have any employees or individuals who are defined as "employees" under the Labor Code and the requirement for Workers' Compensation coverage will be waived by the County's Risk Manager. With respect to contractors that are non-profit corporations organized under California or Federal law, volunteers for such entities are required to be covered by Workers' Compensation insurance. If the County's Risk Manager determines that there is no reasonably priced coverage for volunteers,evidence of participation in a volunteer insurance program may be substituted. Comprehensive General and Automobile Liability Insurance - This coverage is to include contractual coverage and automobile liability coverage for owned, hired, and non-owned vehicles. The policy shall have combined single limits for bodily injury and property damage of not less than one million dollars($1,000,000). - Errors and Omissions Liability Insurance -Combined single limits of$1,000,000 for bodily injury and property damage and$ 3,000,000 in the aggregate. - Professional Liability - Professional liability insurance with limits of at least$1,000,000 per claim or occurrence. Additional Insured - All policies, except for Workers' Compensation, Errors and Omissions and Professional Liability policies, shall contain additional endorsements naming COUNTY and its officers, employees, agents, and volunteers as additional insured with respect to liabilities arising out of the performance of services hereunder. Waiver of Subrogation Rights - Except for Errors and Omissions and Professional Liability, CITY shall require the carriers of the above required coverage to waive all rights of subrogation against COUNTY, its officers, employees, agents, volunteers, contractors and subcontractors. Policies Primary and Non-Contributory - All policies required above are to be primary and non- contributory with any insurance or self-insurance programs carried or administered by COUNTY. Page 3 of 6 10. PROOF OF COVERAGE CITY shall immediately furnish certificates of insurance to the County Department of Community Development and Housing,hereinafter referred to as "CDH", evidencing the insurance coverage, including endorsements above required, prior to the commencement of performance of services hereunder, which shall provide that such insurance shall not be terminated or expire without thirty(30) days written notice to CDH, and CITY shall maintain such insurance from the time CITY commences performance of services hereunder until the completion of such services. Within sixty (60) days of the commencement of this Contract, CITY shall furnish certified copies of the policies and all endorsements. CITY shall complete and submit Contract Exhibit I of 1, INSURANCE INVENTORY, along with the above-required insurance documents. 11. INSURANCE REVIEW The above insurance requirements are subject to periodic review by COUNTY. The County's Risk Manager is authorized, but not required, to reduce or waive any of the above insurance requirements whenever the Risk Manager determines that any of the above insurance is not available, is unreasonably priced,or is not needed to protect the interests of COUNTY. In addition, if the Risk Manager determines that heretofore unreasonably priced or unavailable types of insurance coverage or coverage limits become reasonably priced or available, the Risk Manager is authorized, but not required, to change the above insurance requirements, to require additional types of insurance coverage or higher coverage limits, provided that any such change is reasonable in light of past claims against COUNTY,inflation, or any other item reasonably related to the COUNTY's risk. Any such reduction or waiver for the entire term of the Contract and any change requiring additional types of insurance coverage or higher coverage limits must be made by amendment to this Contract. CITY agrees to execute any such amendment within thirty(30) days of receipt. 12. DISPOSITION OF FUNDS Unless prohibited by Federal Regulations, COUNTY and CITY agree that, to the extent possible, CDBG funds will be allocated by COUNTY to CITY according to its proportional demographics, for activities and/or projects prioritized by CITY to alleviate its identified community development needs eligible under ACT. COUNTY, by its Board of Supervisors, shall be responsible for determining the final disposition and distribution of all funds received by COUNTY under ACT, and for selecting the projects for which such funds shall be used. Both parties agree that COUNTY has the authorization to redistribute such funds when said projects are not implemented in a timely manner as defined by HUD. 13. DISPOSITION OF PROGRAM INCOME CITY shall inform COUNTY regarding any income generated by the expenditure of CDBG funds received by CITY. All said income shall promptly be paid to COUNTY or retained by CITY subject to authorization by COUNTY for CITY use of said income for eligible activities in accordance with all CDBG requirements as may then apply. COUNTY shall be responsible for monitoring and reporting to HUD on the use of any such program income thereby requiring appropriate record keeping and reporting by CITY as may be needed for this purpose. In the event of CDBG close-out or change in status of CITY under the CDBG program, any program income that is on hand or received subsequent to the close-out or change in status shall be paid to COUNTY. Any income generated from the disposition or transfer of real property prior to any such close out or change of status shall be treated the same as program income. Any income generated from the disposition or transfer of real property subsequent to any such close-out or change of status shall promptly be paid to COUNTY. Page 4 of 6 • 14. DISPOSITION OF REAL PROPERTY The provision of this section set forth the standards which shall apply to real property acquired or improved in whole or in part using CDBG funds that are within the control of CITY. Prior to any modification or change in the use of said real property from the use or ownership planned at the time of its acquisition or improvements, CITY shall notify COUNTY and obtain authorization for said modification or change. CITY shall reimburse COUNTY with non-CDBG funds in an amount equal to the current fair market value (less any portion thereof attributable to expenditures of non-CDBG funds) of property acquired or improved with CDBG funds that is sold or transferred for a use, which does not qualify under CDBG regulations. 15. EFFECTIVE DATES This Agreement shall be effective for all purposes when this Agreement and like agreements have been executed by COUNTY and CITY,properly submitted to HUD,the grantor,by the designated deadline, and approved by HUD. (continued on next page) // /// /// /// // /// // /// /// /// /// // /// /// /// /// /// Page 5 of 6 16. OTHER AGREEMENTS Pursuant to federal regulations at 24 CFR 570.501(6), CITY is subject to the same requirements applicable to subrecipients, including the requirement of a written agreement set forth in federal regulations at 24 CFR 570.503. COUNTY and CITY will enter into a further written agreement that contains these minimum requirements. Prior to disbursing any CDBG funds to CITY, COUNTY, shall execute said written agreement with CITY. Said agreement shall remain in effect during any period that CITY has control over CDBG funds, including program income. IN WFTNESS WHEREOF, the parties have caused this Agreement to be executed as of the day and year written above. COUNTY OF SAN BERNARDINO CITY OF GRAND TERRACE By: et, . .�Gvi�i�P�. PAUL BIA Chairman MAR A FERRE Board of Supervisors Title: Mayor APPROVED AS TO FORM. THE TERMS AND Dated: 05/27/2008 PROVISIONS OF THIS AGREEMENT ARE FULLY AUTHORIZED UNDER STATE AND LOCAL LAW AND THIS AGREEMENT PROVIDES FULL LEGAL ATTEST AUTHORITY FOR COUNTY TO UNDERTAKE OR n ASSIST IN UNDERTAKING ESSENTIAL By: _L��(,,<2�UA/1t J COMMUNITY DEVELOPMENT AND HOUSING BRENDA ME `TRACE! MARTI ASSISTANCE ACTIVITIES, SPECIFICALLY URBAN RENEWAL AND PUBLICLY ASSISTED Title: Deputy City Clerk HOUSING. Dated: 05/27/2008 By: , MICHELLt EMORE APPROVED AS TO FORM Deputy County • el for CDH ` {�-`�'AI, I I` SIGNED AND CERTIFIED THAT A COPY OF By: �-^-'1,•\ 1 ` THIS DOCUMENT HAS BEEN DELIVERED TO JOHN R. HARP Oil.ty Attorney THE CHAIRMAN OF THE BOARD f/ • pt *CI'FNt • Dated: 5'2-7/D DENA .... al� '• Clerk o awy • of the fount gf.tgap,Bernafdtp. BY: n �44 '_�' �Y.� COMDEV\CONSTRUCT DOCS\Cooperation Agmts\Coop Agmewnents 2009-2012\2009-12 GRAND TERRACE Coop Agmt(non-metro).doe 00/09/08/A0/cb Page 6 of 6 EXHIBIT 1 of 1 COUNTY OF SAN BERNARDINO DEPARTMENT OF COMMUNITY DEVELOPMENT AND HOUSING Project/Activity Title: Case Number: Cooperation Agreement for Community Development Block Grant Funds for Fiscal Years 2009-2010, 2010-2011, 2011-2012 Name/Address of Contractor Agency: Date of Issue: City of Grand Terrace 22795 Barton Road Original: Beginning Grand Terrace,CA 92313-5207 Amendment# INSURANCE INVENTORY WORKERS' COMPENSATION/EMPLOYER'S LIABILITY INSURANCE Name of Insurance Company: Effective Dates: Employer's Liability Limit$ Certificate of Insurance Attached Yes No: On File w/CDH COMPREHENSIVE GENERAL AND AUTOMOBILE LIABILITY INSURANCE Name of Contractor's General Insurance Company: Limits of Liability Effective Dates: Per Occurrence $ Additional Insured Endorsement Attached Yes No: On File w/CDH Annual Aggregate$ Certificate of Insurance Attached Yes No: On File w/CDH Name of Contractor's Automobile Liability Insurance Company: Limits of Liability Effective Dates: Per Occurrence $ Additional Insured Endorsement Attached Yes No: On File w/CDH Annual Aggregate$ Certificate of Insurance Attached Yes No: On File w/CDH ERRORS AND OMISSIONS LIABILITY INSURANCE Name of Contractor's Insurance Company Limits of Liability Effective Dates Per Occurrence $ Additional Insured Endorsement Attached Yes No: On File w/CDH Annual Aggregate$ Certificate of Insurance Attached Yes No: On File w/CDH PROFESSIONAL LIABILITY INSURANCE Name of Contractor's Insurance Company Limits of Liability Effective Dates Per Occurrence$ Additional Insured Endorsement Attached Yes No: On File w/CDH Annual Aggregate$ Certificate of Insurance Attached Yes No: On File w/CDH Page I of I ATTACHMENT A-REQUEST TO INITIATE PROJECT/ACTIVITY PROJECT NUMBER: DATE OF ORIGINAL ISSUE: CASE NUMBER: ORIGINAL: REVISION No: TARGET AREA: DATE OF REVISION: Pursuant to the terms of the Delegate Agency Agreement between the Department of Community Development and Housing(CDH), and the City ,dated , CDH hereby requests that the following project/activity be initiated. There will be no changes in Project/Activity Title, Activity Budget (Attachment A) or in the Activity Description (Attachment B)without written approval of the Director of the Department of Community Development and Housing. PROTECT/ACTIVITY TITLE: ACTIVITY LOCATION: TOTAL PROJECT FUNDING: $ CITY CDBG ALLOCATION RELEASED: $ CITY CDBG FUNDS EXPENDED AS OF: $ DATE OF RELEASE OF FUNDS: BALANCE OF FUNDS AVAILABLE: $ SCHEDULE OF CITY CDBG ALLOCATION: Year 1-31 Year 32 Year 33 Year 34 Year 35 Year 36 Year 37 Act# Act# Act# Act# Act# Act# Act# TOTAL OF (75-2006) (2006-07) (2007-08) (2008-09) (2009-10) (2010-11) (2011-12) 37 YEARS MAINTENANCE AND OPERATION BUDGET/AGREEMENT: OTHER PERTINENT INFORMATION: ACCEPTANCE OF REQUEST TO INITIATE PROJECT/ACTIVITY I hereby acknowledge the receipt of the Request to Initiate the above Project/Activity and agree to implement the activity described in Attachment B (Project/Activity Description) in accordance with the above Allocation and Balance of Funds Available subject to necessary approvals of the Board of Supervisors. The proposed budget for this project is as follows: LAND ACQUISITION: $ -0- PURCHASE OF EQUIPMENT: $ -0- STAFF COST RELATED CONSTRUCTION COST: $ TO LAND ACQUISITION: $ -0- CITY STAFF COST: $ DESIGN: $ CONTINGENCY: $ CONSULTANT SERVICES: $ TOTAL CITY CDBG ALLOCATION AVAILABLE: $ IMPLEMENTING CITY: DATE: SIGNATURE: TITLE: COUNTY OF SAN BERNARDINO , DIRECTOR DATE: DEPARTMENT OF COMMUNITY DEVELOPMENT AND HOUSING • ATTACHMENT B-PROJECT/ACTIVITY DESCRIPTION PROJECT NUMBER: DATE OF ORIGINAL ISSUE: CASE NUMBER: ORIGINAL: REVISION No: TARGET AREA: DATE OF REVISION: PROJECT/ACTIVITY TITLE: ACTIVITY LOCATION: ACTIVITY DESCRIPTION: IMPLEMENTING CITY: DATE SIGNATURE TITLE DEPARTMENT OF COMMUNITY DEVELOPMENT AND HOUSING DIRECTOR DATE Attachment C COUNTY OF SAN BERNARDINO DEPARTMENT OF COMMUNITY DEVELOPMENT AND HOUSING DELEGATE AGENCY COORDINATION PROCEDURES Introduction The following procedures identify the actions, responsibilities, and sequence of events for Community Development Block Grant, hereinafter referred to as "CDBG", funded projects being implemented by a coordinated effort between the San Bernardino County Department of Community Development and Housing, hereinafter referred to as "CDH," and the Delegate Agency, hereinafter referred to as "DA". For each action or event listed in Section III of this attachment, the entity responsible for carrying out that action or event is referenced beside it. Section IV contains regulations and statutes applicable to CDBG funded activities. II. Authorization to Proceed The Delegate Agency is not authorized to expend funds or to initiate CDBG projects until authorized to do so in writing by CDH. Contract procurement shall be governed by all Federal regulations and statutes, as amended, listed in Section IV of the Attachment. CDH payments of DA Requests for Reimbursement will be subject to DA submittal of a complete reimbursement report package as listed in Section III, D-20. A. Project/Activity Budget Each project activity is initiated by an Attachment "A". The Attachment "A" is released when the project/activity is ready to be implemented and subsequent to environmental clearance and release of funds from HUD. It specifies the total funding allocation for the project/activity, the portions currently released and available to expend, the budget categories, the allocation will be expended under, and the entity responsible for maintenance and operation of the completed project. In accepting the Attachment "A" the DA is to complete an estimated budget showing the allocation distribution to design costs, staff costs, construction costs, etc. This breakdown may also include a contingency or inflation factor not to exceed 10% of the total activity allocation. B. Activity Description The activity description is forwarded to the DA as Attachment "B". The preparation of the project description, both preliminary and final, is the responsibility of the CDH Community Development Division. The Description should be specific enough for use as the scope of work funded by CDBG money in a Request for Proposal (RFP) for architectural or engineering services or for a vendor in preparing a bid. It will contain, but is not limited to the following: 1. Title of Project/Activity 2. Activity Number 3. Specific site description 4. On- and off-site improvement description 5. Size of building 6. Fixtures list(such as stove, built-in equipment) 7. Water and sewer requirements 8. Utilities Page 1 of 8 9. Specific zoning and planning requirements 10. Specific uses of the site and/or building 11. Equipment 12. Functions Approval to change the project/activity description will come from CDH in the form of a revised Attachment"B" (and corresponding Attachment"A", if appropriate). CDH will complete the Attachments "A" and "B" and will send two copies each to DA for signature. Once signed and fully completed, they must be returned to CDH for the Director's signature. A copy of each will be returned to DA signifying authorization to proceed with actions outlined in the following sections: III. Actions and Responsibilities A. Property Acquisition The DA can pursue the acquisition of real property (and related relocation requirements, if necessary) through its jurisdiction or request the County's Public and Support Services Group Real Estate Services Department, hereinafter referred to as "RES", to handle the acquisition and/or relocation. If relocation is required, initiate a 90-day notice to occupant(s). 1. If DA wishes to purchase the property, the following procedures should be followed: a. DA: Refers to HUD Handbook 1378 which implements the Uniform Relocation Assistance and Real Property Acquisition regulations including the Federal Relocation Assistance and Real Property Acquisition Policies Act of 1970, the Braithwaite Act of the State of California and any subsequent amendments to these acts and regulations. If relocation is required, the appropriate notices will be issued in accordance with the "Timely Notices" (49CFR 24.203) provision of the Relocation Handbook 1378. b. DA: Obtains required appraisals. c. DA: Reviews required appraisals and/or leases to determine if property can be acquired within the project allocation. d. DA: Sends all lease documents to CDH for approval. e. DA: Sends any requests for adjustments of funds for property acquisition and/or relocation to the CDH Director for approval. f. CDH: Issues approvals in relation to"d" above and sends them to DA. g. DA: Initiates lease or purchase. h. DA: Sends Request for Advance of Funds to CDH, 10 working days prior to expected close of escrow, with all appropriate documentation attached. Page 2 of 8 2. If DA desires to have RES handle Acquisition and/or relocation activities, the DA should follow this procedure: a. DA: Submits a letter to CDH requesting that RES handle the project/activity, describing in detail what property is to be acquired, giving all pertinent information, and identifying who the DA contact person is to be. If relocation is required, initiate a 90-day notice to occupant(s). b. CDH: Initiates appraisal process. c. RES: Obtains required appraisals. d. RES: Forwards appraisals to DA. e. DA: Reviews appraisals and/or leases to determine if property should be acquired and/or leased. Prepares and forwards request to CDH. f. CDH: Reviews request from DA, and forwards Authorization to Proceed to RES (note all leases and all adjustments in project allocations must be requested and approved by the CDH Director). g. RES: Initiates purchase or lease of property. If relocation is required, the appropriate notices will be issued in accordance with the "Timely Notices" (49 CFR 24.203) provision of the Relocation Handbook 1378. RES will work with the designated DA contact person throughout the acquisition/relocation process to assure that the DA is aware of the activities and can make any necessary decisions in relation to the activity. B. Architect and/or Engineer Selection 1. The usual procedure for the selection of an architect or engineer involves a Request for Proposal (RFP)for professional services, following this process: a. DA: Prepares an RFP for architectural and engineering or other consultant services. b. DA: Submit draft RFP to CDH for review for contract compliance and consistency with Federal Title 24 CFR, Part 85 Section 85.36, (Procurement Standards). c. DA: Incorporates CDH revisions, if any, into RFP and reviews RFP's for compliance with State, Federal, Local and CDH regulations. Requests CDH for"Approval to Proceed"to Issue "RFP". d. CDH: Issues to DA an "Approval to Proceed" to issue an "REP". e. DA: Advertises RFP, receives responses, interviews, requests CDH representation on selection committee and makes selection. f. DA: Notifies CDH of selection. Sends back-up documentation and draft contract to CDH. Requests CDH for "Approval to Proceed" to award a "Consultant Services Contract". Page 3 of 8 g. CDH: Reviews final contract for contract compliance and issues an "Approval to Proceed" to award a "Consultant Services Contract". h. DA: Awards Consultant Services Contract. 2. Architectural and engineering services may also be negotiated under certain situations; i.e., obtained through a sole source procurement. This is an eligible alternative requiring the following steps: a. DA: Determines that the situation warrants sole source procurement and that such procurement will comply with requirements and criteria specified in Federal Title 24 CFR Part 85.36, (Procurement Standards). b. DA: Selects architect, engineer or other consultants. c. DA: Sends request for "Approval to Proceed" to award a "Sole Source Consultant Services Contract" to CDH explaining why the DA has chosen the consultant and why the competitive RFP procedure is not being used. d. CDH: Reviews the request and approves or denies sole source procurement request based on explanation and backup. e. CDH: Issues "Approval to Proceed" to award a "Sole Source Consultant Services Contract" authorization or denial of request. f. DA: Negotiates and awards the sole source contract. C. Design Phase 1. DA: Monitors preparation of preliminary plans by architect. 2. DA: Notifies CDH of all public meetings with architect, five working days before event. 3. CDH/ DA: Reviews and approves preliminary design. 4. DA: Secures all required permits and regulatory approvals. 5. DA: Reviews and approves plans and specifications, and obtains current Federal Wage Decision from CDH or online at www.gpo.gov/davisbacon/ca.html, to be included in the bid package. 6. DA: Forwards construction bid package and approved plans to CDH for review and approval along with request for "Approval to Proceed" to issue an "Invitation to Bid" for construction services. See (Attachment ID) "Construction Contract Boilerplate", for the forms used in preparing bid packages. 7. CDH: Reviews and approves construction bid package for compliance with Federal and local regulations and forwards authorization to proceed with changes (if any)to DA. Page 4 of 8 8. DA: Secures plans, check of plans and specifications from the appropriate Building and Safety Authority. D. Construction Phase 1. DA: Determines bid solicitation process permitted by CDBG requirements under Federal Title 24 CFR Part 85.36 (Procurement Standards), and County contracting regulations. Advertises "Invitation to Bid" and receives bids. 2. DA: Ten days prior to bid opening, DA makes telephone contact with CDH and requests from CDH or obtains online at www.gpo.gov/davisbacon/ca.html the current Federal Wage Decision. If they are in any way different from those issued in the original bid package, DA will issue a bid addendum and immediately forward latest wage decision to all bidding contractors who, in turn, submit revised bids prior to the bid opening. DA shall notify CDH of any change in the Federal Wage Decision should DA use the online option above. 3. DA: Conducts bid opening and reviews bid documents submitted by the low- bidder to assure compliance with County Policy 15-01, if applicable, and 24 CFR 85.36(e) regarding the participation of minority, disadvantaged and women business enterprises (MWBE's) in the proposed construction contract. If DA has its own plan that meets the aforementioned requirements, it may use this plan for bid document reviews. 4. DA: Submits the low-bidder information and list of subcontractors to CDH and requests CDH for "Approval to Proceed" to award a "Construction Services Contract". If adjustment of funds or project description is needed, the written request for reallocation of funds (revision of Attachment "A") or change in project description (revision of Attachment "B") should be sent at this time. 5. CDH: Prepares revisions to Attachment"A" and/or"B" as requested. 6. CDH: Reviews Contractor/Subcontractors eligibility to receive Federal contracts. 7. CDH: Issues"Approval to Proceed"to DA. 8. DA: Insures completeness of contract documents prior to award of contract. Construction contracts must contain a copy of Federal Labor Standards Provisions (HUD 4010), applicable Federal Wage Determination, and a copy of restrictions on public buildings and public works projects provisions. 9. DA: Awards Contract. 10. DA: Notifies CDH of pre-construction conference at least five working days prior to event. Submits required CDH documents prior to pre-construction meetings. 11. DA: Conducts pre-construction conference (CDH attendance mandatory). CDH forwards Contract Compliance Instructions to prime contractor. 12. DA: Provides CDH with a copy of signed contract prior to start of construction. DA ensures completion of bonds and obtains contractor/subcontractor certifications concerning labor standards and prevailing wage Page 5 of 8 requirements; Equal Employment Opportunity, and restrictions on public buildings and public works projects before signing contract. 13. DA: Keeps an up-to-date record of all encumbrances and obligations, including staff costs incurred, to assure that the remaining balance of funds is known. 14. CDH/ DA: Ongoing observation and monitoring of projects. 15. DA: Conducts on-site interviews with contractor employees for each trade regarding their wages. Sends copy of interviews to CDH. 16. DA: Ensures contractor's submission of Weekly Certified Payroll, form WH-347. (See Attachment"D-29" for form WH-347.) 17. DA: Receives from Contractor requests for progress payments and any other documentation of expenditures and work accomplished. 18. CDH: Receives from Contractor Weekly Certified Payroll forms WITH ORIGINAL SIGNATURES during the term of construction. Duplicate copies may be sent to DA if requested. 19. CDH: Checks wages reported on Certified Payroll forms against employee interview forms for consistency between wage rates reported by contractor and wages received by employees. 20. DA: Submits to CDH once each month during the term of the construction contract, a report package containing: Request for Reimbursement and accompanying documentation. Payments on said requests are subject to complete compliance with Federal Labor Standards. 21. DA: Notifies CDH of all meetings regarding CDH projects, such as Design Conferences, Public Meetings, meetings with Community Development Advisory Commission, and DA at least five working days before event occurs. 22. DA: Processes change orders and sends copy(ies) of proposed change order(s) along with a request for an approval of a "Contract Change Order" to CDH. Must obtain approval from CDH regarding all change orders prior to authorizing the contractor to proceed with said changes. 23. DA: Notifies CDH of proposed changes in the list of subcontractor(s) and submits a request for "Approval to Proceed" to add or delete subcontractor(s)from the approved list. 24. CDH: Revises Attachments "A" or "B", if necessary, and issues an "Approval to Proceed" to issue a "Change Order(s)" to DA. 25. DA: Notifies CDH of final inspections at least five working days before inspection date. 26. DA: Attends final inspections (CDH attendance optional). Page 6 of 8 • 27. DA: Secures its governing body's acceptance of completed project and filing of Notice of Completion and submits "Notice of Completion"to CDH. 28. CDH: Monitors project progress and contract compliance and issues, as necessary, "Notice to Submit Final Activity Costs" notices to DA. 29. DA: Takes necessary actions to comply with said notices. 30. CDH: Conducts "Annual Certification of Use of Facilities". IV. DA must ensure compliance with the following regulations and statutes, as amended, in carrying out CDBG funded activities: A. Community Development Block Grant Regulations of the Housing and Community Development Act of 1974, as amended (24 CFR 570). B. Applicable Uniform Administrative Requirements: 1) Office of Management and Budget Circular A-87 2) Office of Management and Budget Circular A-128 3) 24 CFR Part 85 C. Applicable Uniform Administrative Requirements for Subrecipients that are not Governmental Entities: 1) Office of Management and Budget Circular A-110 2) Office of Management and Budget Circular A-122 3) 24 CFR Part 84 D. Federal Labor Standards Compliance Handbook No. 1344.1 REV-1 including: 1) Davis-Bacon Act(40 U.S.C. 276a to a-7) 2) Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330) 3) Copeland Act(18 U.S.C. 874) E. Equal Employment Opportunity Requirements of Executive Order 11246, as amended F. Environmental Protection Agency Regulations (40 CFR Part 1500-1508) G. Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) H. Archaeological and Historic Preservation Act of 1974 Rehabilitation Act of 1973, as amended J. Americans With Disabilities Act K. Clean Air Act (42 U.S.C. 7401 et. seq.) L. Clean Water Act (33 U.S.C. 1368) Page 7 of 8 M. Section 3 Regulations of the Housing and Urban Development Act of 1968, Title 24 CFR, Part 135 (12 U.S.C. 1701u) N. Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et. seq.) O. Fair Housing Act(42 U.S.C. 3601-20) P. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (42 U.S.C. 4601-4655) O. Hatch Act R. Lead Based Paint Poisoning Prevention Act (42 U.S.C. 4831(b)) Page 8 of 8 ATTACHMENT "D" CDH CONSTRUCTION CONTRACT PROVISIONS ATTACHMENT "D" TABLE OF CONTENTS Construction Contract Provision Definitions page 1 Bid Package INSERTS and Contract INSERTS page 2 Required Documents Checklist ..page 3 Federal Labor Standards Provisions (HUD 4010 form) pages 4-7 Contractor's Certification of Compliance with Davis-Bacon and Related Acts page 8 Minority and Women Owned Business Enterprise Participation pages 9-10 Certification of Bidder Regarding Equal Employment Opportunity page 11 Certification of Subcontractor Regarding Equal Employment Opportunity page 12 Section 3 Report, Contracts of$100,000 or more page 13 Section 3 Clause page 14 Federal Prevailing Wage Decision page 15 Affirmative Action Compliance Guidelines pages 16-19 Equal Employment Opportunity (EEO) Clauses and EEO Construction Contract Provisions pages 20-27 Certification of Compliance with Air & Water Acts page 28 Additional Required Documents & Sample Documents pages 29-43 CONSTRUCTION CONTRACT PROVISIONS - DEFINITIONS The following are definitions of state and federal provisions/documents for federally-assisted projects. Please refer to the"Required Documents Checklist"for any documents to be completed and submitted for this project. Affirmative Action Compliance Guidelines for Construction or Non-Construction Contractors - Generally, affirmative action requirements apply to contracts and subcontracts in excess of $10,000. This document provides guidelines to help Contractors meet affirmative action and equal employment opportunity requirements set forth in federal regulations 41 CFR 60. Bid Bond - A bid guarantee of at least 10% of the contract price is required from each bidder and must be submitted with the Bid. A sample form is included under"Example Documents"of the Attachment"D". Certificate of Owner's Attorney - This certificate is to be completed by the owner's attorney when applicable. A sample form is included under"Example Documents"of the Attachment"D". Certification of Bidder Regarding Equal Employment Opportunity-This certification is required by Federal law (41 CFR 60) and must completed by the prime Contractor and submitted to the CITY/COUNTY prior to the pre-construction meeting. Certification of Compliance with Air and Water Acts - The prime Contractor and all Subcontractors must comply with this cerification when the contract exceeds$100,000. Certification of Proposed Subcontractor Regarding Equal Employment Opportunity - This certification must be completed by all Subcontractors and submitted to the prime contactor for submittal to the CITY/COUNTY prior to the pre-construction meeting. Contractor's Certification of Compliance with Davis-Bacon and Related Acts - This certification is required by federal law(29 CFR 5)and must be completed by the prime Contractor and submitted to the CITY/COUNTY. Equal Employment Opportunity Clauses/Equal Employment Opportunity Construction Contract Provisions - These provisions are to be inserted in all applicable federally-assisted contracts and subcontracts. Federal Labor Standards Provisions (HUD 4010 form)-These provisions set forth the federal labor requirements for contactors working on a federally-assisted construction projects in which the prime contract exceeds$2,000. The prime Contractor and all Subcontractors are required to pay their laborers and mechanics working onsite a wage not less than the highest wage for the work classification specified in both the Federal and State Wage Decisions when the contract amount for the prime Contractor exceeds $2,000. The prime Contractor is responsible for including these provisions in all subcontracts. Federal Prevailing Wage Decision - The Federal Wage Decision contains the federal wage rates for heavy construction projects within the County of San Bernardino. A copy of the decision is included in the bid package and can also be found at http://www.apo.gov/davisbacon/ca.html. The wage decision that applies to the project is the one in effect ten days prior to the bid opening date. Labor and Materials Bond -This payment bond guarantees that employees/Subcontractors, and suppliers are paid for services rendered and materials supplied. The Labor and Materials Bond must be at least 100% of the contract price and must be submitted to the CITY/COUNTY upon award of the contract. Minority and Women Owned Business Enterprise Participation Form - This form contains data collected by the U.S. Department of Housing and Urban Development and must be completed by the prime Contractor and submitted to the CITY/COUNTY prior to the pre-construction meeting. Performance Bond -This bond guarantees the Contractor's performance under the terms of the construction contract and must be at least 100%of the contract price and submitted to the CITY/COUNTY following award of the contract. Section 3 -This law applies to construction contracts exceeding $100,000 on projects funded by the U.S. Department of Housing and Urban Development (HUD). To the greatest extent feasible, Contractor(s) and Subcontractor(s) must attempt to become a Section 3 business. A Section 3 business is one owned by a low-income person, a business of which 30% of the workforce is comprised of low-income individuals, or a business that contracts 25% of its work to Section 3 businesses. Page 1 of 43 BID PACKAGE INSERT - NOTICE INVITING BIDS COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS: Bidders are advised that this project is funded with Community Development Block Grant Funds. The requirements of the Davis-Bacon Act will apply to this project and those requirements will be enforced. The prime Contractor and all Subcontractors are required to pay their laborers and mechanics employed under this Contract, a wage not less than minimum wage classification, as specified in both the Federal and State Wage Decision when the Contract amount for the Prime Contract exceeds $2,000. The higher of the two applicable wage classifications, either State Prevailing Wage or Davis-Bacon Federal Prevailing Wage,will be enforced for all work under this Contract. The prime Contractor is responsible for ensuring Subcontractor compliance with Davis-Bacon and related Act Requirements. The Federal Labor Standards Provisions(HUD 4010) apply to this project. A copy of the Davis-Bacon Federal Prevailing Wage, the date of which reflects the latest applicable modification at the time of this advertisement, is included in the Contract Documents and Specifications. Bidders shall be notified, via Addendum, of modifications, if any, which supercede that included herein, up until a minimum of ten days prior to the actual Bid Opening. BID PACKAGE INSERT - INSTRUCTIONS TO BIDDERS COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS: Bidders are advised that this project is funded with Community Development Block Grant Funds. The requirements of the Davis-Bacon Act will apply to this project and those requirements will be enforced. The prime Contractor and all Subcontractors are required to pay their laborers and mechanics employed under this Contract, a wage not less than minimum wage classification, as specified in both the Federal and State Wage Decision when the Contract amount for the Prime Contract exceeds $2,000. The higher of the two applicable wage classifications, either State Prevailing Wage or Davis-Bacon Prevailing Wage, will be enforced for all work under this Contract. The Prime Contractor is responsible for ensuring Subcontractor compliance with Davis-Bacon and Related Act Requirements. The Federal Labor Standards Provisions (HUD 4010)apply to this project. A copy of the Davis-Bacon Federal Prevailing Wage, the date of which reflects the latest applicable modification, is included in the Contract Documents and Specifications. Bidders shall be notified, via Addendum, of modifications, if any, which supersede that included herein, up until a minimum of 10 days prior to the actual Bid Opening. A weekly certified payroll is required during the term of construction. Payment of invoice may be delayed when certified payrolls are not submitted weekly. The CITY/COUNTY shall make progress payments on any properly completed payment request submitted by the Contractor. The payment request shall not be deemed properly completed unless certified payroll form WH 347 has been properly completed and submitted on a weekly basis for each week worked during the time period covered by said payment request. Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity - The bidder's attention is called to the "Equal Opportunity Clause" and "Standard Federal Equal Employment Specifications" contained in the bid package. Goals and timetables for minority and female participation, expressed in percentage terms for the Contractors aggregate workforce in each trade on all construction work in the covered area, is 19% for minorities and 6.9% for women. INSERT - CONSTRUCTION CONTRACT Federal Labor Standard Provisions (HUD 4010 form) apply to this project and are attached. Page 2 of 43 REQUIRED DOCUMENTS CHECKLIST REQUIRED PRIOR TO CONTRACT AWARD ❑ 1. Bid Package signed by Contractor or letter stating that the project specifications document is part of the contract ❑ 2. Signed Partnership Agreement(if applicable) ❑ 3. Bid Bond REQUIRED PRIOR TO PRECONSTRUCTION MEETING ❑ 4. Executed Contract/Purchase Order NOTE: HUD form 4010 must be attached to contract ❑ 5. Bonds (performance/payment or labor and material bonds) ❑ 6. Completed "Minority and Women Owned Business Enterprise Participation" Form ❑ 7. Completed Bidder/Subcontractor's Certification regarding Equal Employment ❑ 8. Signed Contractor's Certification of Compliance with Davis-Bacon and Related Act Requirements REQUIRED DURING CONSTRUCTION ❑ 9. Weekly Certified Payrolls ❑ 10. Statement of Authorization (required if payrolls are certified by someone other than the owner or corporate officer)' ❑ 11. Fringe Benefit Statement(required if employee benefits are paid to a trust fund)* ❑ 12. Section 3 Report(Applies to contracts of$100,000 or more) *Note: These forms are located in the "Additional Required Document/Sample Documents"section of Attachment "D"and will be discussed by County CDH staff at the preconstruction meeting. Page 3 of 43 Federal Labor Standards Provisions U.S. Department of Housing and Urban Development Office of Labor Relations 1.Applicability The project or program to which the construction work covered by appropriate), a report of the action taken shall be sent by HUD or this contract pertains is being assisted by the United States of its designee to the Administrator of the Wage and Hour Division, America and the following Federal Labor Standards Provisions are Employment Standards Administration, U.S. Department of Labor, included in this Contract pursuant to the provisions applicable to Washington, D.C. 20210. The Administrator, or an authorized such federal assistance. representative, will approve, modify, or disapprove every additional A. 1. (i) Minimum Wages. All laborers and mechanics employed or classification action within 30 days of receipt and so advise HUD working upon the site of the work will be paid unconditionally and or its designee or will notify HUD or its designee within the 30-day not less often than once a week,and without subsequent deduction period that additional time is necessary. (Approved by the Office or rebate on any account (except such payroll deductions as are of Management and Budget under OMB control number 1215- permitted by regulations issued by the Secretary of Labor under the 0140.) Copeland Act(29 CFR Part 3), the full amount of wages and bona (c) In the event the Contractor, the laborers or mechanics to be fide fringe benefits (or cash equivalents thereof) due at time of employed in the classification or their representatives,and HUD or payment computed at rates not less than those contained in the its designee do not agree on tie proposed classification and wage wage determination of the Secretary of Labor which is attached rate (including the amount designated for fringe benefits, where hereto and made a part hereof, regardless of any contractual appropriate), HUD or its designee shall refer the questions, relationship which may be alleged to exist between the Contractor including the views of all interested parties and the and such laborers and mechanics. Contributions made or costs recommendation of HUD or its designee, to the Administrator for reasonably anticipated for bona fide fringe benefits under Section determination. The Administrator,or an authorized representative, l(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics will issue a determination within 30 days of receipt and so advise are considered wages paid to such laborers or mechanics, subject HUD or its designee or will notify HUD or its designee within the 30- to the provisions of 29 CFR 5.5(a)(1)(iv);also, regular contributions day period that additional time is necessary. (Approved by the made or costs incurred for more than a weekly period (but not less Office of Management and Budget under OMB Control Number often than quarterly) under plans, kinds, or programs, which cover 1215-0140.) the particular weekly period, are deemed to be constructively made (d) The wage rate (including fringe benefits where appropriate) or incurred during such weekly period. determined pursuant to subparagraphs (1) (ii)(b) or (c) of this Such laborers and mechanics shall be paid the appropriate wage paragraph, shall be paid to all workers performing work in the rate and fringe benefits on the wage determination for the classification under this contract from the first day on which work is classification of work actually performed, without regard to skill, performed in the classification. except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics (iii) Whenever the minimum wage rate prescribed in the contract performing work in more than one classification may be for a class of laborers or mechanics includes a fringe benefit which compensated at the rate specified for each classification for the is not expressed as an hourly rate,the Contractor shall either pay time actually worked therein: Provided that the employer's payroll the benefit as stated in the wage determination or shall pay records accurately set forth the time spent in each classification in another bona fide fringe benefit or an hourly cash equivalent thereof. which work is performed. The wage determination (including any (iv) If the Contractor does not make payments to a trustee or additional classification and wage rates conformed under 29 CFR other third person, the Contractor may consider as part of the 5.5(aX1Xii) and the Davis-Bacon poster(WH-1321) shall be posted wages of any laborer or mechanic the amount of any costs at all times by the Contractor and its Subcontractors at the site of reasonably anticipated in providing bona fide fringe benefits under the work in a prominent and accessible, place where it can be a plan or program, provided, that the Secretary of Labor has found, easily seen by the workers. upon the written request of the Contractor, that the applicable (ii)(a)Any class of laborers or mechanics which is not listed in the standards of the Davis-Bacon Act have been met. The Secretary wage determination and which is to be employed under the of Labor may require the Contractor to set aside in a separate contract shall be classified in conformance with the wage account assets for the meeting of obligations under the plan or determination. HUD shall approve an additional classification and program. (Approved by the Office of Management and Budget wage rate and fringe benefits therefore only when the following under OMB Control Number 1215-0140.) criteria have been met: 2.Withholding. HUD or its designee shall upon its own action or (1) The work to be performed by the classification requested is not upon written request of an authorized representative of the performed by a classification in the wage determination;and Department of Labor withhold or cause to be withheld from the (2) The classification is utilized in the area by the construction Contractor under this contract or any other federal contract with industry; and the same prime Contractor, or any other federally-assisted (3) The proposed wage rate, including any bona fide fringe contract subject to Davis-Bacon prevailing wage requirements, benefits, bears a reasonable relationship to the wage rates which is held by the same prime Contractor so much of the contained in the wage determination. accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees h If the Contractor and the laborers and mechanics to be and helpers, employed by the Contractor or any Subcontractor the employed in the classification (if known), or their representatives, full amount of wages required by the contract. In the event of and HUD or its designee agree on the classification and wage rate failure to pay any laborer or mechanic, including any apprentice, (including the amount designated for fringe benefits where trainee or helper, employed or working on the site of the work, all or part Previous edition is obsolete Page 1 of 4 HUD-4010(07/2003) ref.Handbook 1344.1 Panes d of d3 of the wages required by the contract, HUD or its designee may, period has been paid the full weekly wages earned,without rebate, after written notice to the Contractor, sponsor, applicant, or owner, either directly or indirectly, and that no deductions have been made take such action as may be necessary to cause the suspension of either directly or indirectly from the full wages earned, other than any further payment, advance, or guarantee of funds until such permissible deductions as set forth in 29 CFR Part 3; violations have ceased. HUD or its designee may, after written (3) That each laborer or mechanic has been paid not less than notice to the Contractor, disburse such amounts withheld for and the applicable wage rates and fringe benefits or cash equivalents on account of the Contractor or Subcontractor to the respective for the classification of work performed, as specified in the employees to whom they are due. The Comptroller General shall applicable wage determination incorporated into the contract. make such disbursements in the case of direct Davis-Bacon Act (c) The weekly submission of a properly executed certification set contracts. forth on the reverse side of Optional Form WH-347 shall satisfy the 3. (i) Payrolls and basic records. Payrolls and basic records requirement for submission of the "Statement of Compliance" relating thereto shall be maintained by the Contractor during the required by subparagraph A.3.(ii)(b). course of the work preserved for a period of three years thereafter (d) The falsification of any of the above certifications may subject for all laborers and mechanics working at the site of the work. the Contractor or Subcontractor to civil or criminal prosecution Such records shall contain the name, address, and social security under Section 1001 of Title 18 and Section 231 of Title 31 of the number of each such worker, his or her correct classification, United States Code. hourly rates of wages paid(including rates of contributions or costs (iii) The Contractor or Subcontractor shall make the records anticipated for bona fide fringe benefits or cash equivalents thereof required under subparagraph A.3.(i) available for inspection, of the types described in Section I of the Davis-bacon copying, or transcription by authorized representatives of HUD or Act), daily and weekly number of hours worked, deductions made its designee or the Department of Labor, and shall permit such and actual wages paid. Whenever the Secretary of Labor has representatives to interview employees during working hours on found under 29 CFR 5.5 (a)(1)(iv)that the wages of any laborer or the job. If the Contractor or Subcontractor fails to submit the mechanic include the amount of any costs reasonably anticipated in required records or to make them available, HUD or its designee providing benefits under a plan or program described in Section may, after written notice to the Contractor, sponsor, applicant or I(b)(2)(B) of the Davis-Bacon Act, the Contractor shall maintain owner, take such action as may be necessary to cause the records which show that the commitment to provide such benefits suspension of any further payment, advance, or guarantee of is enforceable, that the plan or program is financially responsible, funds. Furthermore, failure to submit the required records upon and that the plan or program has been communicated in writing to request or to make such records available may be grounds for the laborers or mechanics affected, and records which show the debarment action pursuant to 29 CFR 5.12. costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under 4.Apprentices and Trainees approved programs shall maintain written evidence of the (i)Apprentices. Apprentices will be permitted to work at less than registration of apprenticeship programs and certification of trainee the predetermined rate for the work they performed when they are programs,the registration of the apprentices and trainees,and the employed pursuant to and individually registered in a bona fide ratios and wage rates prescribed in the applicable programs. apprenticeship program registered with the U.S. Department of (Approved by the Office of Management and Budget under OMB Labor, Employment and Training Administration, Office of Control Numbers 1215-0140 and 1215-0017.) Apprenticeship Training, Employer and Labor Services, or with a (ii)(a)The Contractor shall submit weekly for each week in which State Apprenticeship Agency recognized by the Office, or if a any contract work is performed a copy of all payrolls to HUD or its person is employed in his or her first 90 days of probationary designee if the agency is a party to the contract,but if the agency is employment as an apprentice in such an apprenticeship program, not such a party, the Contractor will submit the payrolls to the who is not individually registered in the program, but who has been applicant sponsor, or owner, as the case may be, for transmission certified by the Office of Apprenticeship Training, Employer and to HUD or its designee. The payrolls submitted shall set out Labor Services or a State Apprenticeship Agency (where accurately and completely all of the information required to be appropriate) to be eligible for probationary employment as an maintained under 29 CFR 5.5(a)(3)(i). This information may be apprentice. The allowable ratio of apprentices to joumeymen on submitted in any form desired. Optional Form WH-347 is available the job site in any craft classification shall not be greater than the for this purpose and may be purchased from the Superintendent ratio permitted to the Contractor as to the entire work force under of Documents (Federal Stock Number 029-005-00014-1), U.S. the registered program. Any worker listed on a payroll at an Government Printing Office, Washington, DC 20402. The prime apprentice wage rate,who is not registered or otherwise employed Contractor is responsible for the submission of copies of payrolls as stated above, shall be paid not less than the applicable wage by all Subcontractors. (Approved by the Office of Management rate on the wage determination for the classification of work and Budget under OMB Control Number 1215-0149.) actually performed. In addition, any apprentice performing work on (b) Each payroll submitted shall be accompanied by a"Statement the job site in excess of the ratio permitted under the registered of Compliance:signed by the Contractor or Subcontractor or his or program shall be paid not less than the applicable wage rate on her agent who pays or supervises the payment of the persons the wage determination for the work actually performed. Where a employed under the contract and shall certify the following: Contractor is performing construction on a project in a locality other (1) That the payroll for the payroll period contains the information than that in which its program is registered, the ratios and wage ate) required to be maintained under 29 CFR 5.5 (a)(3xi) and that rates (expressedithe inC percentages of the journeyman's hourlyprogram ram such information is correct and complete; specified in e d. Every apprentice or Subcomustntractor's be aid at notod ess t a n shall observed. Every dr m ord less than (2) That each laborer or mechanic (including each helper, the rate specified in the registered program for the apprentice's apprentice, and trainee) employed on the contract during the level of progress,expressed as a percentage of the payroll Previous edition is obsolete Page 2 of 4 form HUD-4010(07/2003) ref.Handbook 1344.1 Pane c nr d1 journeymen hourly rate specified in the applicable wage 7. Contract termination; debarment. A breach of the contract determination. Apprentices shall be paid fringe benefits in clauses in 29 CFR 5.5 may be grounds for termination of the accordance with the provisions of the apprenticeship program. If contract and for debarment as a Contractor and a Subcontractor as the apprenticeship program does not specify fringe benefits, provided in 29 CFR 5.12. apprentices must be paid the full amount of fringe benefits listed on 6. Compliance with Davis-Bacon and Related Act Requirements. the wage determination for the applicable classification. If the All rulings and interpretations of the Davis-Bacon and Related Acts Administrator determines that a different practice prevails for the contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by applicable apprentice classification, fringes shall be paid in reference in this contract accordance with that determination. In the event the Office of 9. Disputes concerning labor standards. Disputes arising out of Apprenticeship Training, Employer and Labor Services, or a State the labor standards provisions of this contract shall not be subject Apprenticeship Agency recognized by the Office, withdraws to the general disputes clause of this contract. Such disputes shall approval of an apprenticeship program, the Contractor will no be resolved in accordance with the procedures of the Department longer be permitted to utilize apprentices at less than the of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the applicable predetermined rate for the work performed until an meaning of this clause include disputes between the Contractor(or acceptable program is approved. any of its Subcontractors) and HUD or its designee, the U.S. (ii) Trainees. Except as provided in 29 CFR 5.16,trainees will not Department of Labor,or the employees or their representatives. be permitted to work at less than the predetermined rate for the 10.(i)Certification of Eligibility. By entering into this contract the work performed unless they are employed pursuant to and Contractor certifies that neither it(nor he or she)nor any person or individually registered in a program which has received prior firm who has an interest in the Contractors firm is a person or firm approval, evidenced by formal certification by the U.S. Department ineligible to be awarded Government contracts by virtue of Section of Labor, Employment and Training Administration. The ratio of 3(a)of the Davis-Bacon Act or 29 CFR 5.12(a)(1)or to be awarded trainees to journeymen on the job site shall not be greater than HUD contracts or participate in HUD programs pursuant to 24 CFR permitted under the plan approved by the Employment and Part 24. Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's (ii) No part of this contract shall be subcontracted to any person level of progress, expressed as a percentage of the journeyman or firm ineligible for award of a Government contract by virtue of hourly rate specified in the applicable wage determination. Trainees Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1)or to be shall be paid fringe benefits in accordance with the provisions of awarded HUD contracts or participate in HUD programs pursuant the trainee program. If the trainee program does not mention fringe to 24 CFR Part 24. benefits, trainees shall be paid the full amount of fringe benefits (iii) The penalty for making false statements is prescribed in the listed on the wage determination unless the Administrator of the U.S. Criminal Code, 18 U.S.C. 1001. Additionally, U.S. Criminal Wage and Hour Division determines that there is an apprenticeship Code, Section 1 01 0, Title 16, U.S.C., "Federal Housing program associated with the corresponding joumeyman wage rate Administration Transactions", provides in part: 'Whoever, for the on the wage determination which provides for less than full fringe purpose of influencing in any way the action of such Administration benefits for apprentices. Any employee listed on the payroll at a makes, utters or publishes any statement knowing the same to be trainee rate, who is not registered and participating in a training false shall be fined not more than $5,000 or imprisoned not more plan approved by the Employment and Training Administration, than two years,or both." shall be paid not less than the applicable wage rate on the wage 11. Complaints, Proceedings, or Testimony by Employees. No determination for the work actually performed. In addition, any laborer or mechanic to whom the wage, salary, or other labor trainee performing work on the job site in excess of the ratio standards provisions of this Contract are applicable shall be permitted under the registered program shall be paid not less than discharged or in any other manner discriminated against by the the applicable wage rate on the wage determination for the work Contractor or any Subcontractor because such employee has filed actually performed. In the event the Employment and Training any complaint or instituted or caused to be instituted any Administration withdraws approval of a training program, the proceeding or has testified or is about to testify in any proceeding Contractor will no longer be permitted to utilize trainees at less under or relating to the labor standards applicable under this than the applicable predetermined rate for the work performed until Contract to his employer. an acceptable program is approved. (iii) Equal employment opportunity. The utilization of B. Contract Work Hours and Safety Standards Act. The apprentices, trainees and joumeymen under 29 CFR Part 5 shall provisions of this paragraph B are applicable only where the be in conformity with the equal employment opportunity amount of the prime contract exceeds $100,000. As used in this requirements of Executive Order 11246, as amended,and 29 CFR paragraph,the terms"laborers"and"mechanics"include watchmen Part 30. and guards. 5. Compliance with Copeland Act requirements. The (1) Overtime requirements. No Contractor or Subcontractor Contractor shall comply with the requirements of 29 CFR Part 3 contracting for any part of the contract work which may require or which are incorporated by reference in this contract. involve the employment of laborers or mechanics shall require or 6. Subcontracts. The Contractor or Subcontractor will insert in permit any such laborer or mechanic in any workweek in which he any subcontracts the clauses contained in subparagraphs 1 or she is employed on such work to work in excess of 40 hours in through 11 of this paragraph A and such other clauses as HUD or such workweek unless such laborer or mechanic receives its designee may by appropriate instructions require,and a copy of compensation at a rate not less than one and one-half times the the applicable prevailing wage decision, and also a clause basic rate of pay for all hours worked in excess of 40 hours in such requiring the Subcontractors to include these clauses in any lower workweek. tier subcontracts.The prime Contractor shall be responsible for the (2) Violation; liability for unpaid wages; liquidated damages. compliance by any Subcontractor or lower tier Subcontractor with In the event of any violation of the clause set forth in subpara- all the contract clauses in this paragraph. graph(1)of this paragraph,the Contractor and any form HUD-4010(07/2003) Previous edition is obsolete ref.Handbook 1344.1 3 of 4 Subcontractor responsible therefore shall be liable for the unpaid (4) Subcontracts. The Contractor or Subcontractor shall insert wages. In addition, such Contractor and Subcontractor shall be in any subcontracts the clauses set forth in subparagraph (1) liable to the United States(in the case of work done under contract through (4) of this paragraph and also a clause requiring the for the District of Columbia or a territory,to such District or to such Subcontractors to include these clauses in any lower tier territory), for liquidated damages. Such liquidated damages shall subcontracts. The prime Contractor shall be responsible for be computed with respect to each individual laborer or mechanic, compliance by any Subcontractor or lower tier Subcontractor with including watchmen and guards, employed in violation of the the clauses set forth in subparagraphs (1) through (4) of this clause set forth in subparagraph (1) of this paragraph, in the sum paragraph. of$10 for each calendar day on which such individual was required C. Health and Safety. The provisions of this paragraph C are or permitted to work in excess of the standard workweek of 40 hours applicable only where the amount of the prime contract exceeds without payment of the overtime wages required by the clause set $100,000. forth in sub paragraph(1)of this paragraph. (1) No laborer or mechanic shall be required to work in (3) Withholding for unpaid wages and liquidated damages. surroundings or under working conditions which are unsanitary, HUD or its designee shall upon its own action or upon written hazardous, or dangerous to his health and safety as determined request of an authorized representative of the Department of Labor under construction safety and health standards promulgated by withhold or cause to be withheld, from any moneys payable on the Secretary of Labor by regulation. account of work performed by the Contractor or Subcontractor (2) The Contractor shall comply with all regulations issued by under any such contract or any other Federal contract with the the Secretary of Labor pursuant to Title 29 Part 1926 and failure same prime contract, or any other federally-assisted contract to comply may result in imposition of sanctions pursuant to the subject to the Contract Work Hours and Safety Standards Act Contract Work Hours and Safety Standards Act, 40 USC 3701 et which is held by the same prime Contractor such sums as may be sec determined to be necessary to satisfy any liabilities of such (3) The Contractor shall include the provisions of this paragraph Contractor or Subcontractor far unpaid wages and liquidated in every subcontract so that such provisions will be binding on damages as provided in the clause set forth in subparagraph (2)of each Subcontractor. The Contractor shall take such action with this paragraph. respect to any subcontract as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions. Previous edition is obsolete form HUD-4010(07I2003) ref.Handbook 1344.1 4 of 4 Page 7 of 43 CONTRACTOR'S CERTIFICATION OF COMPLIANCE WITH DAVIS-BACON AND RELATED ACTS REQUIREMENTS I, , as Prime Contractor for Project: hereby make the following certification and acknowledgment with respect to the applicability of Davis-Bacon and Related Acts Requirements: 1) By entering into this Contract, I certify that I acknowledge that the above referenced project is federally funded and I am solely responsible for complying with the Davis-Bacon and Related Acts Requirements; and, 2) The Prime Contractor and all Subcontractors are required to pay their laborers and mechanics employed under this contract, a wage not less than the highest wage applicable to their work classifications, as specified by the current and applicable Federal Wage Determination. If no federal work classification appears to apply, prime Contractor shall make written request to County to obtain applicable work classifications and wage rates prior to start of construction. When the same classification appears in both the Federal and State Wage decisions, the higher wage must be paid for that classification. The Prime Contractor is responsible for ensuring Subcontractor compliance with Davis-Bacon and Related Acts Requirements. IF THE COMPANY IS A CORPORATION, CORPORATE OFFICERS ARE AS FOLLOWS: President Vice-President Secretary/Treasurer Signature, Prime Contractor Title (Owner or President) Date Page 8 of 43 SAN BERNARDINO COUNTY DEPARTMENT OF COMMUNITY DEVELOPMENT AND HOUSING MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE PARTICIPATION This form is designed to assist the County of San Bernardino in assessing and reporting the proposition and amounts of contracts and subcontracts awarded to Minority and Women Owned Business Enterprises (WMBE'S) for the project named below. Include information on all Subcontractors and suppliers if the total bid amount exceeds $10,000. "Minority owned or controlled" means that 51% or more of the company's ownership or controlled interest in the company is held by one or more Black Americans, Native Americans (including American Indians, Eskimos, Aleuts, and Native Hawaiians), Hispanic Americans, or Asian/Pacific Americans (including persons whose origins are from Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the United States Trust Territories of the Pacific, Northern Marianas, Laos, Cambodia and Taiwan), or any other group of natural persons identified as minorities in the project specifications by the County. "Female owned or controlled" means that 51% or more of the company's ownership or controlled interest in the company is held by one or more female persons. PROJECT Project Name Project Number $ Federally funded or assisted? ❑ Yes ❑ No Total Bid Amount CONTRACTOR Contractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑Yes ❑ No If so, what Minority? Portion of Bid Amount to be Female owned/controlled? ❑Yes ❑ No performed by Contractor SUBCONTRACTORS 1) Subcontractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑Yes ❑ No Subcontract Bid Amount If so, what Minority? Female owned/controlled? ❑Yes ❑ No 2) Subcontractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑Yes ❑ No Subcontract Bid Amount If so, what Minority? Female owned/controlled? ❑Yes ❑ No 1 of 2 Page 9 of 43 MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE PARTICIPATION(Continued) 3),_ Subcontractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑Yes ❑ No Subcontract Bid Amount If so,what Minority? _ Female owned/controlled? ❑Yes ❑ No 4)_ Subcontractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑ Yes ❑ No Subcontract Bid Amount If so, what Minority? Female owned/controlled? ❑ Yes ❑ No 5) Subcontractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑ Yes ❑ No Subcontract Bid Amount If so, what Minority? Female owned/controlled? ❑Yes ❑ No 6) Subcontractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑ Yes ❑ No Subcontract Bid Amount If so, what Minority? Female owned/controlled? ❑Yes ❑ No 7) Subcontractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑ Yes ❑ No Subcontract Bid Amount If so, what Minority? Female owned/controlled? ❑ Yes ❑ No 6) Subcontractor's Name Address Federal I.D. Number City State Zip Code $ Minority owned/controlled? ❑ Yes ❑ No Subcontract Bid Amount If so, what Minority? Female owned/controlled? ❑ Yes ❑ No 2 of 2 Page 10 of 43 CERTIFICATION OF BIDDER REGARDING EQUAL EMPLOYMENT OPPORTUNITY Project Name: INSTRUCTIONS This certification is required pursuant to Executive Order 11246 (30 F.R. 12319-25). The implementing rules and regulations provide that any bidder or prospective Contractor, or any of their proposed Subcontractors, shall state as an initial part of the bid or negotiations of the contract whether it has participated in any previous contract or subcontract subject to the equal opportunity clause:and, if so,whether it has filed all compliance reports due under applicable instructions. Where the certification indicates that the bidder has not filed a compliance report due under applicable instructions, such bidder shall be required to submit a compliance report within seven calendar days after bid opening. No contract shall be awarded unless such report is submitted. CERTIFICATION BY BIDDER Bidder's Name Address&Zip Code 1. Bidder has on-file an affirmative action program pursuant to Part 60-2 (applies to non-construction contracts). Yes ❑ No ❑ 2. Bidder has participated in a previous contractor subcontract subject to the Equal Opportunity Clause. Yes❑ No ❑ (If answer is yes, identify the most recent contract.) (If answer is no, Contractor may be required to submit an EEO-1 survey or other reports to the Equal Employment Opportunity Commission, contact the EEOC at 800- 669-4000 or inquire online at http://www.eeoc.gov/eeolsurveyndex.html. 3. Compliance reports were filed in connection with such contract or subcontract with the Joint Reporting Committee, the Deputy Assistant Secretary or the Equal Employment Opportunity Commission. Yes ❑ No ❑ None required ❑ Certification:The information above is true and complete to the best of my knowledge and belief. Name and Title of Signer(Please Type) Signature Date Page 11 of 43 CERTIFICATION BY PROPOSED SUBCONTRACTOR REGARDING EQUAL EMPLOYMENT OPPORTUNITY Name of Prime Contractor: Project Name: INSTRUCTIONS This certification is required pursuant to Executive Order 11246 (30 F.R. 12319-25). The implementing rules and regulations provide that any bidder or prospective Contractor, or any of their proposed Subcontractors, shall state as an initial part of the bid or negotiations of the contract whether it has participated in any previous contract or subcontract subject to the equal opportunity clause; and, if so, whether it has filed all compliance reports due under applicable instructions. Where the certification indicates that the Subcontractor has not filed a compliance report due under applicable instructions, such Subcontractor shall be required to submit a compliance report before the owner approves the subcontract or permits work to begin under the subcontract. SUBCONTRACTOR'S CERTIFICATION Subcontractor's Name: Address &Zip Code: 1. Bidder has on-file an affirmative action program pursuant to Part 60-2 (applies to non-construction contracts). Yes ❑ No❑ 2. Bidder has participated in a previous contract or subcontract subject to the Equal Opportunity Clause. Yes ❑ No❑ (If answer is yes, identify the most recent contract) (If answer is no, Contractor may be required to submit an EEO-1 survey or other reports to the Equal Employment Opportunity Commission, contact the EEOC at 800- 669-4000 or inquire online at http://www.eeoc.gov/eeolsurvev/index.html. 3. Compliance reports were filed in connection with such contract or subcontract with the Joint Reporting Committee, the Deputy Assistant Secretary or the Equal Employment Opportunity Commission. Yes ❑ No ❑ None required ❑ Certification: The information above is true and complete to the best of my knowledge and belief. Name and Title of Signer(Please Type) Signature Date • NOTE: THIS FORM MUST BE FILLED OUT BY EACH OF THE BIDDER'S SUBCONTRACTORS. Section 3 Report - Contracts over $100,000 Project Name/Number: Prime Contractor Name/Address/Phone Number: Please check the contract type: ❑Construction ❑Non-Construction Under Section 3 of the Housing and Urban Development Act of 1968, as amended (the Act), the County of San Bernardino is directed to award a portion of all construction contracts of$100,000 or more, on projects funded by the Department of Housing and Urban Development(HUD),to Section 3 businesses. A Section 3 business: 1)is at least 51% owned by a low-income person,or 2) has a workforce comprised of at least 30%low-income persons, or 3) subcontracts at least 25% of its work to Section 3 businesses. Contractors with contracts over $100,000 must show a good faith effort to become a Section 3 business. The prime Contractor must complete the following and numbers should reflect information from the prime Contractor and all Subcontractors working on the project: Job Category Number of new Number of %of total staff %of staff hours Number of low- hires for the new hires that hours worked by worked by low- income employees project are low- new hires who income employees and trainees income are low-income and trainees (including new hires) Professionals Technicians Office/Clerical Construction By Trade(List): 1. Trade 2. Trade 3. Trade 4. Trade 5. Trade 6. Trade 7. Trade Other(List) Please check one of the following: ❑ I am a Section 3 business ❑ I am not a Section 3 business ❑ I am working towards becoming a Section 3 business If you marked the third box above,please check efforts made to become a Section 3 business: ❑ Attempted to recruit low-income residents through. local advertising media, signs prominently displayed at the project site,contacts with community organizations and public or private agencies. ❑ Participated in a HUD program,which promotes the training and employment of low-income residents ❑ Participated in a HUD program which promotes the award of contracts to Section 3 businesses ❑ Coordinated with HUD Youth Build programs ❑ Other efforts made(describe): "SECTION 3" CLAUSE 3-2.2 Employment opportunities for business and lower income persons in connection with assisted projects. This clause applies to construction contracts of $100,000 or more, on projects funded with $200,000 or more in federal funds from the U.S. Department of Housing and Urban Development. Assurance of compliance with regulations. (A) Every contract or agreement for a grant, loan, subsidy or other direct financial assistance in aid of housing, urban planning, development, redevelopment, or renewal, public or community facilities and new community facilities and new community development, entered into by the Department of Housing and Urban Development with respect to a Section 3 covered project shall contain provisions requiring the applicant or recipient to carry out the provisions of Section 3, the regulations set forth in this part, and any applicable rules and orders of the Department issued thereunder prior to approval of its application for assistance for a Section 3 covered project. (B) Every applicant, recipient, contracting party, Contractor and Subcontractor shall incorporate, or cause to be incorporated, in all contracts for work in connection with a Section 3 covered project, the following clause (referred to as Section 3 clause): a. The work to be performed under this contract is on a project assisted under a program providing direct federal financial assistance from the Department of Housing and Urban Development as is subject to the requirements of Section 3 of the Housing and Urban Development and is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701 u. Section 3 requires that to the greatest extent feasible, opportunities for training and employment be given to lower income residents of the project area and contracts for work in connection with the project be awarded to business concerns, which are located or owned in substantial part by persons residing in the area of the project. b. The parties to this contract will comply with the provisions of said Section 3 and the regulations issued pursuant thereto by the Secretary of Housing and Urban Development set forth to 24 CFR 135, and all applicable rules and orders of the Department issued thereunder prior to the execution of this contract. The parties to this contract certify and agree that they are under no contractual or other disability, which would prevent them from complying with these requirements. c. The Contractor will send to each labor organization or representative of workers with which he has a collective bargaining agreement or other contract or understanding, if any, a notice advising the said labor organizations or worker's representative of his commitments under this Section 3 clause and shall post copies of the notice in conspicuous places available to employees and applicants for employment or training. d. The Contractor will include this Section 3 clause in every subcontract for work in connection with the project and will, at the direction of the applicant for or recipient of federal financial assistance, take appropriate action pursuant to the subcontract upon a finding that the Subcontractor is in violation of regulations issued by the Secretary of Housing and Urban Development 24 CFR 135. The Contractor will not subcontract unless the Subcontractor has first provided him with a preliminary statement of ability to comply with the requirements of these regulations. e. Compliance with the provisions of Section 3, the regulations set forth in 24 CFR 135, and all applicable rules and orders of the Department issued thereunder prior to the execution of the contract, shall be a condition of the federal financial assistance provided to the project, binding upon the applicant or recipient for such assistance provided to the project, binding upon the applicant or recipient for such assistance, its successors and assigns. Failure to fulfill these requirements shall subject the applicant or recipient, its Contractors and Subcontractors, its successors and assigns, to those sanctions specified by the grant or loan agreement or contract through which federal assistance is provided, and to such sanctions as are specified by 24 CFR 135. Page 14 of 43 Insert Davis-Bacon Wage Determination Page 15 of 43 AFFIRMATIVE ACTION COMPLIANCE GUIDELINES FOR CONSTRUCTION AND NON-CONSTRUCTION CONTRACTORS II I1 Page 1 of 4 Page 16 of 43 AFFIRMATIVE ACTION COMPLIANCE Contract Specifications" of Attachment "D" of the GUIDELINES FOR bid package. CONSTRUCTION AND NON- C. Affirmative Action Plan requirements for NON- CONSTRUCTION Contractors: CONSTRUCTION CONTRACTORS 1. All Contractors who have entered into a NON- These Affirmative Action Compliance Guidelines have been CONSTRUCTION CONTRACT and who: 1) do designed to provide Contractors with information necessary business in the amount of$50,000 or more with to comply with Federal regulations found under Title 40, Part the implementing entity in any one fiscal year 60 of the Code of Federal Regulations. It is the intent of and, 2) employ 50 or more employees, must these guidelines to insure that equal opportunity for develop a written Affirmative Action Program employment is practiced by the Contractor without regard to within 120 days after the contract award date. race, color, sex, religion, national origin, disability, and veteran's status. These guidelines provide the minimum 2. All Subcontractors rendering services or supplies information necessary to comply with EEO and affirmative to a Contractor in the amount of$50,000 or more action requirements, including the preparation of an and employ 50 or more employees, must develop Affirmative Action Plan that complies with federal regulations a written Affirmative Action Program within 120 regarding Affirmative Action for federally-assisted projects. days after the contract award date. Contractors are urged to contact the implementing entity or the U.S. Department of Labor's Office of Federal Contract D. Exemptions under 41 CFR 60: Compliance Programs (OFCCP) officer for any necessary The following persons/contracts shall be exempt from technical assistance in meeting Affirmative Action this program: requirements if they are considering bidding under this contract. 1. A contract or contracts by a Contractor that do not I. AFFIRMATIVE ACTION COMPLIANCE PROGRAM exceed $10,000 in the aggregate over a 12-month period. A. The Affirmative Action program embodies the following principals: 2. Contracts for Work outside the United States 1. Discrimination because of race, color, age, sex, 3. State and Local Governments religion, national origin, marital status, disability, 4. Contracts with certain educational institutions or veteran's status is inconsistent with the constitution, laws, and policies of the United 5. Work on or near Indian Reservations States, State of California and County of San Bernardino. 6. Specific contracts and facilities found exempt by 2. The implementing entity is committed to insuring 7. Deputy Assistant Secretary that there be no discrimination by vendors, 8. National security contracts Contractors (including professional services and consultants), lessors, or lessees doing business Any Contractor who feels qualified for an exemption with the implementing entity. should contact the local Contract Compliance Officer 3. Contractors and Subcontractors agree to take or the U.S. Department of Labor's OFCCP Officer for further information. affirmative personnel actions to hire and promote workers who traditionally have been discriminated II. SATISFYING AFFIRMATIVE ACTION PLAN against in the job market, including women, minorities, members of certain ethnic and A. Affirmative Action Plan requirements for NON- religious groups, individuals with disabilities, and CONSTRUCTION Contractors can be met through the veterans. following: B. Affirmative Action Step Requirements for 1. Completing a Contract Compliance Qualifying CONSTRUCTION Contractors and Subcontractors: Report for Non-construction Contractors and Vendors, (refer to the form found in the"Additional 1. Personnel affirmative action in recruitment, hiring, Required Documents/Sample Documents" section and promotion is required by Contractor and of Attachment"D"of the bid package). Subcontractors who have entered into a federally- assisted construction or non-construction contract 2. Completing a Contractor's Affirmative Action that exceed $10,000 or$10,000 in the aggregate Policy, including methods of recruiting minorities over a 12-month period. and women. If the Contractor does not have its awn Affirmative Action Policy, it may adopt the 2. Contractors and Subcontractors who enter into a County's model Affirmative Action Policy((refer to CONSTRUCTION CONTRACT in excess of the form found in the "Additional Required $10,000 must take 16 specific affirmative action Documents/Sample Documents" section of steps to ensure equal employment opportunity. Attachment"D"of the bid package). These steps are included in 41 CFR 60-4.3(a)(7) and are also included under "Standard Federal 3. Following Federal Affirmative Action Plan Equal Employment Opportunity Construction guidelines which comply with the requirements of 41 CFR 60.2.10. Page 2 of 4 Page 17 of 43 DEFINITIONS L. "Handicapped Status"means any person who: Unless a provision of a contract otherwise requires, certain 1. Has a physical or mental impairment, which words and phrases shall be defined as follows: substantially limits one or more of such person's major life activities. A. "Affirmative Action" is a commitment to increase the number of minorities and women in the work force by 2. Has a record or such impairment,or setting employment goals and timetables, including action to achieve objectives. Affirmative Action seeks 3. Is generally regarded as having such an to ensure that discrimination is eliminated in dealings impairment. with employees or applicants for employment whether the discrimination is intentional or unintentional. In M. "Implementing Entity' means public jurisdiction who is addition, Affirmative Action seeks to improve job administering the contract. standards and productivity through the removal of artificial and unnecessary bafflers to employment and promotion and ensure that all job actions are related to N. "Minority"includes: job performance measures. 1. Black (all persons having origins in any Black B. "Affirmative Action Plan" is a written affirmative plan African racial groups not of Hispanic origin); required of Contractors and Subcontractors who have 50 or more employees and have entered into a 2. Hispanic (all persons of Mexican, Puerto Rican, contract with the implementing entity that exceeds Cuban, Central or South American or other $50,000, or $50,000 in contracts over a 12-month Spanish Culture or origin, regardless of race); period. 3. Asian or Pacific Islander (all persons having C. "Contract" means a federally-assisted purchase order, origins in any of the original peoples of the Far offer and acceptance, lease, agreement or other East, Southeast Asia, the Indian subcontinent or arrangement creating an obligation to which the the Pacific Islands); implementing entity is a party,which would make one of the parties within the definition a Contractor. 4. American India or Alaskan native (all persons having origins in any of the native peoples of D. "Construction" means the construction, rehabilitation, North America and maintaining identifiable tribal alteration, conversion, extension, demolition or repair affiliations through membership and participation of buildings, highways or other changes or in community identification). improvements to real property, including facilities providing utility services. O. "Non-construction Contract" means any contract that E. 'Contractor" means a prime Contractor or does not fall within the definition of "Construction Subcontractor. Contract". F. "Covered Area" means the geographical area P. "Officer" means the Contract Compliance Officer of described in the solicitation from which the contrail the implementing entity or U.S. Department of Labor resulted; Office of Federal Contract Compliance Program (OFCCP)Officer. G. "Director" means Director, OFCCP, U S> Dept. of Q. 'Persons" means anyindividual, firm, co-partnership,Labor, or any person to whom the Director delegates Pa p. authority to; public service, joint venture, association, social club, fraternal organization, corporation, estate, trust H. "Employee" means one who performs work for receiver, syndicate CITY, county, municipal compensation, or a person who is permanently or corporation, district or other political subdivision, or regularly employed by the Contractor or any other group or combination acting as a unit. Subcontractor. R. "Underutilization" means having fewer minorities or I. "Employer identification Number" means the Federal women in a particular job classification than would Social Security Number; reasonably be expected by their availability. J. "Handicapped Status"means any person who: S. "Vietnam-Era Veteran"means a person who: 1. Has a physical or mental impairment, which 1. Served on actual duty for a period of more than substantially limits one or more of such person's 180 days, any part of which occurred between major life activities. August 5, 1964, and May 7, 1975, and was discharged or released therefrom with other than 2. Has a record or such impairment or, a dishonorable discharge;or 3. Is generally regarded as having such an 2. Was discharged or released from active duty for a impairment. service-connected disability if any part of such active duty was performed between August 5, K. "Employer Identification Number" means the Federal 1964,and May 7, 1975. Social Security Number; Page 3 of 4 Page 18 of 43 T. Violation and Appeal Procedure: 3. Contractor agrees to fully comply with the laws and programs(including regulations issued pursuant thereto) 1. A Contractor found in violation of equal identified herein. Such compliance is required to the opportunity/affirmative action laws will be referred extent such laws, programs and their regulations am, by to the U.S. Department of Labor's OFCCP their own terms, applicable to this contract. Contractor Division, and the Solicitor for Labor, Associate warrants that he will make himself thoroughly familiar Solicitor of Labor Relations and Civil Rights with the applicable provisions of said laws, programs, Regional Solicitors and Regional Attorney are and regulations prior to commencing performance of the authorized to institute enforcement proceedings contract. Copies of said laws,programs,and regulations by filing a compliant and serving that compliant to are available upon request from the implementing the Contractor (defendant), in accordance with entity's Contract Compliance Officer, or from the U.S. procedures set forth in 41 CFR 60-30.5. The Department of Labor's OFCCP Officer to the extent complaint shall contain information on the alleged applicable the provisions of said laws programs and violation, a prayer regarding the relief being regulations are deemed to be a part of this contract as if sought,and the name and address of the attorney fully set forth herein. representing the Govemment. Within 20 days after receiving the complaint, the defendant shall 4. Vietnam Era Veterans' Readjustment Assistance Acts of file an answer with the Chief Administrative Law 1972 and 1974, as amended. Pub. L. 92-540, Title V, Judge, if the case has not been assigned to an Sec 503(a), Pub. L 93-508. Title IV, Sec. 402. (38 Administrative Law judge. USCA 2011-2013). 2. The answer shall contain a statement of the facts 5. Rehabilitation act of 1973, as amended (Handicapped) which constitute the ground of defense, and shall: Pub.I93-112 as amended.(29 USCA 701-794). 1) specifically admit, explain, or deny each of the allegations of the complaint unless the defendant 6. California Fair Employment Practice Act. Labor Code is without knowledge, or 2) state that the Sec. 1410 et seq. defendant admits all the allegations contained in the complaint. The answer may contain a waiver 7. Civil Rights Act of 1964, as amended (42 USCA 2000a for a hearing and if not, a separate paragraph in to 2000H-6)and Executive Order No. 11246, September the answer shall request a hearing. The answer 24, 1965,as amended. shall contain the name and address of the defendant, or of the attorney representing the defendant. Failure to file an answer or plead specifically to an allegation of the complaint shall constitute an admission of such allegation. Page 4 of 4 Page 19 of 43 EQUAL OPPORTUNITY CLAUSES 1965, and by rules, regulations and orders of the Secretary of Labor, pursuant thereto, and will permit The Contractor and Subcontractors not found access to his books, records, and accounts by the exempt under 41 CFR 60-1.5, are required to administering agency and Secretary m Labor for comply with the following equal opportunitypurposes rules,o investigation a to ascertainrders compliance with such regulations,and orders clauses as a condition of being awarded a federally-assisted contract. Each nonexempt (6) In the event of the Contractor's noncompliance with prime Contractor shall include equal employment the nondiscrimination clauses of this contract or with opportunity clauses in each of Its nonexempt any of such rules, regulations or orders, this contract Subcontractors. may be canceled, terminated or suspended in whole or in part, and the Contractor may be declared ineligible for further Govemment contracts in EQUAL OPPORTUNITY CLAUSE FOR accordance with procedures authorized in Executive FEDERALLY-ASSISTED CONSTRUCTION Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as CONTRACTS provided in Executive Order 11246 of September 24, 1965, or by rule, regulation or order of the Secretary This clause is inserted pursuant to Executive Order 11246 of of Labor,or as otherwise provided bylaw. September 24, 1965, as amended, and Title VII of the Civil (7)The Contractor will include the provisions of Rights Act of 1964, and is applicable pursuant to 41 CFR paragraphs (1) through (7) in every subcontract or Sec.60-1.4. The following requirements apply to Contractors purchase order unless exempted by rules, regulations and Subcontractors or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September (1)The Contractor will not discriminate against any 24, 1965, so that such provisions will be binding upon employee or applicant for employment because of each Subcontractor or vendor. The Contractor will race, color, religion, sex, or national origin. The take such action with respect to any subcontract or Contractor will take affirmative action to ensure that purchase order as the contracting agency may direct applicants are employed, and that employees are as a means of enforcing such provisions, including treated during employment without regard to their sanctions for noncompliance: Provided, however,that race, color, religion, sex, national origin. Such action in the event the Contractor becomes involved in, or is shall include, but not be limited to the following: threatened with, litigation with a Subcontractor or Employment, upgrading, demotion, or transfer; vendor as a result of such direction by the contracting recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of agency, intone Contractor litigationigr may request protect the United States to enter such to the interests of compensation; and non foragrees training, including the United states. apprenticeship. The Contractor agre to post in conspicuous places, available to employees and The applicant further agrees that it will be bound by applicants for employment, notices to be provided by the above equal opportunity clause with respect to its the contracting officer setting forth the provisions of own employment practices when it participates in this nondiscrimination clause. federally assisted construction work; provided, that if the applicant so participating is a state or local (2)The Contractor will, in all solicitations or government, the above equal opportunity clause is advertisements for employees placed by or on behalf not applicable to any agency, instrumentality or of the Contractor,state that all qualified applicants will subdivision of such government which does not receive consideration for employment without regard participate in work on or under the contract. to race,color,religion,sex,or national origin. The applicant agrees that it will assist and cooperate (3)The Contractor will send to each labor union or actively with the administering agency and the representative of workers with which he has a Secretary of Labor in obtaining the compliance of collective bargaining agreement or other contract or Contractors and Subcontractors with the equal understanding, a notice to be provided by the agency opportunity clause and the rules, regulations, and contracting officer, advising the labor union or relevant orders of the Secretary of Labor, that it will workers' representative of the Contractor's fumish the administering agency and the Secretary of commitments under Section 202 of Executive Order Labor in obtaining the compliance of Contractors and 11246 of September 24, 1965, and shall post copies Subcontractors with the equal g opportunityclauseand of the notice in conspicuous places available to the rules, regulations, and relevanttorders of of the employees and applicants for employment. Secretary of Labor,that it will furnish the administering agency and the Secretary of Labor such information (4)The Contractor will comply with all provisions of as they may require for the supervision of such Executive Order 11246 of September 24, 1965 and of compliance, and that it will otherwise assist the the rules, regulations, and relevant orders of the administering agency in the discharge of the agency's Secretary of Labor. primary responsibility for securing compliance. (5) The Contractor will furnish all information and reports required by Executive Order 11246 of September 24, Page 1 of 8 Page 20 of 43 The applicant further agrees that it will refrain from independently operated corporate affiliates, shall be entering into any contract or contract modification listed at an appropriate local office of the State subject to Executive Order 1124 of September 24, Employment Service System wherein the opening 1965, with a Contractor debarred from, or who has occurs. The Contractor further agrees to provide not demonstrated eligibility for Government such reports to such local office regarding contracts and federally assisted construction employment openings and hires as may be contracts pursuant to the Executive Order and will required. carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed (3) Listings of employment openings with the upon Contractors and Subcontractors by the employment service system pursuant to this clause administering agency or the Secretary of Labor shall be made at least concurrently with the use of pursuant to Part II, Subpart D of the Executive any other recruitment source or effort and shall Order. In addition,the applicant agrees that if it fails involve the normal obligations which attach to the or refuses to comply with these undertakings, the placing of a bona fide job order, including the administering agency may take any or all of the acceptance of referrals of veterans and non- following actions: Cancel, temlinate, or suspend in veterans. The listing of employment openings does whole or in part this grant(contract, loan, insurance, not require the hiring of any particular job applicant guarantee), refrain from extending any further or from any particular group of job applicants, and assistance to the applicant under the program with nothing herein is intended to relieve the Contractor respect to which the failure or refund occurred until from any requirements in Executive Orders or satisfactory assurances of future compliance has regulations regarding nondiscrimination in been received from such applicant, and refer the employment. case to the Department of Justice for appropriate legal proceedings. (4) The reports required by paragraph (2)of this clause shall include, but not be limited to, periodic reports In addition to the above, Contractor will agree to which shall be filed at least quarterly with the furnish all information and reports, including appropriate local office or, where the Contractor has Standard form EEO-I, if applicable, to the U.S. more than one hiring location in a State, with the Equal Employment Opportunity Commission central office of that State Employment Service. (EEOC) and the U.S. Department of Labor's Such reports shall indicate for each hiring location, OFCCP, as required by Executive Order No. 11246 (a) the number of individuals hired during the of September 24, 1965. reporting period, (b) the number of non-disabled veterans of the Vietnam Era hired, (c)the number of EQUAL OPPORTUNITY CLAUSE FOR disabled veterans of the Vietnam Era hired, and (d) SPECIAL DISABLED VETERANS the total number of disable veterans hired. The reports shall include covered veterans hired for on- AND VETERANS OF THE VIETNAM ERA the-job training under 38 USC Sec. 1787. The Contractor shall submit a report within 30 days after This clause is inserted pursuant to Executive Order 11701 of the end of each reporting period wherein any January 24, 1973 and the Vietnam Era Veterans performance is made on this contract identifying Readjustment Assistance Acts of 1972 and 1974 (P.L. 92- data for each hiring location. The Contractor shall 540,93-508), and is applicable pursuant to 41 CFR Sec. 60- maintain at each hiring location, copies of the 250. reports submitted until the expiration of one year after final payment under the contract, during which (1) The Contractor will not discriminate against any time these reports and related documentation shall employee or applicant for employment because he be made available, upon request, for examination or she is a disabled veteran or veteran of the by any authorized representatives of the contracting Vietnam Era in regard to any position for which the officer or of the Secretary of Labor. Documentation employee or applicant for employment is qualified. would include personnel records respecting job The Contractor agrees to take affirmative action to openings,recruitment and placement. employ,advance in employment and otherwise treat qualified disabled veterans and veterans of the (5) Whenever the Contractor becomes contractually Vietnam Era without discrimination based upon their bound to the listing provisions of this clause, it shall disability or veterans status in all employment advise the employment service system in each practices such as the following: employment, State where it has establishments of the name and upgrading, demotion or transfer, recruitment, location of each hiring location in the State. As long advertising, layoff or termination, rates of pay or as the Contractor is contractually bound to these other forms of compensation, and selection for provisions and has so advised the State system, training, including apprenticeship. there is no need to advise the State system of subsequent contracts. The Contractor may advise (2) The Contractor agrees that all suitable employment the State system when it is no longer bound by this openings of the Contractor which exist at the time of contract clause. the execution of this contract and those which occur during the performance of this contract, including (6) This clause does not apply to the listing of those not generated by this contract and including employment openings, which occur and are filled those occurring at an establishment of the outside of the 50 States, the District of Columbia, Contractor other than the one wherein the contract Puerto Rico, Guam and the Virgin Islands. is being performed but excluding those of Page 2 of 8 (7) The provisions of paragraphs(2), (3), (4)and (5)of (9) The Contractor agrees to comply with the rules, this clause do not apply to openings which the regulations and relevant orders of the Secretary of Contractor proposes to fill from within his own Labor issued pursuant to the Act. organization or to fill pursuant to a customary and traditional employer - union hiring arrangement. (10) In the event of the Contractors noncompliance with This exclusion does not apply to a particular the requirements of this clause, actions for opening once an employer decides to consider noncompliance may be taken in accordance with applicants outside of his own organization or the rules, regulations and relevant orders of the employer-union arrangement for that opening. Secretary of Labor issued pursuant to the Act. (8) As used in this clause: (11) The Contractor agrees to post in conspicuous places, available to employees and applicants for a. "All suitable employment openings" includes, employment, notices in a form to be prescribed by but is not limited to, openings which occur in the Director, provided by or through the contracting the following job categories: production and officer. Such notices shall state the Contractor's non-production; plant and office; laborers and obligation under the law to take affirmative action to mechanics; supervisory and non-supervisory; employ and advance in employment qualified technical; and executive, administrative and disabled veterans and veterans of the Vietnam Era professional openings as are compensated on for employment, and the rights of applicants and a salary basis of less than $25,000 per year. employees. The term includes full-time employment, temporary employment of more than three (12) The Contractor will notify each labor union or days duration, and part-time employment It representative of workers with which it has a does not include openings which the collective bargaining agreement or other contract Contractor proposes to fill from within his own understanding, that the Contractor is bound by the organization or to fill pursuant to a customary terms of the Vietnam Era Veterans' Readjustment and traditional employer - union hiring Assistance Act, and is committed to take affirmative arrangement or openings in an educational action to employ and advance in employment institution which are restricted to students of qualified disabled veterans and veterans of the that institution. Under most compelling Vietnam Era. circumstances an employment opening may not be suitable for listing, including such (13) The Contractor will include the provisions of this situations where the needs of the Government clause in every subcontract or purchase order of cannot reasonably be otherwise supplied, $10,000 or more unless exempted by rules, where listing would be contrary to national regulations or orders of the Secretary issued security, or where the requirement of listing would otherwise not be for the best interest of pursuant to the Act, so that such provisions will be the Government. binding upon each Subcontractor or vendor. The Contractor will take such action with respect to any b. "Appropriate office of the State Employment subcontract or purchase order as the Director of the Service System" means the office of the Office of Federal Contract Compliance Programs federal - state national system of public may direct to enforce such provisions, including employment offices with assigned action for noncompliance. responsibility for serving the area where the employment opening is to be filled, including (14) Collective bargaining agreement or other contract the District of Colombia, Guam, Puerto Rico understanding that the Contractor is bound by the and the Virgin Islands.Colom terms of the Vietnam Era Veterans' Readjustment Assistance Act, and is committed to take affirmative c. 'Openings which the Contractor proposes to action to employ and advance in employment fill from within his own organization" means qualified disabled veterans and veterans of the employment openings for which no Vietnam Era. consideration will be given to persons outside the Contractor's organization (including any (15) The Contractor will include the provisions of this affiliates, subsidiaries and the parent clauseeinin every subcontract or purchase order of companies) and includes any openings which $10,000 or more unless exempted by rules, the Contractor proposes to fill from regularly regulations or orders of the Secretary issued established"recall"lists. pursuant to the Act, so that such provisions will be binding upon each Subcontractor or vendor. The d. "Openings which the Contractor proposes to fill Contractor will take such action with respect to any pursuant to a customary and traditional employer - subcontract or purchase order as the Director of the union hiring arrangement" means employment Office of Federal Contract Compliance Programs openings which the Contractor proposes to fill from may director n to enforce such provisions, including union halls, which is part of the customary and action for noncompliance. traditional hiring relationship which exists between the Contractor and representatives of his employees. Page 3 of Page 22 of 43 EQUAL OPPORTUNITY CLAUSE FOR (4) The Contractor agrees to post in conspicuous WORKERS WITH DISABILITIES places, available to employees and applicants for employment, notices in a form to be prescribed by the Director, provided by or through the contracting This clause is inserted pursuant to the Rehabilitation Act of officer. 1973(P.L. 93-112)and 41 CFR Sec.60-741-4. The Contractor will not discriminate against any (5) Such notices shall state the Contractor's obligation (1) 9 under the law to take affirmative action to employ employee or applicant for employment because of and advance in employment qualified handicapped physical or mental handicap in regard to any employees and applicants for employment, and the position for which the employee or applicant for rights of applicants and employees. employment is qualified. The Contractor agrees to take affirmative action to employ, advance in (6) The Contractor will notify each labor union or employment and otherwise treat qualified representative of workers with which it has a handicapped individuals without discrimination collective bargaining agreement or other contract based upon their physical or mental handicap in all understanding, that the Contractor is bound by the employment practices such as the following: terms of Section 503 of the Rehabilitation Act of employment, upgrading, demotion or transfer, 1973, and is committed to take affirmative action to recruitment, advertising, layoff or termination, rates employ and advance in employment physically and of pay or other forms of compensation, and mentally handicapped individuals. selection for training,including apprenticeship. (7) The Contractor will include the provisions of this (2) The Contractor agrees to comply with the rules, clause in every subcontract or purchase order of regulations and relevant orders of the Secretary of $2,500.00 or more unless exempted by rules, Labor issued pursuant to the Act. regulations or orders of the Secretary issued pursuant to Section 503 of the Act, so that such (3) In the event of the Contractor's non-compliance with provisions will be binding upon each Subcontractor the requirements of this clause, actions for or vendor. The Contractor will take such action with noncompliance may be taken in accordance with respect to any subcontract or purchase order as the the rules, regulations and relevant orders of the Director of the Office of Federal Contract Secretary of Labor issued pursuant to the Act. Compliance Programs may direct to enforce such provisions,including action for noncompliance. Page 4 of 8 Page 23 of 43 STANDARD FEDERAL EQUAL unions participating in the Plan. Contractors must be EMPLOYMENT OPPORTUNITY able to demonstrate their participation in and CONSTRUCTION CONTRACT PROVISIONS compliance with the provisions of any such (EXECUTIVE ORDER 11246, PURSUANT TO Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually 41 CFR 60-4.3 (a) required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve 1. As used in these specifications: each goal under the Plan in each trade in which it has employees. The overall good faith performance a. "Covered area' means the geographical area by other Contractors or Subcontractors toward a goal described in the solicitation from which this in an approved Plan does not excuse any covered contract resulted; Contractor's or Subcontractors failure to take good faith efforts to achieve Plan goals and timetables. b. "Director means Director, Office of Federal Contract Compliance Programs, United States 4. The Contractor shall implement the specific Department of Labor,or any person to whom the affirmative action standards provided in paragraphs Director delegates authority; 7a through p of these specifications. The goals set forth in the solicitation from which the contract c. "Employer identification number means the resulted are expressed as percentages of the total Federal Social Security number used on the hours of employment and training of minority and Employer's Quarter Federal Tax Return. U.S. female utilization the Contractor should reasonable Treasury Department form 941. the able to achieve in each construction trade in which it has employees in the covered area. d. "Minority"includes: Covered construction Contractors performing construction work in geographical areas where they (i) Black (all persons having origins in any of do not have a federal or federally assisted the Black African racial groups not of construction contract shall apply the minority and Hispanic origin); female goals established for the geographical area where the work is being performed. Goals are (ii) Hispanic (all persons of Mexican, Puerto published periodically in the FEDERAL REGISTER Rican,Cuban, Central or South American or in notice form, and such notices may be obtained other Spanish Culture or origin, regardless from any Office of Federal Contract Compliance of race); programs Office or from federal procurement contracting officers. The Contractor is expected to (iii) Asian and Pacific Islander (all persons make substantially uniform progress in meeting its having origins in any of the original peoples goals in each craft during the period specified. of the Far East, Southeast Asia, the Indian Subcontinent,or the Pacific Islands);and 5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the (iv) American Indian or Alaskan Native (all Contractor has a collective bargaining agreement, to persons having origins in any of the original refer either minorities or women shall excuse the peoples of North America and maintaining Contractors obligations under these specifications, identifiable tribal affiliations through Executive Order 11246 or the regulations membership and participation or community promulgated pursuant thereto. identification). 6. In order for the nonworking training hours of 2. Whenever the Contractor, or any Subcontractor at apprentices and trainees to be counted in meeting any tier, subcontracts a portion of the work involving the goals, such apprentices and trainees must be any construction trade, it shall physically include in employed by the Contractor during the training each subcontract in excess of$10,000 the provisions period and the Contractor must have made of these specifications and the Notice which contains commitment to employ the apprentices and trainees the applicable goals for minority and female at the completion of their training, subject to the participation and which is set forth in the solicitations availability of employment opportunities. Trainees from which this contract resulted. must be trained pursuant to training programs approved by the U.S. Department of Labor. 3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. 7. The Contractor shall take specific affirmative actions Department of Labor in the covered area either to ensure equal employment opportunity. The individually or through an association, its affirmative evaluation of the Contractors compliance with these action obligations on all work in the Plan area specifications shall be based upon its effort to (including goals and timetables) shall be in achieve maximum results from its actions. The accordance with the plan for those trades which have Contractor shall document these efforts fully, and Page 5 of 8 Page 24 of 43 shall implement affirmative action steps at least as employment needs, especially those extensive as the follow 16 steps: programs funded or approved by the Department of Labor. The Contractor a. Ensure and maintain a working shall provide notice of these programs environment free of harassment, to the sources compiled under 7b intimidation, and coercion at all sites, above. and in all facilities at which the Contractors employees are assigned f. Disseminate the Contractor's EEO to work. The Contractor shall policy by providing notice of the policy specifically ensure that all foremen, to unions and training programs and superintendents, and other on-site requesting their cooperation in supervisory personnel are aware of and assisting the Contractor in meeting its carry out the Contractor's obligation to EEO obligations by including it in any maintain such a working environment, policy manual and collective bargaining with specific attention to minority or agreement; by publicizing it in the female individuals working at such sites company newspaper, annual report, or in such facilities. etc.; by specific review of the policy with all management personnel and b. Establish and maintain a current list of with all minority and female employees minority and female recruitment at least once a year; and by posting the sources, provide written notification to company EEO policy on bulletin boards minority and female recruitment accessible to all employees that each sources and to community location where construction work is organizations when the Contractor or performed. its unions have employment opportunities available, and maintain a g. Review, at least annually, the record of the organizations' responses. company's EEO policy and affirmative action obligations under these c. Maintain a current file of the names, specifications with all employees addresses and telephone numbers of having any responsibility for hiring, each minority and female off-the-street assignment, layoff, termination or other applicant and minority or female employment decisions including referral from a union, a recruitment specific review of these items with source or community organization and onsite supervisory personnel such as of what action was taken with respect Superintendents, General Foremen, to each such individual. If such etc., prior to the initiation of individual was sent to the union hiring construction work at any job site. A hall for referral and was not referred written record shall be made and back to the Contractor by the union or, maintained identifying the item and if referred, not employed by the place of these meetings, persons Contractor, this shall be documented in attending, subject matter discussed, the file with the reason therefore, along and disposition of the subject manner. with whatever additional actions the Contractor may have taken. h. Disseminate the Contractor's EEO policy externally by including it in any d. Provide immediate written notification advertising in the news media, to the Director when the union or specifically including minority and unions bargaining agreement has not female news media, and providing referred to the Contractor a minority written notification to and discussing person or woman sent by the the Contractor's EEO policy with other Contractor, or when the Contractor has Contractors and Subcontractors with other information that the union referral whom the Contractor does or process has impeded the Contractors anticipates doing business. efforts to meet its obligations. i. Direct its recruitment efforts, both oral a Develop on-the-job training and written, to minority, female and opportunities and/or participate in community organizations, to schools training programs for the area which with minority and female students and expressly include minorities and to minority and female recruitment and women, including upgrading programs training organizations serving the and apprenticeship and trainee Contractors recruitment source, the programs relevant to the Contractor's Contractor shall send written Page 6 of 8 Page 25 of 43 notification to organizations such as the community or other similar group of which the above, describing the openings, Contractor is a member and participant may be screening procedures, and tests to be asserted as fulfilling any one or more of its used in the selection process. obligations provided that the Contractor actively participates in the group, makes every effort to Encourage present minority and female assure that the group has a positive impact on employees to recruit other minority the employment of minorities and women in the persons and women and, where industry, ensures that the concrete benefits of reasonable, provide after school, the program are reflected in the Contractors summer and vacation employment to minority and female workforce participation minority and female youth both on the makes a good faith effort to meet its individual site and in other areas of a Contractors goals and timetables, and can provide access to work force. documentation, which demonstrates the effectiveness of actions taken on behalf of the k. Validate all tests and other selection Contractor. The obligation to comply, however, requirements where there is an is the Contractors and failure of such a group to obligation to do so under 41 CFR Part fulfill an obligation shall not be a defense for the 60-3. Contractors noncompliance. Conduct, at least annually,an inventory 9. A single goal for minorities and a separate single and evaluation at least of all minor8ty goal for women have been established. The and female personnel for promotional Contractor, however, is required to provide opportunities and encourage these equal employment opportunity and to take employees to seek or to prepare for, affirmative action for all minority groups, both through appropriate training, etc., such male and female, and all women, both minority opportunities. and non-minority. Consequently, the Contractor m. Ensure that seniority job may be in violation of the executive order if a classifications,ework ya practices,ameets and particular group is employed in a substantially other personnel practices, do not have disparate manner(for example, even though the a discriminatory ion effect by continually Contractor has achieved its goals for women discrimi all tbyand generally, the Contractor may be in violation of monitoring related personnelactivities to ensure the Executive Order if a specific minority group emthat the EEO policy and the of women is underutilized). Contractors obligations under these 10. The Contractor shall not use the goals and specifications are being carried out. timetables or affirmative action standards to discriminate against any person because of n. Ensure that all facilities and company race,color, religion,sex,or national origin. activities are non-segregated except that separate or single-user toilet and 11. The Contractor shall not enter into any necessary changing facilities shall be Subcontract with any person or firm debarred provided to assure privacy between the from Government contracts pursuant to sexes. Executive Order 11246. o. Document and maintain a record of all 12. The Contractor shall carry out such sanctions solicitations of offers for subcontracts and penalties for violation of these specifications from minority and female construction and of the Equal Opportunity Clause, including Contractors and suppliers, including suspension, termination and cancellation of circulation of solicitations to minority existing subcontracts as may be imposed or and female Contractor associations ordered pursuant to Executive Order 11246, as and other business associations. amended, and its implementing regulations, by p. Conduct a review, at least annually, of the Office of Federal Contract Compliance all supervisors; adherence to and Programs. Any Contractor who fails to carry out allpe supervisors; once under the Contractors such sanctions and penalties shall be in violation EEO policies and affirmative action of these specifications and Executive Order obligations. 11246, as amended. 8. Contractors are encouraged to participate in 13. The Contractor, in fulfilling its obligations under voluntary associations which assist in fulfilling these specifications, shall implement specific one or more of their affirmative action affirmative action steps, at least as extensive as obligations(7a—p). The efforts of a Contractor those standards pr, so ased t in paragraph 7 of association, joint Contractor-union, Contractor- these specifications, so as [o achieve maximum Page 7 of 8 Page 26 of 43 results from its efforts to ensure equal which establish different standards of employment opportunity. If the Contractor fails compliance or upon the application of to comply with the requirements of the Executive requirements for the hiring of local or other area Order, the implementing regulations, or these residents (e.g. those under the Public Works specifications, the director shall proceed in Employment Act of 1977 and the Community accordance with 41 CRF 60-4.6. Development Block Grant Program). 14. The Contractor shall designate a responsible a) The notice set forth in 41 CFR 60-4.2 and official to monitor all employment related activity the specifications set forth in 41 CFR 60-4.3 to ensure that the company EEO policy is being replace the New Form for Federal Equal carded out, to submit reports relating to the Employment Opportunity Bid conditions for provisions hereof as may be required by the Federal and federally Assisted Construction Government and to keep records. Records shall published at 41 CFR 32482 and commonly at lease include for each employee the name, known as the Model Federal EEO Bid address,telephone numbers, construction trade, Conditions, and the New Form shall not be union affiliation if any, employee identification used after the regulations in 41 CFR Part number when assigned, social security number, 60-4 become effective. race, sex, status (e.g., mechanic, apprentice trainee, helper, or laborer) dates of changes in Minority Goals status, hours worked per week in the indicated The goal for the utilization of women employees on trade, rate of pay, and locations at which the federally-assisted construction contracts is set at 6.9%. work was performed. Records shall be maintained in an easily understandable and The goal for utilization of minorities, based on the retrievable form; however, to the degree that Standard metropolitan Statistical Area (SMSA) for existing records satisfy this requirement, Riverside/San Bernardino County is 19%. Contractors shall not be required to maintain separate records. For additional information on these goals, please contact 15. Nothing herein provided shall be construed as a the OFCCP-Pacific Region at(415)848-6969. limitation upon the application of other laws Page 8 of 8 Page 27 of 43 CERTIFICATION OF COMPLIANCE WITH AIR AND WATER ACTS (Applicable to federally assisted construction contracts and related subcontracts exceeding $100,000) During the performance of this Contract, the Contractor and all Subcontractors shall comply with the requirements of the Clean Air act, as amended, 42 U.S.C. 1857 et. seq., the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et. seq., and the regulations of the Environmental Protection Agency with respect thereto, at 40 CFR Part 15, as amended. In addition to the forgoing requirements, all nonexempt Contractors and Subcontractors shall furnish to the owner, the following: (1) A stipulation by the Contractor or Subcontractors, that any facility to be utilized in the performance of any nonexempt Contract or subcontract, is not listed on the List of Violating Facilities issued by the Environmental Protection Agency(EPA) pursuant to 40 CFR 15.20. (2) Agreement by the Contractor to comply with all requirements of Section 114 of the Clean Air Act, as amended, (42 U.S.C. 1857c-8) and Section 308 of the Federal Water Pollution Control Act, as amended, (33 U.S.C. 1318) relating to inspection, monitoring entry, reports and information, as well as all other requirements specified in said Section 114 and Section 308, and all regulations and guidelines issued thereunder. (3) A stipulation that as a condition for the award of the Contract, prompt notice will be given of any notification received from the Director, Office of Federal Activities, EPA, indicating that a facility utilized, or to be utilized for the Contract, is under consideration to be listed on the EPA List of Violating Facilities. (4) Agreement by the Contractor to include, or cause to be included, the criteria and requirements in paragraph (1) through (3) of this section in every nonexempt subcontract and requiring that the Contractor will take such action as the Government may direct as a means of enforcing such provisions. Page 28 of 43 ADD FL REQUIRED DOCUMENTS AND SAMPLE DOCUMENTS Page 29 of 43 'Complete if person other than owner is signing certified payroll/compliance documentation. CERTIFICATION OF UNDERSTANDING AND AUTHORIZATION PROJECT NAME: PROJECT NUMBER: This is to certify that the principals and the authorized payroll officer, below, have read and understand the Minutes of the Pre-construction Conference and the labor standards clauses pertaining to the subject project. The following person(s) is designated as the payroll officer for the undersigned and is authorized to sign the Statement of Compliance, which will accompany our weekly, certified payroll reports for this project: Payroll Officer(Name) Payroll Officer(Signature) (Contractor/Subcontractor) by (Signature) (Title) (Date) (Contractor/Subcontractor License No.) Page 30 of 43 ai 0 E z E S W Z % 2 N U 0o d Q O v a @ a d Coc W I— E c W a cm o Z c • N CO MIo E @ m ma E o IliIDc co l7 -ao a a 2 Qu o C @ @ vi c us an d c v - a z o w a o m y M a V a co m J2 IL a 0 0. 0 N C a) a d 2 @ c CO IL a a) Z a m 0 > 0 w a a a } V m J IL o Z 1— - 0 re W C a >. E co a 0 •U Y o a) • coC -o C C c E 1.2 C C .O Pi L' N @ @ C (l t co W Cw > U — N Ili m O@ y L L C U @ "o 0 'o o a N O < r o c0 co C c U @ c c c.0 @ C U @ r 0 C w I— Z .N •@ — N N N — ,O .co @ '� N Y C U U @ C @ @ @ •• @ @ @ • @ @ @ @ U U W W ULL 2 C. > Q 20_ > Q 20_ > Q 0 — 0 0 _ _ a a " o . 151 ± II | 9 g . \ ) ; $ S ` % \ ( - a ) g ) ` CD ` . } \ � .22 (Ye' gc } . . \ , ) ~� 55 2 ƒ 'Oa z '52 § Department of Labor Form roved Wage and Hour Division micas Bureau Na 44w003 STATEMENT OF COMPLIANCE Date ,do hereby state: (Name of signatory party) (Title) (1) That 1 pay or supervise the payment of the persons employed by (Contractor or Subcontractor) on the (Project) ,that during the payroll period commencing on the day of 2 ,and ending on the day of ,2 , all persons employed on said project have been paid the full weekly wages earned;that no rebates have been or will be made either directly or indirectly to or on behalf of said from the full weekly wages earned by any person;and(Contractor or Subcontractor) that no deductions have been made either directly or indirectly from the full wages earned by any person, other than permissible deductions as defined in Regulations. Part 3(29 CFR Subtitle A). issued by the Secretary of Labor under the Copeland Act,as amended(48 Stat.948;63 Stat.108;72 Stat.967;76 Stat.357;4D U.S.C.276c),and described below: (2) That any payrolls otherwise under this contract required to be submitted for the above period are correct and complete;that the wage rates for laborers or mechanics contained therein are not less than the applicable wage rates contained In any wage determination Incorporated Into the contract;that the classifications set forth therein for each laborer or mechanic confirm with the work performed. (3) That any apprentices employed in the above period are duly registered in a bona fide apprenticeship program registered with a state apprenticeship agency recognized by the Bureau of Apprenticeship and Training, United States Department of Labor, or if no such recognized agency exists in a state,are registered with the Bureau of Apprenticeship and Training,United States Department of Labor. (4) That: (a) WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS.FUNDS,OR PROGRAMS ❑ In addition to the basic hourly wage rates paid to each laborer or mechanic listed in the above referenced payroll payments of fringe benefits as listed In the contract have been or will be made to appropriate programs for the benefit of such employees.except as noted in Section 4(c)below. (b) WHERE FRINGE BENEFITS ARE PAID IN CASH ❑ Each laborer or mechanic listed in the above referenced payroll has been paid as indicated on the payroll, an amount not less than the sum of the applicable basic hourly wage rate plus the amount of the required fringe benefits as listed in the contract,except as noted in Section 4(c)below. (c) EXCEPTIONS EXCEPTIONS(CRAFT) Remarks Name and Title Signature The willful falsification of any of the above statements may subject the Contractor or Subcontractor to civil or criminal prosecution. See Section 1001 of Title 18 and Section 231 of Title 31 of the Unites States Code. rmm w»xe(VW vurmu..m.boil thri'dlYftall the sup.dmonutu Page 33 of 43 INSTRUCTIONS FOR PREPARATION OF STATEMENT OF COMPLIANCE This statement of compliance meets needs resulting from the amendment of the Davis-Bacon Act to include fringe benefits provisions. Under this amended law, the Contractor is required to pay fringe benefits as predetermined by the Department of Labor, in addition to payment of minimum rates. The Contractor's obligation to pay fringe benefits may be met by payment of the fringes to the various plans, funds, or programs, or by making these payments to the employees as cash in lieu of fringes. The Contractor should show on the face of his payroll all monies paid to the employees whether as basic rates or as cash in lieu of fringes. The Contractor shall represent in the statement of compliance that he is paving to others fringes required by the contract and not paid as cash in lieu of fringes. Detailed instructions follow: Contractors who pay all required fringe benefits A Contractor who pays fringe benefits to approved plans, funds, or programs in amounts not less than were determined in the applicable wage decision of the Secretary of Labor shall continue to show on the face of his payroll the basic cash hourly rate and overtime rate paid to his employees, just as he has always done. Such a Contractor shall check paragraph 4(a) of the statement to indicate that he is also paying to approved plans, funds, or programs not less than the amount predetermined as fringe benefits for each craft. Any exception shall be noted in Section 4(c). Contractors who pay no fringe benefits A Contractor who pays no fringe benefits shall pay to the employee and insert in the straight time hourly rate column of his payroll an amount not less than the predetermined rate for each classification plus the amount of fringe benefits determined for each classification in the applicable wage decision. Inasmuch as it is not necessary to pay time and a half on cash paid in lieu of fringes, the overtime rate shall be not less than the sum of the basic predetermined rate, plus the half-time premium on the basic or regular rate plus the required cash in lieu of fringes at the straight time rate. To simplify computation of overtime, it is suggested that the straight time basic rate and cash in lieu of fringes be separately stated in the hourly rate column. In addition, the Contractor shall check paragraph 4(b) of the statement to indicate that he is paying fringe benefits in cash directly to his employees. Any exceptions shall be noted in Section 4(c). Use of Section 4(c) Exceptions Any Contractor who is making payment to approved plans, funds, or programs in amounts less than the wage determination requires is obliged to pay the deficiency directly to the employees as cash in lieu of fringes. Any exceptions to Section 4(a) or 4(b), whichever the Contractor may check, shall be entered in Section 4(c). Enter in the "Exception" column, the craft, and enter in the "Explanation" column, the hourly amount paid the employees as cash in lieu of fringes, and the hourly amount paid to plans, funds, or programs as fringes. Page 34 of 43 SAMPLE - AFFIRMATIVE ACTION PLAN 1 INSTRUCTIONS FOR COMPLETING CONTRACT COMPLIANCE QUALIFYING REPORT I. JOB CATEGORY construction of highways,buildings,and other facilities;unskilled Data is to be completed for all listed job categories of employees. worker who brings materials to, and does preparation work for, skilled workers in a trade. Definitions: Service Workers: Occupations in which workers perform Administrators: Occupations which require that employees set duties, which results in or contributes to the comfort. broad policies, exercise overall responsibility for execution of convenience, upkeep and care of buildings,facilities or grounds these policies, direct individual departments or a special phase of public property. Workers in this category may operate of the Contractor's operations, or provide specialized machinery. consultation on a regional,district or area basis. Includes: chauffeurs, laundry and dry cleaning operators, truck Includes: directors, deputy directors, department heads drivers, bus drivers, garage laborers, custodial persons, controllers, foremen supervisors, inspectors, and kindred gardeners, groundskeepers, refuse collectors, and construction workers. laborers. Professional: Occupations which require specialized and II. CURRENT WORK FORCE theoretical knowledge which is usually acquired through college This category is to establish the Contractor's current employee training or through work experience and other training which status. provides comparable knowledge. Includes: personnel and labor relations workers, social workers, A. Total number of employees: The Contractor is to fill out the doctors psychologists, registered nurses, economists, dietitians, total number of persons currently employed in each job lawyers, system analysis, accountants, engineers, employment category. and vocational rehabilitation counselors, teachers or instructors, B. Black: The Contractor is to place lace the current number of and kindred workers. Black employees in each boxin this column for each job Technical: Occupations which require a combination of basic category. scientific or technical knowledge and manual skill which can be C. Hispanic: The Contractor is to place the current number of obtained through specialized post-secondary school education or employees of Hispanic origin in each box in this column for through equivalent on-the-job training. each job category. Includes: computer programmers and operators, draftsmen, surveyors, licensed practical nurses, photographers, radio D. Asian or Pacific Islanders: The Contractor is to place operators,technical illustrators, highway technicians,technicians current number of employees of Asian or Pacific Island (medical, dental, electronic, physical sciences), assessors, origin in each box in this column for each job category. inspectors,and kindred workers. E. American Indian or Alaskan Native: The Contractor is to Sales: Occupations in which the act of selling takes place: place the current number of American Indian or Alaskan exchange of property of any kind, or of services for an agreed Native employees in each box in this column for each job sum of money or other valuable consideration. One employed category. as a traveling agent or representative to sell goods or services. F. Total Minority: The number to be placed in each box in the Office and Clerical: Occupations in which workers are column can be reached by adding the current number of responsible for internal and external communication, recording Black, Hispanic, Asian, Pacific Islander, American Indian, and retrieval of data and/or information and other paperwork and Alaskan Native employees written in the four previous required in an office. columns. Includes: bookkeepers, secretaries, office machine operators, G. Total Females: In each box in this column the Contractor clerk typists, stenographers, statistical clerks, dispatchers, shall place the total number of white and minority females payroll clerks,messengers,and kindred workers. employed in each job category. Skilled: Occupations in which workers perform jobs which III. UNDERUTILIZATION require special manual skill, a thorough and comprehensive To establish whether under-utilization exists, a Contractor must knowledge of the processes involved in the work which is determine whether the "total minority" percentages and 'total acquired through on-the-job training, experience, through female percentages" in each job classification are lower than apprenticeship or other formal training programs. would reasonably be expected by their availability. Includes: mechanics. repairmen, electricians, heavy equipment After making this comparison, the Contractor should place a operators, stationary engineers. skilled machinist occupations, check mark in the box that applies ('yes" or "no') for each carpenters,compositors and typesetters,and kindred workers. category. Operative (Semiskilled): Occupations in which workers are IV. ANTICIPATED HIRING partly skilled, or doing manual work that requires only limited The Contractor should state the number of employees the training,experience or knowledge. Contractor plans to hire both as additional employees and Laborers(Unskilled): Occupations in which a worker performs replacements for each job category. a variety of manual work in the maintenance, repair or Page 35 of 43 Ora OOzT, 32.w _ t4l" a - $4QE a ¢ 1 OaE4g F0O LLeb.E d6. 00 ro '' o 11 Zzdod OE ° = 0 G ° ° _ o" " ' '' ILF9. 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AA a XE-. , gig ag. c _ w Z 542 ,92 aE Uc Uri V a5 as V= - O LL V O m Z w `o U w w i m 1- UJ > a) 7 F- a m Le t-Q U a` a Lll Z ° # g 9m`gng E O <`-2 Q _ 8 a z d U - E O i tot N • ¢ Q a m U¢ I 1 g z 0 .. w ta E oo= r oc F € 2 -J aN t W gco 2 o 3 Q e a w LL - 8 0 E 8 0. e 'E 0 > - C ro a E 0 ° 2 w 6 u - ¢ I- 2 a t 0 ° E - c E' E F = _ o w = u a - c 0 E co E n c o F Y = E Z - r n v ... e r e, AI- V U 'E o c v m E 4 .2 o 2 0 O ¢ a` r 113 8 8 0E 1 y SAMPLE -AFFIRMATIVE ACTION PLAN PART 2 AFFIRMATIVE ACTION POLICY FOR CONTRACTORS, SUBCONTRACTORS AND VENDORS Name of Contractor, Subcontractor or Vendor Adopts this plan to affirm its support of a program of equal employment opportunity, and to assure compliance with Executive Orders 11246 and 11375, Title VII of the Civil Rights Act of 1964, Section 503 of the Rehabilitation Act of 1973; the California Fair Employment Practice Act, and the implementing entity's Affirmative Action Compliance Program. This Contractor (or Subcontractor or Vendor) agrees to assert leadership within the community and to put forth good faith efforts to achieve full employment and utilization of the capabilities and the productivity of all our citizens without regard to race, age, color, sex, religion, ancestry, national origin, marital status, or handicap. This Contractor (or Subcontractor or Vendor) further recognizes that the effective application of a policy of equal employment opportunity involves more than just a policy statement and will, therefore, undertake affirmative action to make known that equal opportunities are available on the basis of individual merit, and to encourage advancement on this basis. The following Affirmative Action Program is hereby established as the policy and practices of our company: INSTRUCTIONS: Please answer each question by marking an "X" beside "A", "B", or"C". If"C" is marked, explain reason; use a separate sheet if additional space is needed. 1. Our company shall recruit and hire all employees without regard to race, age, color, sex, religion, ancestry, national origin, marital status or handicap, and will treat all employees equally in respect to compensation and opportunities for advancement, including upgrading and promotion. ❑A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 2. Our company will actively use recruitment sources such as employment agencies, unions, and schools that have a policy of referring applicants on a nondiscriminatory basis. ❑A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 3. Our company will disseminate its affirmative action policy externally by informing and discussing it with all recruitment sources, by advertising in news media, specifically including minority news media, and by notifying and discussing policy with all local minority, handicapped and women's organizations and Subcontractors and shall maintain records of the organizations responses. ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" Page 37 of 43 SAMPLE - AFFIRMATIVE ACTION PLAN PART 2 AFFIRMATIVE ACTION POLICY FOR CONTRACTORS, SUBCONTRACTORS AND VENDORS (Continued) 4. Our company shall make specific and constant personal, written, and oral recruitment efforts directed at all local minority, handicapped and women's organizations, including schools, recruitment and training organizations. ❑A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 5. Our company shall make specific efforts to encourage present minority, handicapped and women employees to recruit their friends and relatives who status also comes under that of minority, handicapped or women. ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 6. Our company will maintain a file of the names and addresses of each minority applicant and female applicant referred to the company for hiring, and if the applicant is not considered for employment or was not employed, the company's file should document this and the reason therefore. ❑A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 7. Our company shall notify the implementing entity Contract Compliance Officer when the union or unions with whom our company has a collective bargaining agreement have not referred to the company a minority, handicapped, or female worker sent for by the company or the company has other information that the union referral process has impeded the company's effort to meet the established goals of affirmative action. ❑A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑'C. Our Company cannot or will not adopt this policy. Explain "C" 8. Our company will actively take steps to integrate any positions, departments or plant location which have no women or minorities or are almost staffed with one particular group. ❑A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" Page 38 of 43 SAMPLE - AFFIRMATIVE ACTION PLAN PART 2 AFFIRMATIVE ACTION POLICY FOR CONTRACTORS, SUBCONTRACTORS AND VENDORS (Continued) 9. Our company shall insure that all employee specifications, selection requirements, tests, and other employee recruitment or evaluation procedures do not discriminate against minorities, handicapped, or women. ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C' 10. Where reasonable, our company shall develop or finance on-the-job training opportunities and participate and assist in any association or employee group training programs relevant to the company's employee needs ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 11. Our company shall continually inventory and evaluate all minority, handicapped, and female personnel for promotion opportunities and encourage minority and female employees to see such opportunities. ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C' 12. Our company shall make sure that seniority practices, job classifications, rates of pay, and other forms of compensation and other employee practices and classifications do not have an unlawfully discriminatory effect on handicapped, minority or female employees ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 13. Our company will make certain that all facilities normally used concurrently by all company activities are non-segregated. ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 14. Our company shall make certain that all Subcontractors are in compliance with the Affirmative Action Compliance Plan of the implementing entity, and that all project Subcontractors have an approved Affirmative Action Plan. ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" Page 39 of 43 SAMPLE - AFFIRMATIVE ACTION PLAN PART 2 AFFIRMATIVE ACTION POLICY FOR CONTRACTORS, SUBCONTRACTORS AND VENDORS (Continued) 15. Our Company shall solicit bids for subcontracts from minority Subcontractors and female Subcontractors subject to availability. ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 16. Our company shall make every effort to provide after school, summer and vacation employment to minority youths. ❑ A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" 17. Our company shall continually monitor all personnel activities to insure that the implementing entity's Affirmative Action Policy for Contractors and Vendors is carried out. ❑A. This is now a practice of our Company. ❑ B. Our Company will adopt this policy. ❑ C. Our Company cannot or will not adopt this policy. Explain "C" Date Signature Title Page 40 of 43 U.S. Department of Housing OMB Approval No.2501-0009 Record Of and Urban Development (exp.08/31/2007) Office of Labor Relations Employee Interview Public reporting burden for this collection of information is estimated to average 15 minutes per response,including the time for reviewing instructions,searching existing data sources,gathering and maintaining the data needed,and completing and reviewing the collection of information. This agency may not collect this information,and you are not required to complete this form,unless it displays a currently valid OMB control number. The information is collected to ensure compliance with the Federal labor standards by recording interviews with construction workers. The information collected will assist HUD in the conduct of compliance monitoringk the information will be used to lest the veracity of certified payroll reports submitted by the employer. Sensitive Information. The information collected on this form is considered senslive and is protected by the Privacy Act. The Privacy Act requires that these records be maintained with appropriate adminishative,technical, and physical safeguards to ensure their security and confidentiality. In addition,these records should be protected against any anticipated threats or hazards to their security or Integrity that could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom the Information is maintained. The information collected herein is voluntary,and any information provided shall be kept confidential. 1a. Project Name 2a. Employee Name lb. Project Number 2b. Employee Phone Number(including area code) 1c. Contractor or Subcontractor(Employer) 2c. Employee Home Address and Zip Code 2d. Verification of identification? Yes ❑ No ❑ 3a. How long on this 3b. Last date on this 3c. No.of hours last 4a. Hourly rate of pay? 40. Fringe Benefits? 4c. Pay stub? job? job before today? day on this job? Vacation Yes❑ No ❑ Yes ❑ No ❑ Medical Yes❑ No Pension Yes❑ No❑ 5. Your job classification(s)(list all) continue on a separate sheet if necessary 8. Your duties ?. Tools or equipment used Y N Y N 8. Are you an apprentice or trainee? ❑ ❑ 10. Are you paid at least time and% for all hours worked in excess of 40 in a week? ❑ ❑ 9. Are you paid for all hours worked? ❑ ❑ 11. Have you ever been threatened or coerced into giving up any part of your pay? ❑ ❑ 12a. Employee Signature 12b. Date 13. Duties observed by the Interviewer(Please be specific.) 14. Remarks 15a. Interviewer name(please print) 15b. Signature of Interviewer 15c. Date of interview Payroll Examination 16. Remarks 17a. Signature of Payroll Examiner ITb, Date Previous editions are obsolete Page 1 of form HUD-11(08/2004) Page 41 of 43 Instructions General: This form is to be used by HUD and local agency staff for recording information gathered during on-site interviews with laborers and mechanics employed on projects subject to Federal prevailing wage requirements. Typically, the staff that will conduct on-site interviews and use this form are HUD staff and fee construction inspectors, HUD Labor Relations staff, and local agency labor standards contract monitors. Information recorded on the form HUD-11 is evaluated for general compliance and compared to certified payroll reports submitted by the respective employer. The comparison tests the veracity of the payroll reports and may be critical to the successful conclusion of enforcement actions in the event of labor standards violations. The thoroughness and accuracy of the information gathered during interviews is crucial. Note that the interview itself and the information collected on the form HUD-11 are considered confidential. Interviews should be conducted individually and privately. All laborers and mechanics employed on the job site must be made available for an interview at the interviewer's request. The employee's participation, however, is voluntary. Interviews shall be conducted in a manner and place that are conducive to the purposes of the interview and that cause the least inconvenience to the employer(s)and the employee(s). Completing the form HUD-11 Items la-1c: Self-explanatory Items 2a-2d: Enter the employee's full name, a telephone number where the employee can be reached, and the employee's home address. Many construction workers use a temporary address in the locality of the project and have a more permanent address elsewhere from which mail may be forwarded to them. Obtain a more permanent address, if available. Ask the employee for a form of identification(e.g.,driver's license)to verify their name. Items 3a-4c: Enter the employee's responses. Ask the employee whether they have a pay stub with them; if so, determine whether the pay stub is consistent with the information provided by the employee. Items 5-7: Be certain that the employee's responses are specific. For example, job classification (Number 5) must identify the trade involved (e.g., Carpenter, Electrician, Plumber) - responses such as "journeyman" or °mechanic" are not helpful for our purposes. Items 8-12b: Self-explanatory Items 13-15c: These items represent some of the most important information that can be gathered while conducting on- site interviews. Please be specific about the duties you observed the employee performing. It may be easiest to make these observations before initiating the interview. Please record any comments or remarks that may be helpful. For example,if the employee interviewed was working with a crew, how many workers were in the crew? Was the employee evasive? The level of specificity that is warranted is directly related to the extent to which interview(s)or other observations indicate that there may be violations present. If interviews indicate that there may be underpayments involving a particular trade(s), the interviewer is encouraged to interview as many workers in that trade(s)that are available. Items 16-17b: The information on the form HUD-11 may be reviewed for general compliance, initially. For example, are the job classification and wage rate stated by the employee compatible with the classifications and wage rates on the applicable wage decision? Are the duties observed by the interviewer consistent with the job classification? Once the corresponding certified payroll reports are received,the information on the HUD-11 shall be compared to the payroll reports. Any discrepancies noted between the HUD-11 information and that on the payroll report shall be noted in Item 16, Remarks. If discrepancies are noted,follow-up actions to resolve the discrepancies must be taken. Previous editions are obsolete Page 2 of 2 form HUD-11(08/2004) Page 42 of 43 CERTIFICATE OF OWNER'S ATTORNEY We, the undersigned, the duly authorized and acting legal representative of do hereby certify as follows: I have examined the attached Contract(s) and surety bonds and the manner of execution thereof, and I am of the opinion that each of the aforesaid agreements has been duly executed by the proper parties thereto acting through their duly authorized representatives; that said representatives have full power and authority to execute said agreements on behalf of the respective parties named thereon; and that the foregoing agreements constitute valid and legally binding obligations upon the parties executing the same in accordance with terms, conditions and provisions thereof. Signed Date