HomeMy WebLinkAboutContracts & Agreements_114-2014_CCv0001.pdf FOR COUNTY USE ONLY
'f"r n New FAS Vendor Code Dept. Contract Number
I Change SC A
�BE�iIRDI
IZ Cancel
'`;'%•am} ePro Vendor Number ePro Contract Number
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 Dena Fuentes, Director (909)387-4411
F A S Contract Type
n [Revenue n Encumbered El Unencumbered I71 Other:
If not encumbered or revenue contract type,provide reason: I
STANDARD CONTRACT
Commodity Code Contract Start Date Contract End Date Original Amount Amendment Amount
July 1, 2015 June 30,2018 N/A N/A
Fund Dept. Organization Appr. Obi/Rev Source GRCIPROJ/JOB No Amount
SBA ECD ECD 200 2005 $
Fund Dept. Organization Appr. Obj/Rev Source GRC/PROJ/JOB No. Amount
Fund Dept. Organization Appr. Obj/Rev Source GRC/PROJIJOB No. Amount
Project Name Estimated Payment Total by Fiscal Year
FY 2015-18 FY Amount I/D FY Amount I/D
City-County Cooperation
Agreement
THIS CONTRACT is entered into in the State of California by and between the County of San Bernardino, hereinafter called
the County, and
Name
City of Redlands hereinafter called
Address
P.O. Box 3005
Redlands, CA 92373
Telephone Federal ID No.or Social Security No.
(909)798-7500
IT IS HEREBY AGREED AS FOLLOWS:
The attached Amended and Restated Cooperation Agreement is required by the U.S. Department of Housing and Urban
Development (HUD) in order to include the Redlands as a participant in the County's Community Development Block Grant
(CDBG), HOME Investment Partnership, Emergency Solutions Grant(ESG) and other HUD grant(s) programs. It allows the
City's population statistics to be included by HUD to calculate the County's grant(s)amount for each year starting in fiscal year
2015-2016 to 2017-18 and will automatically renew every three years thereafter unless revoked by either party, for so long as
the County is designated as an Urban County.
The attached Contract consists of eight pages and two exhibits.
Auditor-Controller/Treasurer Tax Collector Use Only
CI Contract Database O FAS
Input Date Keyed By
Page 1 of 9
AMENDED AND RESTATED COOPERATION AGREEMENT FOR
HOUSING AND URBAN DEVELOPMENT COMMUNITY DEVELOPMENT AND PLANNING GRANTS
FOR FISCAL YEARS 2015-16, 2016-17, 2017-18 AND SUBSEQUENT AUTOMATIC RENEWALS, UNLESS
TERMINATED
This Amended and Restated Agreement is made and entered into this day of , 2014, by
and between the County of San Bernardino, of the State of California, hereinafter referred to as "COUNTY", and
the City of Redlands, a City within COUNTY, hereinafter referred to as "CITY".
WHEREAS, U.S. Department of Housing and Urban Development, hereinafter called HUD, provides
Community Development Block Grant, Catalog of Federal Domestic Assistance (CFDA) #14.218, HOME
Investment Partnership, CFDA#14.239, and Emergency Solutions Grants, CFDA#14.231, funds and other grants
directly to qualified Metropolitan Cities, and Urban Counties via their Community Planning and Development
(CPD) Division; and
WHEREAS, the Housing and Community Development Act of 1974, as amended (Public Law 93-383),
hereinafter referred to as 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, the Congress of the United States has enacted the Cranston-Gonzalez National Affordable
Housing Act, Title II of this Act created the HOME Investment Partnership Program, hereinafter called "HOME",
that provides funds to states and local governments for the purpose of increasing the number of affordable
housing opportunities for low-and moderate income families; and
WHEREAS, the Congress of the United States provides funding for the Emergency Solutions Grant
Program, hereinafter called "ESG", for the purpose of assisting individuals and families in quickly regaining .
stability in permanent housing after experiencing a housing crisis or homelessness; and
WHEREAS, this Amended and Restated Cooperation Agreement covers CDBG, HOME, ESG and other
HUD entitlement grants; and
WHEREAS, COUNTY is a qualified Urban County and hereinafter COUNTY PROGRAM will refer to the
COUNTY's CDBG, HOME, ESG and other HUD grants program as well as to the legislation and regulations that
created and funded these programs; and
WHEREAS, HUD requires Metropolitan Cities and Urban Counties to re-qualify every three (3) years in
order to receive an allocation of various grant funds from HUD; and
WHEREAS, CITY and COUNTY both desire for CITY to continue to be a part of COUNTY PROGRAM so
both entities can benefit from increased efficiencies though economies of scale created by having the City's
funding allocation of these grants be added and be a part of the COUNTY PROGRAM for 2015-16, 2016-17,
2017-18 and every three (3) years thereafter; and
WHEREAS CITY and COUNTY agree that COUNTY shall be solely responsible for administering,
managing and directing COUNTY PROGRAM including but not limited to the preparation of the Consolidated Plan
that is required to be submitted to HUD in order for COUNTY to have access to COUNTY PROGRAM funds and
as such COUNTY has final authority for selecting activities that will be funded with COUNTY PROGRAM funds
and;
Revised 1/8/13 Page 2 of 9
WHEREAS, the execution of this Amended and Restated Cooperation Agreement, hereinafter referred to
as AGREEMENT, is necessary in order to meet the desires of both CITY and COUNTY of having CITY be a part
of COUNTY 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 starting on
July 1, 2015 for Fiscal Years 2015-2016, 2016-17, 2017-18, which will be funded from COUNTY
PROGRAM funds, which will include CITY's funding allocations, 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 affordable housing activities. This AGREEMENT shall automatically
renew for a new three (3) year-period every time COUNTY re-qualifies as an Urban County, (which is
every three (3) years), until such time as the City Council for the City of Redlands or San Bernardino
County Board of Supervisors elects to terminate this AGREEMENT at the conclusion of the preceding
three-year term. This AGREEMENT covers all COUNTY PROGRAM funds and other associated grants
administered by HUD though its CPD Division or its successor.
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.
The purpose of the Delegate Agency Agreement, which accompanies this AGREEMENT (Exhibit 1), and
subsequent ATTACHMENTS, is to enable CITY to implement projects and or programs funded with CDBG
funds as described in SECTION 14.
2. TERM
The term of this AGREEMENT shall be for fiscal years 2015-16, 2016-17, 2017-18 and shall commence
as of July 1, 2015. This AGREEMENT will subsequently automatically renew when COUNTY re-qualifies
as an Urban County for the next three (3) year period and therefore a new three (3) year term of this
AGREEMENT will begin at that time. The first of these automatic three (3) year term renewals will occur at
the beginning of fiscal year 2018-2019 (July 1, 2018) and every three (3)years thereafter unless an earlier
date of termination is fixed by HUD pursuant to COUNTY PROGRAM or until such time as the City Council
for the City of Redlands or San Bernardino County Board of Supervisors elects to terminate this
AGREEMENT at the conclusion of a 3-year term. This AGREEMENT shall remain in effect until all
COUNTY PROGRAM grant funds covered under the terms of this AGREEMENT, and any program
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 for any circumstance or
reason during the term of this AGREEMENT.
In order for the automatic renewal provisions of this AGREEMENT to be approved, HUD mandates that this
AGREEMENT includes a stipulation that requires CITY and COUNTY to adopt any amendment(s) necessary
to meet the requirements for cooperation agreements set forth in an Urban County Qualification Notice
applicable for a subsequent three-year urban county qualification period, and to submit such amendment to
HUD as provided in the Urban County Qualification Notice and that such failure to comply will void the
automatic renewal for such qualification period.
In addition, as part of the Urban County re-qualification process the COUNTY goes though every three (3)
years, COUNTY will notify CITY, via a letter,that CITY has the ability to terminate this AGREEMENT and not
be included as part of the submission by COUNTY to HUD for re-qualifying as an Urban County for the
Revised 1/8/13 Page 3 of 9
subsequent three (3) year qualification period. CITY agrees to send a timely response letter to COUNTY
stating its intentions to either continue to be a part the COUNTY PROGRAM or to elect to terminate this
AGREEMENT and not be a part of the COUNTY's upcoming submission to HUD to re-qualify as an Urban
County for the subsequent three (3)year period.
The COUNTY will submit to HUD the letter notifying CITY of its ability to terminate this AGREEMENT as well
as the CITY's response letter. COUNTY will also submit to HUD a written legal opinion provided by COUNTY
Counsel stating that the terms and provisions continue to be authorized under state and local law and that
the AGREEMENT continues to provide full legal authority for COUNTY.
This automatic renewal procedure will remain the same even if the CITY is recognized by HUD as a
Metropolitan City and therefore could receive CDBG funds directly from HUD.
The CITY will provide either CITY Council minutes approving the CITY being a part of the COUNTY Urban
County program and to the automatic renewal procedure.
3. PREPARATION OF APPLICATION
COUNTY, by and through its Economic Development Agency (EDA), subject to approval of the COUNTY
Board of Supervisors, shall be responsible for preparing and submitting to HUD all necessary applications
for the COUNTY PROGRAM entitlement grants. 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 related items associated with COUNTY
PROGRAM grants which satisfy its associated application requirements and regulations. All documents
will include information provided by CITY.
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 COUNTY PROGRAM and their regulations and approved by HUD.
5. COMPLIANCE WITH LEGISLATION AND REGULATIONS
COUNTY and CITY shall comply with all applicable requirements of COUNTY PROGRAM and associated
regulations, in utilizing grant funds under legislation that created and govern these grants, and shall take
all actions necessary to assure compliance with COUNTY certifications required by Section 104(b) of Title
I of ACT, as amended regarding 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 which incorporates Section 504 of the Rehabilitation Act of 1973 and the Age
Discrimination Act of 1975, the Fair Housing Act, and affirmatively furthering fair housing and other
applicable federal laws. CITY agrees that CDBG and HOME 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. CITY may be required to demonstrate how it
complies with the fair housing requirement. To ensure compliance with applicable regulations, CITY
agrees to adhere to the Delegate Agency Agreement which is Exhibit 1 of this AGREEMENT and the
accompanying Attachments.
In order for COUNTY to avoid the risk of losing CDBG funds as a result of CITY not spending CITY CDBG
funds in a timely manner as required by the ACT, COUNTY and CITY both agree that COUNTY has the
authority to transfer CITY CDBG funds to any CDBG-eligible project/program at COUNTY's sole discretion
if CITY is not spending its CDBG funds in a timely manner. Prior to transferring CITY CDBG funds,
COUNTY will notify CITY in writing that CITY is at risk of not meeting this timeliness requirement and
therefore COUNTY will transfer CITY CDBG funds if timeliness is not met. As referred to in SECTION 10
Revised 1/8/13 Page 4 of 9
DISPOSITION OF FUNDS, CITY and COUNTY both agree that CITY CDBG funds will be spent, to the
greatest extent feasible in a manner CITY desires but COUNTY shall have the final and sole decision as to
how CITY CDBG funds are spent.
Furthermore, CITY hereby covenants by and for itself, its successors and assigns, and all persons claiming
under or through it that there shall be no discrimination against or segregation of any person or group of
persons on account of race, color, religion, sex, marital status, familial status, disability, national origin, or
ancestry in the sale, lease, sublease, transfer, use, occupancy,tenure, or enjoyment of any project funded by
HOME or CDBG funds, nor shall CITY itself or any person claiming under or through it, establish or permit
any such practice or practices of discrimination or segregation with reference to the selection, location,
number, use or occupancy of tenants, lessees, subtenants, sublessees, or vendees in any project funded as
a result of this AGREEMENT.
The CITY shall refrain from restricting the rental, sale or lease of any project funded as a result of this
Agreement on the basis of race, color, creed, religion, sex, marital status, familial status, disability, national
origin or ancestry of any person.
The CITY and COUNTY agree to cooperate to undertake, or assist in undertaking, community renewal and
lower-income housing assistance activities.
A unit of general local government may not sell, trade, or otherwise transfer all or any portion of such funds to
a metropolitan city, urban county, unit of general local government, or Indian tribe, or insular area that directly
or indirectly receive CDBG funds in exchange for any other funds, credits or non-Federal consideration, but
must use such funds for activities eligible under ACT, as amended.
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 COUNTY PROGRAM funded activities identified
in this AGREEMENT and who is in a position to participate in a decision-making process or gain inside
information with regard to activities identified in this AGREEMENT, may not obtain a financial interest or
benefit from the COUNTY PROGRAM assisted activities identified in this AGREEMENT or any related
agreement, subcontract, or contract, 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 its 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 AGREEMENT, resulting from the negligent acts, errors or omissions of the CITY, its
authorized officers, employees, agents or volunteers, including, but not limited to, such liability, claims,
Revised 1/8/13 Page 5 of 9
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 agrees to indemnify, defend and hold harmless CITY, its officers, agents, volunteers, and
employees, from any and all claims, actual losses, damages and or liability that may result from the
negligent acts, errors or omissions of the COUNTY, its authorized officers, employees, agents, or
volunteers.
9. SELF-INSURANCE
The CITY and the COUNTY are authorized self-insured public entities for purposes of general liability,
automobile liability, professional liability and workers' compensation. CITY and COUNTY warrant that
through their respective programs of self-insurance, they have adequate coverage or resources to protect
against any liabilities arising out of their performance regarding the terms and conditions of this
AGREEMENT
10. DISPOSITION OF FUNDS
Unless prohibited by Federal Regulations, COUNTY and CITY agree that, to the greatest extent feasible,
CDBG funds will be allocated by COUNTY to CITY out of the funds received pursuant to ACT, according
to its proportional demographics, for activities and/or projects prioritized by CITY to alleviate its identified
community development needs eligible under ACT. COUNTY, though its Board of Supervisors, shall be
responsible for determining the final disposition and distribution of all funds received by COUNTY under
ACT and other related grants 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 described in SECTION 5, COMPLIANCE WITH LEGISLATION AND
REGULATIONS.
HOME funds will be allocated by COUNTY to Developer(s) based on a competitive Notice of Funding
Available process to address affordable housing needs by funding activities that are eligible under HOME
regulations and COUNTY, by its Board of Supervisors, shall be responsible for determining the final
disposition and distribution of all funds received by COUNTY under the HOME program as well as the
other COUNTY PROGRAM funds and for selecting the projects for which such funds shall be used.
COUNTY shall be compensated for administering COUNTY PROGRAM and other related grants by
utilizing allowable planning and administrative fee(s)and a project implementation fee.
11. DISPOSITION OF PROGRAM INCOME
CITY shall inform COUNTY regarding any income generated by the expenditure of COUNTY PROGRAM
funds received by CITY. All said income, even if it is received after this AGREEMENT has expired, shall
promptly be paid to COUNTY. COUNTY shall be responsible for monitoring and reporting to HUD on the
use of any such program income; CITY is required to keep appropriate records and provide reports to
COUNTY regarding program income. In the event of COUNTY PROGRAM funds close-out or change in
status of CITY under COUNTY PROGRAM funds, 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.
Revised 1/8/13 Page 6 of 9
' . r
12. DISPOSITION OF REAL PROPERTY
This section sets forth the standards which shall apply to real property acquired or improved in whole or in
part using CDBG and HOME funds that are allocated to (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 and non-HOME funds in an amount equal to the
current fair market value (less any portion thereof attributable to expenditures of non-CDBG or non-HOME
funds) of property acquired or improved with CDBG or HOME funds that is sold or transferred for a use,
which does not qualify under CDBG and HOME regulations.
13. EFFECTIVE DATES
This AGREEMENT shall be effective initially for all purposes for the period beginning July 1, 2015 and
ending June 30, 2018. Thereafter, commencing July 1, 2018, this AGREEMENT will automatically renew
for three-year periods every three (3) years, when the COUNTY re-qualifies as an Urban County, until
such time as the CITY or COUNTY elects to terminate the AGREEMENT at the conclusion of the
preceding term. This AGREEMENT will be executed by COUNTY and CITY, properly submitted to HUD,
the grantor, by the designated deadline, and approved by HUD.
14. OTHER AGREEMENTS
Pursuant to federal regulations at 24 CFR 570.501(b), 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 and other related regulations. COUNTY and CITY as part of this
AGREEMENT are also entering into a Delegate Agency Agreement (which is Exhibit 1 of this
AGREEMENT) and accompanying ATTACHMENTS, for the purpose of having CITY implement CDBG-
funded projects and or programs. COUNTY and CITY both agree it would be more effective and efficient if
CITY implements projects and or programs funded with CITY CDBG funds. The purpose and intent of the
Delegate Agency Agreement is to create a mechanism whereby COUNTY delegates its authority, under its
Urban County agreement with HUD to CITY, thereby enabling CITY to implement projects and programs
funded with CITY CDBG funds while the COUNTY ensures all associated rules and regulations are
followed. Prior to disbursing any CDBG funds to CITY, COUNTY, shall execute and adhere to the
Delegate Agency Agreement and related documents with CITY. Said agreement shall remain in effect
during any period that CITY has control over CDBG funds, including program income.
The Delegate Agency Agreement provides a detailed account of the policies and procedures on how a
project is officially assigned by COUNTY to the CITY for implementation and the steps that need to be
completed by both CITY and COUNTY (above and beyond the approval of this AGREEMENT) prior to any
obligation or expenditure of funds whereby the CITY will seek reimbursement from COUNTY. Any
obligation and or expenditure made by CITY without the expressed written approval by COUNTY may
result in CITY not being able to utilize CDBG funds.
15. AMERICAN RECOVERY AND REINVESTMENT ACT FUNDING (ARRA)
Use of ARRA Funds and Requirements
This AGREEMENT may be funded in whole or in part with funds provided by the American Recovery and
Reinvestment Act of 2009 ("ARRA"), signed into law on February 17, 2009. Section 1605 of ARRA
prohibits the use of recovery funds for a project for the construction, alteration, maintenance or repair of a
public building or public work (both as defined in 2 CFR 176.140) unless all of the iron, steel and
manufactured goods (as defined in 2 CFR 176.140) used in the project are produced in the United States.
A waiver is available under three limited circumstances: (I) Iron, steel or relevant manufactured goods are
Revised 118/13 Page 7 of 9
not produced in the United States in sufficient and reasonable quantities and of a satisfactory quality; (ii)
Inclusion of iron, steel or manufactured goods produced in the United States will increase the cost of the
overall project by more than 25 percent; or (iii) Applying the domestic preference would be inconsistent
with the public interest. This is referred to as the "Buy American" requirement. Request for a waiver must
be made to the County for an appropriate determination.
Section 1606 of ARRA requires that laborers and mechanics employed by contractors and subcontractors
on projects funded directly by or assisted in whole or in part by and through the Federal Government
pursuant to ARRA shall be paid wages at rates not less than those prevailing on projects of a character
similar in the locality as determined by the Secretary of Labor in accordance with the Davis-Bacon Act (40
U.S.C. 31). This is referred to as the "wage rate" requirement.
The above described provisions constitute notice under ARRA of the Buy American and wage rate
requirements. Contractor must contact the County contact if it has any questions regarding the
applicability or implementation of the ARRA Buy American and wage rate requirements. Contractor will
also be required to provide detailed information regarding compliance with the Buy American
requirements, expenditure of funds and wages paid to employees so that the County may fulfill any
reporting requirements it has under ARRA. The information may be required as frequently as monthly or
quarterly. Contractor agrees to fully cooperate in providing information or documents as requested by the
County pursuant to this provision. Failure to do so will be deemed a default and may result in the
withholding of payments and termination of this Contract.
Contractor may also be required to register in the Central Contractor Registration (CCR) database at
http://www.ccr.bov and may be required to have its subcontractors also register in the same database.
Contractor must contact the County with any questions regarding registration requirements.
Schedule of Expenditure of Federal Awards
In addition to the requirements described in "Use of ARRA Funds and Requirements," proper accounting
and reporting of ARRA expenditures in single audits is required. Contractor agrees to separately identify
the expenditures for each grant award funded under ARRA on the Schedule of Expenditures of Federal
Awards (SEFA) and the Data Collection Form (SF-SAC) required by the Office of Management and
Budget Circular A-133, "Audits of States, Local Governments, and Nonprofit Organizations." This
identification on the SEFA and SF-SAC shall include the Federal award number, the Catalog of Federal
Domestic Assistance (CFDA) number, and amount such that separate accountability and disclosure is
provided for ARRA funds by Federal award number consistent with the recipient reports required by ARRA
Section 1512 (c).
In addition, Contractor agrees to separately identify to each subcontractor and document at the time of
sub-contract and at the time of disbursement of funds, the Federal award number, any special CFDA
number assigned for ARRA purposes, and amount of ARRA funds.
Contractor may be required to provide detailed information regarding expenditures so that the County may
fulfill any reporting requirements under ARRA described in this section. The information may be required
as frequently as monthly or quarterly. Contractor agrees to fully cooperate in providing information or
documents as requested by the County pursuant to this provision. Failure to do so will be deemed a
default and may result in the withholding of payments and termination of this Contract.
Revised 1/8/13 Page 8 of 9
Whistleblower Protection
Contractor agrees that both it and its subcontractors shall comply with Section 1553 of the ARRA, which
prohibits all DOD-Federal contractors, including the State, and all contractors of the State, from discharging,
demoting or otherwise discriminating against an employee for disclosures by the employee that the
employee reasonably believes are evidence of: (1) gross mismanagement of a contract relating to ARRA
funds; (2) a gross waste of ARRA funds; (3) a substantial and specific danger to public health or safety
related to the implementation or use of ARRA funds; (4) an abuse of authority related to the
implementation or use of recovery funds; or (5) a violation of law, rule, or regulation related to an agency
contract (including the competition for or negotiation of a contract) awarded or issued relating to ARRA
funds.
Contractor agrees that it and its subcontractors shall post notice of the rights and remedies available to
employees under Section 1553 of Division A, Title XV of the ARRA.
COUNTY OF SAN BER A RDINO CITY OF REDLANDS
0 d
40 0 df . I
By 9
G -!it . le ereaux, Chief Executi e Officer (Authorized signature-sigh in blue in
, 0 /9'
Dated: Name: Pete Aguilar
(Print or type name of person signing contract)
Title: Mayor
(Print or Type)
Dated:
City Clerk Clerk ATTEST: 7:'' 9
Address: P.O. Box 3005
Redlands, CA 92373
AP*roved as to egal Form Reviewed by Contract Compliance Pres d to COS for Signature
aAiltbi m4
4
Michelle Blake,* . t.st County counsel Arthur Malan,.Contract Compliance Dodo uentes,Department Head
A4, .
Date 1'll'l it 4'14 Date 4?..°'/5° AO'Y Date —.1 2.4 I/V
Revised 1/8/13 Page 9 of 9
Exhibit 1 of 1
5e"7 n New FAS Vendor Code e Dept. /� Contract Number
isy;no 21_, Change SC A
:`�''l D Cancel
ePro Vendor Number ePro Contract Number
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 Dena Fuentes, Director (909)387-4411
FASContract Type
_ n !Revenue n Encumbered n Unencumbered 6a Other:
It not encumbered or revenue contract type,provide reason: I
STANDARD CONTRACT
Commodity Code Contract Start Date Contract End Date Original Amount Amendment Amount
July 1,2015 June 30,2018 N/A N/A
Fund Dept. Organization Appr. Obj/Rev Source GRC/PROJ/JOB No Amount
SBA ECD ECD 200 2005 I $
Fund Dept. Organization Appr. ObjlRev Source GRC/PROJ/JOB No. Amount
3
Fund Dept. Organization Appr. ObjlRev Source GRC/PROJ/JOB No. Amount
1 1
Project Name Estimated Payment Total by Fiscal Year
2015-16,2016-17,2017-18
CDBG City/County FY Amount IID FY Amount lID
Delegate Agency Agreement
Contract Type 2(b)
. . a
THIS CONTRACT is entered into in the State of California by and between the County of San Bernardino, hereinafter
called the County, and
Name hereinafter
City of Redlands called
Address
P.O. Box 3005
Redlands, CA 92373
Telephone Federal ID No.or Social Security No.
(909)798.-7500
IT IS HEREBY AGREED AS FOLLOWS:
In compliance with the requirements of Title I of the Housing and Community Development Act of 1974, as
amended, the County executed a Amended and Restated Cooperation Agreement with the Redlands to be a
part of the County of San Bernardino's "Urban County" application to the federal Department of Housing and
Urban Development (HUD) through mutual cooperation to undertake or assist in undertakilig essential
community development and housing activities. Pursuant to Section 14 of the Cooperation Agreement, this
Delegate Agency Agreement and its attachments are set forth to further implement the provisions of the
Cooperation Agreement. They specify the procedures, sequences, responsibilities and forms to be used to
carry out CDBG activities according to local, state and feral requirements. The Amended and Restated
Delegate Agency Agreement is specifically subordinate and supplementary to and runs concurrent with the
Amended and Restated Cooperation Agreement.
Auditor-Controller/Treasurer Tax Collector Use Only
0 Contract Database 0 FAS
Input Date Keyed By
Page 1 of12
The attached Contract consists of 11 pages and four attachments.
AMENDED AND RESTATED COMMUNITY DEVELOPMENT BLOCK GRANT
CITY-COUNTY DELEGATE AGENCY AGREEMENT
For Fiscal Years 2015-16, 2016-17, 2017-18 and SUBSEQUENT AUTOMATIC RENEWALS UNLESS
TERMINATED
This Amended and Restated Agreement accompanies the Cooperation Agreement, herein after
referred to as AGREEMENT, made and entered into, by and between the County of San Bernardino a political
subdivision of the State of California, referred to as "COUNTY", and the City of Redlands, a municipal
corporation located within the boundaries of San Bernardino County, referred to as "CITY".
WITNESSETH
WHEREAS, COUNTY has been designated an "Urban County" by the United States Department of
Housing and Urban Development, hereinafter referred to as "HUD", as that term is defined in Title I of the
Housing and Community Development Act of 1974 as amended, hereinafter referred to as "ACT"; and
Whereas, COUNTY will administer a Community Development Block Grant (CDBG) program (CFDA No.
14.218) that includes the development of a Consolidated Submission of the HUD Housing and Community
Development Grant programs, hereinafter referred to as "CONSOLIDATED PLAN", which constitutes
COUNTY's application for federal assistance under said ACT; and,
WHEREAS, CITY and COUNTY have entered into a Amended and Restated Cooperation Agreement
so as to enable CITY to be a part of COUNTY's CDBG program, commencing with Fiscal Years 2015-16,
2016-17, 2017-18 and set to automatically renew for three (3) year periods while the COUNTY is designated
as an Urban County, to which this Delegate Agency Agreement is subordinate and supplementary agreement
per SECTION 14 of Cooperation Agreement; and
WHEREAS, COUNTY administers a CDBG program for a number of cooperating cities, and in the
unincorporated areas of San Bernardino County, through its Economic Development Agency, hereinafter
referred to as"EDA"; and,
WHEREAS, CITY has the ability, expertise and resources to manage and administer CDBG-funded
projects/programs and agrees to adhere to all rules, regulations and related requirements associated with the
utilization of CDBG funds; and,
WHEREAS, CITY desires to assume the responsibility of project implementation within its corporate
limits in cooperation with COUNTY; and,
WHEREAS, both COUNTY and CITY seek to coordinate their community development and
neighborhood revitalization efforts in order to fully utilize all available resources while increasing efficiencies
though economies of scale associated with the planning and administration of a large scale CDBG program;
and
NOW, THEREFORE, it is understood and agreed by and between the parties hereto as follows:
1. PURPOSE
This Delegate Agency Agreement, which is Exhibit 1 to the Cooperation AGREEMENT, is made
pursuant to the provisions of Article 1, Chapter 5, Division 7, Title I of the Government Code of the
State of California (commencing with Section 6500), relating to public agencies. The purpose of this
Delegate Agency Agreement is to enable CITY to implement CITY-CDBG funded projects or programs
while adhering to the provisions of the Cooperation AGREEMENT in carrying out CDBG activities that
Revised 1/8/13 Page 2 of 12
have been approved by COUNTY for CITY in accordance with the CONSOLIDATED PLAN. The
purpose will be accomplished pursuant to the requirements of the ACT, its regulations and other
federal, state and county laws and policies in the manner hereinafter set forth. This Delegate Agency
Agreement is not a stand alone agreement and is only valid as a component of the Cooperation
AGREEMENT; whereas the Cooperation AGREEMENT is a stand alone agreement and will be valid
even if this Delegate Agency Agreement no longer exists. In absence of this Delegate Agency
Agreement the CITY would not be able to implement any CDBG-funded projects or programs; however
the COUNTY would still be able to implement CITY or COUNTY CDBG-funded projects and or
programs as authorized under the Cooperation AGREEMENT.
Unless specified otherwise, EDA shall have the authority to represent COUNTY regarding the terms
and conditions of this Agreement and the administration thereof.
2. TERM
This Delegate Agency Agreement shall become initially effective starting Fiscal Years 2015-2016,
2016-17, 2017-18, beginning on July 1, 2015 and ending June 30, 2018. Thereafter, commencing July
1, 2018 this Delegate Agency Agreement, as part of the Cooperation AGREEMENT will automatically
renew for three (3) year periods, when the COUNTY re-qualifies as an Urban County, until such time
as the City of Redlands or County of San Bernardino elects to terminate at the conclusion of a 3-year
term. Even though this Delegate Agency Agreement does not stand alone, in order to complete the
construction of a previously funded project(s) it may be extend beyond the conclusion of a 3-year term.
COUNTY, though its Chief Executive Officer or EDA Administrator may grant an extension of up to six
months to the term of this Delegate Agency Agreement for the purpose of completing CITY's
projects/activities that are underway and which can not be completed during the term of this
AGREEMENT. CITY must request any such extension in writing. Any extension will only be effective if
granted in writing by COUNTY. Maintenance and operation and monitoring requirements for facilities
developed under the terms of this Delegate Agency Agreement, as described in SECTION 9
MAINTENANCE AND OPERATION OF FACILITIES and SECTION 15 MONITORING, shall be in
effect and continue in full force as prescribed in SECTION 2 TERM of the Cooperation AGREEMENT
and continue even if AGREEMENT is terminated or has expired.
3. AUTHORIZATION OF PROJECT/ACTIVITY
CITY shall not initiate nor incur expenses for any CDBG-funded project or activity covered under the
terms of this Delegate Agency Agreement prior to receiving written authorization from COUNTY.
Written authorization will be accomplished when Attachments A(Request to Initiate Project or Activity)
and B (Project or Activity Description) to this Delegate Agency Agreement have been completed for a
CDBG-funded project or activity and signed by CITY and countersigned by EDA. Any such authorized
Project or Activity shall hereinafter be referred to as an "AUTHORIZED PROJECT".
4. IMPLEMENTATION OF AUTHORIZED PROJECT
CITY agrees to implement AUTHORIZED PROJECTS in the manner prescribed in the Delegate
Agency Coordination Procedures (Attachment C), using the forms and language contained in the
Delegate Agency Construction Contract Provisions (Attachment D), and agrees to comply with all
applicable local county, state and federal regulations associated with the implementation of CDBG
projects and with AGREEMENT.
CITY may contract for all necessary services to complete AUTHORIZED PROJECTS described on its
executed Attachments A and B provided that contracts are submitted to and approved in writing by
EDA prior to their execution. CITY Attorney is responsible for assuring and certifying that the
AUTHORIZED PROJECT undertaken by CITY's contracting party complies with all applicable
Revised 1/8/13 Page 3 of 12
regulations and statutes, as amended, listed in Attachment C, the Delegate Agency Construction
Contract, Section IV.
5. MODIFICATION OF AUTHORIZED PROJECTS
All modifications to AUTHORIZED PROJECT must be pre-approved by COUNTY in order to be
considered a part of AUTHORIZED PROJECT and eligible for reimbursement by COUNTY. CITY may
request modification(s) to CDBG funding levels authorized by Attachment A or the pertinent Project
Description (i.e. Scope of Activity) authorized by Attachment B. Upon receipt of a written request from
CITY, and approval by COUNTY, COUNTY will revise Attachments A and B.
6. CONSOLIDATED PLAN AMENDMENT
Requests by CITY to add, delete or substantially modify an activity listed in CONSOLIDATED PLAN
must be made in writing to COUNTY._ Requests to add new activity(ies) must be accompanied by a
CDBG project proposal application.
Substantial modifications are defined as follows: 1) an increase in funding for a CDBG public service-
type activity in an amount greater than $50,000 over the current funded amount; or 2) an increase in
the funding for other activities (public facility improvements, code enforcement, acquisition, etc.) in an
amount greater than $400,000 over the current funded amount; or 3) A new activity not previously
listed and described in the Consolidated Plan/Annual Action Plan; or 4) a change in the type of activity;
or 5) a change in the location of the activity; or 6) a change in the beneficiaries of the activity.
Requests for additions and substantial modifications will be reviewed by COUNTY for eligibility and
compatibility with CONSOLIDATED PLAN. Additions, deletions and substantial modifications must be
approved by CITY Council action and supportive documentation for said action must be sent to
COUNTY. CITY shall comply with the requirements of and participate in the implementation of the
citizen participation portion of CONSOLIDATED PLAN.
7. COUNTY RESPONSIBILITIES
COUNTY, through EDA, is empowered to enforce all federal regulations pertaining to CDBG-funded
projects undertaken by CITY under AGREEMENT. CITY recognizes that COUNTY, as the formal
grantee of the CDBG, has full responsibility and obligations to HUD for undertaking the CDBG Program
and has full authority in administering and allocating funds. CITY will have no direct responsibilities or
obligations to HUD, except as identified, under AGREEMENT. COUNTY will provide technical
assistance to CITY in a timely and expeditious manner upon written request to EDA Administrator.
8. CONFORMANCE TO COUNTY PROCEDURES
Under this Delegate Agency Agreement, CITY elects to be responsible for implementing CDBG-
funded projects. However, in implementing said projects, CITY must perform all services and activities
in accordance with federal and state statutory requirements and with the policies and procedures
established by the Board of Supervisors, and shall comply with the following:
A. COMMUNITY DEVELOPMENT ADMINISTRATOR
Upon COUNTY and CITY's mutual assent to this Delegate Agency Agreement, CITY will
designate a "Community Development Administrator" by filling in the name of said person in the
space provided below. The Community Development Administrator is the responsible authority
for all correspondence with COUNTY, and is the signatory on AUTHORIZED PROJECT
Attachments A and B and shall advise the CITY Council, CITY administration and CITY staff, as
Revised 1/8/13 Page 4 of 12
appropriate regarding the CDBG program. CITY may, by written notification as set forth below,
change the Community Development Administrator.
CITY's Community Development Administrator for this Delegate Agency Agreement is
N. Enrique Martinez , TITLE: City Manager
B. FISCAL CONTACT PERSON
For purposes of this Delegate Agency Agreement, CITY shall also designate a fiscal contact
person by filling in the space provided below. The fiscal contact person shall be responsible for
billing and fiscal procedures regarding the CDBG program and will serve as the primary contact
for technical fiscal matters. CITY may, by written notification as set forth below, change the
fiscal contact person.
CITY Fiscal Contact person for this Delegate Agency Agreement is
N. Enrique Martinez , TITLE: City Manager
C. CITY shall be responsible for maintaining complete and separate fiscal accounts for CDBG
funds which come under its control in such manner as to permit the reports required by
COUNTY to be prepared therefrom and to permit the tracing of CDBG funds to their final
expenditure. CITY will submit to EDA complete and detailed project descriptions, budgets, and
expenses for each project that CITY implements with CDBG funds along with monthly reports
of grant expenditures.
9. MAINTENANCE AND OPERATION OF FACILITIES
CITY shall provide maintenance and operation for the life of any and all facilities constructed with
CDBG funds under AGREEMENT that are CITY owned or operated, for the life of the facility, not less
than 10 years. This Section shall survive the termination of this Delegate Agency Agreement and or
AGREEMENT.
10. FUNDING LIMITS
CDBG funding of AUTHORIZED PROJECTS is limited to the amount allocated to CITY as listed in the
Attachment A(Request to Initiate Project or Activity).
11. DISBURSEMENT OF FUNDS
All CDBG funds allocated to CITY'S AUTHORIZED PROJECT(S) shall be received from the federal
government by COUNTY under ACT. EDA will disburse the funds to CITY on a cost reimbursement
basis. Billing shall be accompanied by all pertinent source documentation to be presented to EDA by
CITY on or about the first day of each month, allowing 30 days for payment on the part of EDA.
COUNTY shall be entitled to retain from such funds such amount as is calculated as the direct costs
(including, but not limited to, salaries, benefits, mileage, actual cost of materials, meals and other
authorized expenses allowable under the Travel Code Section 13.0638 County of San Bernardino)
incurred by COUNTY in implementing CITY's AUTHORIZED PROJECTS.
Revised 1/8/13 Page 5 of 12
12. WITHHOLDING OF FUNDS
COUNTY shall retain the right to withhold funds for any programs carried out by CITY, CITY's
Contractor, or CITY's subcontractor upon giving written notice to CITY indicating that COUNTY has
determined that CITY has not performed its obligations as stated in this Delegate Agency Agreement
and or Cooperation AGREEMENT in a satisfactory or timely manner consistent with federal regulations
or policy. COUNTY shall notify CITY in writing of this determination, specifying the objection(s) to
CITY's performance. CITY shall then have a maximum of ten (10) days in which to remedy said
deficiencies. Should said deficiencies not be remedied within the above mentioned ten (10) day
period, COUNTY shall have full authority to reallocate CITY's CDBG program funding to any other
eligible activity(ies), which can be implemented or to assume sole responsibility for carrying out any
and/or all AUTHORIZED PROJECTS, upon written notice to CITY. Upon such notice, CITY agrees to
cease all activity provided hereunder, as specified in said notice.
13. PROGRAM INCOME
Program income represents net income directly generated from the use of CDBG funds by CITY as a
result of the activity funded under the terms of AGREEMENT. When such income is generated by an
activity only partially assisted with CDBG funds, the income shall be prorated to reflect the percentage
of CDBG funds used. CITY shall return program income to COUNTY even if it is received after this
AGREEMENT has expired. COUNTY shall have full authority to reallocate program income funding to
any other eligible activity(ies), which can be implemented in a satisfactory or timely manner consistent
with federal regulations or policy. Program income shall be returned to COUNTY within 30 days after:
a) disposition or sale of real or personal property occurs or; b) cumulative program income reaches
increments of $1,000; or c) the end of each fiscal year. CITY shall include in the reports required by
Section 14, PROGRAM REPORTING AND RETENTION OF RECORDS, all sources and amounts of
program income on a monthly and year-to-date basis.
Program income returned by COUNTY to CITY will be spent by CITY on only those costs authorized
under this Delegate Agency Agreement. All provisions of AGREEMENT shall apply to said use of
program income funds. CITY shall account for the receipt and use of program income in such a way
that program income is spent on AUTHORIZED PROJECTS before additional CDBG funds are spent.
Any program income on-hand when this AGREEEMENT expires or is received after such expiration will
be paid to COUNTY within thirty(30) days.
14. PROGRAM REPORTING AND RETENTION OF RECORDS
CITY agrees to prepare and submit financial, program progress, and other reports as required by HUD
or COUNTY directives. CITY shall maintain such program, property, personnel, financial, statistical
and other records, supporting documents, and accounts as are considered necessary by HUD or
COUNTY to assure proper accounting for all AGREEMENT funds. Said records, documents and
accounts are to be retained by CITY for a minimum of five years. The retention period starts from the
date the COUNTY submits its annual performance and evaluation report, as prescribed in 24 CFR
91.520, in which the service under the terms of this AGREEMENT is reported on for the final time.
Said COUNTY submission will follow CITY's final submission to COUNTY of reports identified under
this paragraph. Records and accounts subject to litigation or audit must be maintained for five years or
until the issue is resolved, whichever is longer.
Records that pertain to real estate transactions must be maintained for five years or the number of
years that there is an outstanding obligation, whichever is longer. The starting date for retention of
records on CDBG-purchased equipment begins at the end of the equipment's use, when it is disposed
of or transferred. The retention period for records relating to program income begins on the last date
of COUNTY fiscal year in which the income is earned. All CITY's records, with the exception of
Revised 1/8/13 Page 6 of 12
confidential client information, shall be made available to representatives of COUNTY and the
appropriate federal agencies. CITY is required to submit data necessary to enable the COUNTY to
complete any and all necessary reports in accordance with HUD regulations in the format and at the
time designated by the EDA Administrator or his designee.
15. MONITORING
EDA Administrator or designee will conduct periodic monitoring of CITY administration of
AUTHORIZED PROJECTS. Monitoring will focus on the extent to which the CONSOLIDATED PLAN
has been implemented, measurable goals achieved and effectiveness of project management, and
impact of AUTHORIZED PROJECTS. Authorized representatives of COUNTY and HUD shall have the
right of access to all activities and facilities operated by CITY under this AGREEMENT. Facilities
include all files, records, and other documents related to the performance of this AGREEMENT. CITY
will permit on-site inspection by COUNTY, and HUD representatives, and ensure that its employees
furnish such information, as in the judgment of COUNTY and HUD representatives, may be relevant to
a question of compliance with contractual conditions and HUD directives, or the effectiveness, legality,
and achievements of the program.
16. ACCOUNTING
CITY must establish and maintain, on a current basis, an adequate accrual accounting system in
accordance with generally accepted accounting principles and standards.
17. AUDITS
CITY is required to arrange and pay for an independent financial and compliance audit annually for
each fiscal year during which federal funds are received under this AGREEMENT as required by
Circular A-128 pursuant to the Single Audit Act of 1984, Public Law 98-502. The results of the single
audit must be submitted to COUNTY within 30 days of completion. Within 30 days of the submittal of
said audit report, CITY shall provide a written response to all conditions or findings reported in said
audit report. The response must examine each condition or finding and explain a proposed resolution,
including a schedule for correcting any deficiency. All condition or finding correction actions shall take
place within six months after EDA's receipt of the audit report. An audit may also be conducted by
federal, state or local funding source agencies as part of the COUNTY's audit responsibilities.
COUNTY and its authorized representatives shall, at all times, have access for the purpose of audit or
inspection to any and all books, documents, papers, records, property, and premises of CITY. CITY's
staff will cooperate fully with authorized auditors when they conduct audits and examinations of CITY's
program. If indications of misappropriation or misapplication of the funds of this AGREEMENT cause
COUNTY to require a special audit, the cost of the audit will be encumbered and deducted from funds
allocated to CITY's CDBG AUTHORIZED PROJECTS. Should COUNTY subsequently determine that
the special audit was not warranted, the amount encumbered will be restored to said CDBG
AUTHORIZED PROJECT allocations. Should the special audit confirm misappropriation or
misapplication of funds, CITY shall reimburse COUNTY the amount of misappropriation or
misapplication from non-CDBG funding sources.
18. REVERSION OF ASSETS
Upon AGREEMENT termination, CITY shall transfer to COUNTY all CDBG funds on-hand (including,
but not limited to, program income) at the time of expiration and any accounts receivable attributable to
the use of CDBG funds.
All real property acquired or improved in whole or in part with CDBG funds in excess of$25,000 under
this AGREEMENT must continue in the use that provides the service benefits and national objectives,
for which it was funded until five years after expiration of this AGREEMENT as set forth in 24 CFR
Revised 1/8/13 Page 7 of 12
570.503, or such longer period of time as determined by COUNTY; or it must be disposed of in a
manner resulting in a reimbursement to COUNTY in the amount of the current fair market value of the
property, as determined by COUNTY, less any portion thereof attributable to expenditures of non-
CDBG funds for the acquisition of, or improvement to the property. This Section 18 shall survive the
termination of this AGREEMENT.
19. TERMINATION AND TERMINATION COSTS
This Delegate Agency Agreement may be terminated in whole or in part at any time by either party
upon giving 60 days notice in writing to the other party if for whatever reason either party no longer
desires to have CITY implement CDBG funded projects/programs. If the Delegate Agency Agreement
is terminated, the AGREEMENT shall continue in full force until such time as described in SECTION 1
GENERAL and SECTION 2 TERM of AGREEMENT. An agreement must be reached by both parties
as to conditions for termination in compliance with the provisions of federal regulations at 24 CFR Part
85.44, Termination for Convenience. EDA is hereby empowered to give said notice subject to
ratification by the COUNTY Board of Supervisors.
COUNTY may immediately terminate this Delegate Agency Agreement upon the termination,
suspension, discontinuation or substantial reduction in HUD CDBG funding for the Delegate Agency
Agreement activity or if for any reason the timely completion of the work under this AGREEMENT is
rendered improbable, infeasible or impossible. If CITY materially fails to comply with any term of this
AGREEMENT, COUNTY may take one or more of the actions provided under the federal regulation at
24 CFR Part 85.43, Enforcement, which includes temporarily withholding cash, disallowing non-
compliant costs, wholly or partly terminating the award, withholding future awards, and other remedies
that are legally available. In such an event, CITY shall be compensated for all services rendered and all
necessarily incurred costs performed in good faith in accordance with the terms of this Agreement that
have been previously reimbursed, to the date of said termination to the extent that CDBG funds are
available from HUD.
20. PROJECT ACKNOWLEDGMENT
Should CITY determine that the funding sources or the names of responsible public officials be
displayed on a completed building or significant project, such identification should be acknowledged on
a plaque, permanently mounted in an appropriate location, made of bronze or other appropriate
material, acknowledging the funding source as the Department of Housing and Urban Development,
San Bernardino County Community Development Block Grant. The current Board of Supervisors and
the members of the CITY Council shall also be identified. When multiple funding sources are utilized
to construct a project, all funding sources shall be identified. The listing order of multiple funding
sources identified on the plaque shall be the largest dollar amount first, the second largest dollar
amount second, etc.
21. CONTRACT COMPLIANCE
CITY will take all necessary affirmative steps to assure that minority firms, women's business
enterprises, and Labor Surplus Area Firms (a firm located in an area of high unemployment) are used
when possible in compliance with provisions of Title 24 code of federal regulations Part 85.36(e).
CITY shall comply with Executive Orders 11246, as amended by Executive Orders 11375, 11478,
12086, and 12107, (Equal Employment Opportunity), Executive Orders 11625, 12138, 12432, 12250,
and Executive Order 13279 (Equal Protection of the Laws for Faith-Based and Community
Organizations), Title VII of the Civil Rights Act of 1964, the California Fair Housing and Employment
Act, and other applicable federal, state and COUNTY laws, regulations and policies relating to equal
employment and contracting opportunities, including laws and regulations hereafter enacted.
Revised 1/8/13 Page 8 of 12
CITY shall make every effort to ensure that all projects funded wholly or in part by CDBG program
funds shall provide equal employment and career advancement opportunities for minorities and
women. In addition, CITY shall make every effort to employ residents of the area and shall keep a
report of CITY staff positions that have been funded directly by, or as a result of this program.
22. DISCRIMINATION
No person shall, on the grounds of race, sex, creed, color, religion, or national origin, be excluded from
participating in, be refused the benefits of, or otherwise be subjected to discrimination in any activities,
programs, or employment by CITY.
23. STANDARDS OF CONDUCT
Pursuant to Office of Management and Budget Circular A-110 Attachment 0 and 24 CFR 570.611,
Conflict of Interest, and 24 CFR Part 85.36, Procurement, CITY shall maintain a written code or
standards of conduct that shall govern the performance of their officers, employees or agents engaged
in the award and administration of contracts supported by federal funds. No employee, officer or agent
of the CITY shall participate in selection, award, or administration of a contract supported by federal
funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when:
a. The employee, officer or agent;
b. Any member of his immediate family;
c. His or her partner; or
d. An organization, which employs, or is about to employ, any of the above, has financial or
other interest in the firm selected for award.
CITY officers, employees or agents shall neither solicit nor accept gratuities, favors or anything of
monetary value from contractors, potential contractors, or parties to sub-Agreements.
CITY may set minimum rules where the financial interest is not substantial or the gift is an unsolicited
item of nominal intrinsic value.
To the extent permitted by state or local law or regulations, such standards of conduct shall provide for
penalties, sanctions, or other disciplinary actions for violations of such standards by CITY's officers,
employees, or agents, or by contractors or their agents.
24. FORMER COUNTY OFFICIALS
CITY agrees to provide or has already provided information on former COUNTY Administrative
Officials (as defined below) who are employed by or represent CITY. The information required
includes a list of former COUNTY Administrative Officials, who terminated County employment within
the last five years and are now officers, or employees of CITY. The information includes the
employment with or representation of CITY. For purposes of this provision, "COUNTY Administrative
Official" is defined as a member of the Board of Supervisors or such Officer's staff, COUNTY Chief
Executive Officer or member of such Officer's staff, COUNTY Department or Group Head, Assistant
Department or Group Head, or any employee in the Exempt Group, Management Unit or Safety
Management Unit.
25. RELIGIOUS PROSELYTIZING OR POLITICAL ACTIVITIES
CITY agrees that it will not perform or permit any religious proselytizing or political activities in
connection with the performance of this Agreement. Funds under this AGREMENT will be used
exclusively for performance of the work required under this Agreement and no funds made available
under this AGREEMENT shall be used to promote any religious or political activities.
Revised 1/8/13 Page 9 of 12
•
26. 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 AGREEMENT, resulting from the negligent acts, errors or omissions of the CITY, its
authorized officers, employees, agents or volunteers, including, but not limited to, such 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 agrees to indemnify, defend and hold harmless CITY, its officers, agents, volunteers, and
employees, from any and all claims, actual losses, damages and or liability that may result from the
negligent acts, errors or omissions of the COUNTY, its authorized officers, employees, agents, or
volunteers.
This SECTION 26 INDEMNICATION shall survive the termination of this Delegate Agency Agreement.
27. SELF-INSURANCE
The CITY and the COUNTY are authorized self-insured public entities for purposes of general liability,
automobile liability, professional liability and workers' compensation. CITY and COUNTY warrant that
through their respective programs of self-insurance, they have adequate coverage or resources to
protect against any liabilities arising out of their performance regarding the terms and conditions of this
AGREEMENT.
28. AMENDMENTS: VARIATIONS
This writing, with attachments, embodies the whole of this Delegate Agency Agreement of the parties
hereto. There are no oral agreements contained herein. Except as herein provided, additions or
variations of the terms of this Delegate Agency Agreement shall not be valid unless made in the form
of a written amendment to this Delegate Agency Agreement formally approved and executed by both
parties.
29. AMERICAN RECOVERY AND REINVESTMENT ACT FUNDING (ARRA)
Use of ARRA Funds and Requirements
This AGREEMENT may be funded in whole or in part with funds provided by the American Recovery
and Reinvestment Act of 2009 ("ARRA"), signed into law on February 17, 2009. Section 1605 of ARRA
prohibits the use of recovery funds for a project for the construction, alteration, maintenance or repair
of a public building or public work (both as defined in 2 CFR 176.140) unless all of the iron, steel and
manufactured goods (as defined in 2 CFR 176.140) used in the project are produced in the United
States. A waiver is available under three limited circumstances: (i) Iron, steel or relevant manufactured
goods are not produced in the United States in sufficient and reasonable quantities and of a
satisfactory quality; (ii) Inclusion of iron, steel or manufactured goods produced in the United States will
increase the cost of the overall project by more than 25 percent; or (iii) Applying the domestic
preference would be inconsistent with the public interest. This is referred to as the "Buy American"
requirement. Request for a waiver must be made to the County for an appropriate determination.
Section 1606 of ARRA requires that laborers and mechanics employed by contractors and
subcontractors on projects funded directly by or assisted in whole or in part by and through the Federal
Government pursuant to ARRA shall be paid wages at rates not less than those prevailing on projects
..................... .................... .
Revised 1/8/13 Page 10 of 12
of a character similar in the locality as determined by the Secretary of Labor in accordance with the
Davis-Bacon Act(40 U.S.C. 31). This is referred to as the "wage rate" requirement.
The above described provisions constitute notice under ARRA of the Buy American and wage rate
requirements. Contractor must contact the County contact if it has any questions regarding the
applicability or implementation of the ARRA Buy American and wage rate requirements. Contractor will
also be required to provide detailed information regarding compliance with the Buy American
requirements, expenditure of funds and wages paid to employees so that the County may fulfill any
reporting requirements it has under ARRA. The information may be required as frequently as monthly
or quarterly. Contractor agrees to fully cooperate in providing information or documents as requested
by the County pursuant to this provision. Failure to do so will be deemed a default and may result in
the withholding of payments and termination of this Contract.
Contractor may also be required to register in the Central Contractor Registration (CCR) database at
http://www.ccr.gov and may be required to have its subcontractors also register in the same database.
Contractor must contact the County with any questions regarding registration requirements.
Schedule of Expenditure of Federal Awards
In addition to the requirements described in "Use of ARRA Funds and Requirements," proper
accounting and reporting of ARRA expenditures in single audits is required. Contractor agrees to
separately identify the expenditures for each grant award funded under ARRA on the Schedule of
Expenditures of Federal Awards (SEFA) and the Data Collection Form (SF-SAC) required by the Office
of Management and Budget Circular A-133, "Audits of States, Local Governments, and Nonprofit
Organizations." This identification on the SEFA and SF-SAC shall include the Federal award number,
the Catalog of Federal Domestic Assistance (CFDA) number, and amount such that separate
accountability and disclosure is provided for ARRA funds by Federal award number consistent with the
recipient reports required by ARRA Section 1512 (c).
In addition, Contractor agrees to separately identify to each subcontractor and document at the time of
sub-contract and at the time of disbursement of funds, the Federal award number, any special CFDA
number assigned for ARRA purposes, and amount of ARRA funds.
Contractor may be required to provide detailed information regarding expenditures so that the County
may fulfill any reporting requirements under ARRA described in this section. The information may be
required as frequently as monthly or quarterly. Contractor agrees to fully cooperate in providing
information or documents as requested by the County pursuant to this provision. Failure to do so will
be deemed a default and may result in the withholding of payments and termination of this Contract.
Il
/l
1l
I/
ll
//
Revised 1/8/13 Page 11 of 12
Whistleblower Protection
Contractor agrees that both it and its subcontractors shall comply with Section 1553 of the ARRA,
which prohibits ail non-Federal contractors, including the State, and all contractors of the State, from
discharging, demoting or otherwise discriminating against an employee for disclosures by the
employee that the employee reasonably believes are evidence of: (1) gross mismanagement of a
contract relating to ARRA funds; (2) a gross waste of ARRA funds; (3) a substantial and specific
danger to public health or safety related to the implementation or use of ARRA funds; (4) an abuse of
authority related to the implementation or use of recovery funds; or (5) a violation of law, rule, or
regulation related to an agency contract (including the competition for or negotiation of a contract)
awarded or issued relating to ARRA funds.
Contractor agrees that it and its subcontractors shall post notice of the rights and remedies available to
employees under Section 1553 of Division A, Title XV of the ARRA
COUNTY OF SAN BERN A r RIND CITY OF REDLANDS
- By0. 5c, J
Cr;t o« lit-;)eaux, Chief Executive Officer (Authorized signature-sign in blue ink)
zed'
Dated: .27 i 7 Name: Pete Aguilar
(Pont or type name of person signing contract)
Title: Mayor
( tor or Type)
Dated: i i4
1
City Clerk ATTEST:
Address: P.O, Box 3005
Redlands,CA 92373
A 'toyed as to Legal Fo Reviewed by Contract Compliance Pre ted to SOS for Signature
474,/,4, 00,u4.,47t...,
0. ---3,
Michelle Blake t# 0 filet A 51 County Counsel Arthur Mihaly Contract Compliance Dena Fuentes apartment Head
40 ,„„, frfl ll'#20IP'
Date 1
I "Piltt Dale Date
I Z.te'r I
Revised 111`8 13 Page 12 of 12
ATTACHMENT A- REQUEST TO INITIATE PROJECT/ACTIVITY
PROJECT/CASE NUMBER: DATE OF ORIGINAL ISSUE:
CFDA No.: 14.218 ORIGINAL: REVISION No.:
TARGET AREA: DATE OF REVISION:
Pursuant to the terms of the Delegate Agency Agreement between Economic Development Agency
(EDA)/Department of Community Development and Housing (CDH), and the City of , 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
EDA Administrator/CDH Director/or their Designee.
PROJECT/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 1-37 Year 38 Year 39 Year 40 Year 41 Year 42 Year 43
Act# Act# Act# Act# Act# Act# Act# TOTAL OF
(75-2012) (2012-13) (2013-14) (2014-15) (2015-16) (2016-17) (2017-18) 43 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: $ PURCHASE OF EQUIPMENT: $
STAFF COST RELATED CONSTRUCTION COST: $
TO LAND ACQUISITION: $ CITY STAFF COST: $
DESIGN: $ CONTINGENCY: $
CONSULTANT SERVICES: $
TOTAL CITY CDBG ALLOCATION AVAILABLE: $
IMPLEMENTING CITY: DATE:
SIGNATURE: TITLE:
COUNTY OF SAN BERNARDINO
DATE:
EDA Administrator/CDH Director or Designee
ATTACHMENT B - PROJECT/ACTIVITY DESCRIPTION
PROJECT/CASE NUMBER: DATE OF ORIGINAL ISSUE:
CFDA No.: 14.218 ORIGINAL: REVISION No.:
TARGET AREA: DATE OF REVISION:
PROJECT/ACTIVITY TITLE:
ACTIVITY LOCATION:
ACTIVITY DESCRIPTION:
IMPLEMENTING CITY:
DATE
SIGNATURE TITLE
COUNTY OF SAN BERNARDINO
EDA Administrator/CDH Director or Designee DATE
Attachment C
COUNTY OF SAN BERNARDINO
ECONOMIC DEVELOPMENT AGENCY
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 County of San Bernardino Economic Development Agency hereinafter
referred to as EDA 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.
Il. 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 EDA. Contract procurement shall be governed by all Federal
regulations and statutes, as amended, listed in Section IV of the Attachment. EDA payments of DA
Requests for Reimbursement will be subject to DA submittal of a complete reimbursement report
package as listed in Section Ill, D-20.
A. Proiect/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.
Approval to change the project/activity budget/funds available will come from EDA in the form of
a revised Attachment"A" (and corresponding Attachment "B", if appropriate).
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 EDA 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)
Page 1 of 8
7. Water and sewer requirements
8. Utilities
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 EDA in the form of a revised
Attachment"B" (and corresponding Attachment"A", if appropriate).
EDA 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 EDA for signature. An
original 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 EDA for approval.
e. DA: Sends any requests for adjustments of funds for property acquisition
and/or relocation to EDA for approval.
f. EDA: 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 EDA, 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 EDA 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. FDA: 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 EDA.
1. EDA: 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 EDA).
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 EDA for review for contract compliance and
consistency with Federal Title 24 CFR, Part 85 Section 85.36,
(Procurement Standards).
c. DA: Incorporates EDA revisions, if any, into RFP and reviews RFP's for
compliance with State, Federal, Local and EDA regulations. Requests
EDA "Approval to Proceed"to Issue "REP".
d. EDA: Issues to DA an "Approval to Proceed"to issue an "RFP".
e. DA: Advertises RFP, receives responses, interviews, requests EDA
representation on selection committee and makes selection.
f. DA: Notifies EDA of selection. Sends back-up documentation and draft
contract to EDA. Submits to EDA a "Request for Approval to Proceed"to
award a "Consultant Services Contract".
g. EDA: Reviews final contract for compliance and issues an "Approval to
Proceed"to award a "Consultant Services Contract".
Page 3 of 8
h. DA: Awards Consultant Services Contract,
2, Architectural and engineering services may also be negotiated under certain situations;
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: Submits to EDA a "Request for Approval to Proceed" to award a 'Sole
Source Consultant Services Contract" to EDA explaining why the DA has
chosen the consultant and why the competitive RFP procedure is not
being used:
d. EDA: Reviews the request and approves or denies sole source procurement
request based on explanation and backup,
e. EDA: 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 EDA of all public meetings with architect, five working days before event.
3. FDA'
DA: Reviews and approves preliminary design.
DA: Secures all required permits and regulatory approvals.
5. DA: Secures plans, check of plans and specifications from the appropriate Budding
and Safety Authority:
D. Construction Phase
1. DA: Reviews and approves plans and specifications, and obtains current Federal
Wage Decision from EDA or online at
httstii meol.(oovidea,ascx#0, to be included in the bid package.
2, DA: Forwards construction bid package and approved plans to EDA for review and
approval along with a "Request for Approval to Proceed" to issue an "Invitation to
Bid" for construction services: Attachment 'D" - "Construction Contract Labor
Compliance Provisions" must be part of the complete bid package submitted to
FDA for approval.
3. FDA' Reviews and approves construction bid package for compliance with Federal and
local regulations and forwards "Approval to Proceed"to invite bids with changes
(if any) to DA:
Page 4 of 8
4. 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,
5. DA: Ten days prior to bid opening, DA makes telephone contact with EDA and
requests from EDA or obtains online at htt)11 mdol,clovidbamm#0 the
current Federal Wage Decision. If the Federal Wage Decision is
in any way different from that issued in the original bid package, DA will issue a
bid addendum and immediately forward the latest wage decision to all bidding
contractors who, in turn, submit revised bids prior to the bid opening. DA shall
notify EDA of any change in the Federal Wage Decision should DA use the
online option above.
6. 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 (MNAIBE'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.
7. DA: Submits the low-bidder information and list of subcontractors to EDA and a
"Request 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 (revised Attachment "A") or change in project description
(revised Attachment"B")should be sent at this time.
8. EDA. Prepares revisions to Attachment"A"and/or"B" as requested (if necessary),
9. EDA: Reviews Contractor/Subcontractor's eligibility to receive Federal contracts.
10 EDA: Issues "Approval to Proceed" to award a "Construction Services Contract"to DA.
11. DA: Insures completeness of contract documents prior to award of contract. Prime
and Sub-Contractor Construction contracts must contain the Labor
Compliance Contract Addendum (LCCA), a copy of applicable Federal Wage
Determination, and a copy of restrictions on public buildings and public works
projects provisions.
12. DA: Awards Contract.
13. DA: Notifies EDA of pre-construction conference at least five working days prior to
event. Prime and Sub-Contractor's labor compliance personnel must
attend pre-construction conference. Submits required EDA documents (Ex:
completed bid package) prior to pre-construction meetings, including Contractor
Information Sheet.
14 DA: Conducts pre-construction conference (EDA attendance mandatory). EDA sets
up prime contractor on LCFtracker.
Page 5 of 8
15. DA/
EDA: DA provides EDA with a copy of signed contract which incorporates the LCCA
prior to start of construction. DA ensures completion of bonds and all required
labor compliance documentation is accepted in LCPtracker. EDA obtains Project
Wage Rate Sheet from Prime Contractor which includes all federal labor
classifications that will be utilized on the project by the Prime Contractor as well
as ALL Sub-Contractors.
16. 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.
17. EDN
DA: Ongoing observation and monitoring of projects.
18. DA: Conducts on-site interviews with contractor employees for each trade regarding
their wages. Sends original signed Record of Employee Interview (HUD-11) to
EDA. EDA may require Record of Employee Interview to be entered on
LCPtracker.
19. DA: Ensures contractor's submission of Weekly Certified Payroll in LCPtracker.
20. DA: Receives Contractor requests for progress payments and any other
documentation of expenditures and work accomplished. DA reviews labor
compliance reports in LCPtracker.
21. EDA: Reviews Contractor Weekly Certified Payroll on LCPtracker during the term of
construction, including non-performance payrolls.
21. EDA: Checks wages reported on Certified Payroll forms against employee interview
forms for consistency between wage rates reported by contractor and wages
received by employees.
22. DA: Submits to EDA 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.
23. DA: Notifies EDA of all meetings regarding EDA projects, such as Design
Conferences, Public Meetings, and meetings with Community Development
Advisory Commission, and DA at least five working days before event occurs.
24. DA: Processes change orders and sends copy(ies) of proposed change order(s)
along with a "Request for Approval to Proceed" to issue a "Contract Change
Order" to EDA. Must obtain approval from EDA regarding all change orders prior
to authorizing the contractor to proceed with said changes.
25. DA: Notifies EDA 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.
26. EDA: Revises Attachments "A" or "B", if necessary, and issues an "Approval to
Proceed"to issue a "Change Order(s)" to DA.
Page 6 of 8
27. DA: Notifies EDA of final inspections at least five working days before inspection
date.
28. DA: Attends final inspections (EDA attendance optional).
29. DA: Secures its governing body's acceptance of completed project and filing of
Notice of Completion and submits "Notice of Completion" to EDA.
30. EDA: Monitors project progress and contract compliance and issues, as necessary,
"Notice to Submit Final Activity Costs" notices to DA.
31. DA: Takes necessary actions to comply with said notices.
32. EDA: 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
I. Rehabilitation Act of 1973, as amended
Page 7of8
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)
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.)
0. 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)
Q. Hatch Act
R. Lead Based Paint Poisoning Prevention Act (42 U.S.C. 4831(b)
Page 8 of 8
ATTACHMENT D
TABLE OF CONTENTS
• CONSTRUCTION CONTRACT PROVISIONS -DEFINITIONS 2
• ELECTRONIC SUBMISSION OF CERTIFIED PAYROLLS: 2
• REQUIRED DOCUMENTS CHECKLIST 3
• FEDERAL LABOR STANDARDS PROVISIONS 4
• SECTION 3 CLAUSE 8
• AFFIRMATIVE ACTION COMPLIANCE GUIDELINES FOR CONSTRUCTION AND NON-
CONSTRUCTION CONTRACTORS 9
• EQUAL OPPORTUNITY CLAUSES 13
• CERTIFICATION OF COMPLIANCE WITH AIR AND WATER ACTS 21
• DAVIS-BACON WAGE DETERMINATION 22
• SAMPLE DOCUMENTS
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 CorripHance 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.
Certificate of Owner's Attorney-This certificate is to be completed by the owners attorney when applicable.
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
conference.
Certification of Compliance with Air and Water Acts-The prime Contractor and all Subcontractors must comply with
this certification when the contract exceeds$100,000.
Certification by Proposed Subcontractor Regarding Equal Employment Opportunity This certification must be
completed by all Subcontractors and every lower-tier Subcontractor and submitted to the Prime Contractor for submittal
to the CITY/COUNTY prior to the pre-construct on conference.
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 prior to the
pre-construction conference.
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
contractors working on federally-assisted construction projects in which the prime contract exceeds$2,000. The Prime
Contractor and all Subcontractors and every lower-tier subcontractor are required to pay their laborers and mechanics
working onsite a wage as specified in the FEDERALLY FUNDED PROJECTS section of this provision. The Prime
Contractor is responsible to include the Labor Como fiance Contract Addendum in all executed Subcontractor contracts
for this project
Federal Prevailing Wage Decision-The Federal Wage Decision contains the federal wage rates for construction
projects within the County of San Bernardino. A copy of the Wage Dec sion is included in the bid package and can also
be found at htt s:// ,sat:n&iv/portal/public/SAM/or http:// .wdoisgovidbp:aspx 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.
Performance Bond-This bond guarantees the Contractors 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 22
ELECTRONIC SUBMISSION OF CERTIFIED PAYROLLS:
As permitted by the Department of Labor(DOL), The Department of Housing and Urban Development
(HUD), and Title 8, section 16404 of the California Code of Regulations, the Prime Contractor and each
Subcontractor and every lower-tier Subcontractor and all vendors subject to Davis-Bacon and Related Acts,
are required to submit certified payrolls and labor compliance documentations electronically via the software
LCPtracker Inc.
Electronic submission will be a web-based system, accessed on the World Wide Web by a web browser.
The Prime Contractor and Subcontractors and lower-tier Subcontractors will be given a Loci-On Identification
and Password to access the County of San Bernardino Community Development and Housing reporting
system.
Use of the system may entail additional data entry of weekly payroll information including; employee
identification, labor classification, total hours worked and hours worked on this project, wage and benefit
rates paid etc. The Prime Contractor's and Subcontractor's and lower-tier Subcontractor's payroll and
accounting software might be capable of generating a 'comma delimited file'that will interface with the
software.
This requirement will be 'flowed down' to every lower-tier Subcontractor and vendor required to provide labor
compliance documentation. Please contact County of San Bernardino Community Development and
Housing for approval and log-in instructions for a lower-tier Subcontractor.
The Prime Contractor and each Subcontractor and every lower-tier Subcontractor and any Vendors
subject to this provision shall comply with Title 8, Section 16404 of the California Code of
Regulations.
Electronic Certified Payroll Set-up and Training Courses
To start, the Prime and Subcontractors and lower-tier Subcontractors will receive an email invitation to join
LCPtracker. Simply follow the instructions in the email to set-up your user name and password and
activate your account. Once your account is setup, LCPtracker Inc. provides two convenient training
options:
Option 1: Computer-Based Training Courses: Pre-recorded videos can be viewed at any time by logging into
the LCPtracker website and following these simple steps:
o Enter your user name/password
o Select the "E-Training" link located at the top of the page.
o Select"Contractor Training Videos"
Option 2: Web-Based Training Sessions: Online training sessions facilitated by members of
LCPtracker's Customer Support team are available several times per week. All you need to
participate is a computer with Internet access, an email address and access to a phone.
o Enter your user name/password
o Select"Book Now" on the "Projects" tab and register for the Online training sessions.
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 Contractor's aggregate workforce in
each trade on all construction work in the covered area, is 19% for minorities and 6.9%for women.
Page 2 of 22
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 CONFERENCE
❑ 4. Executed Contract/Purchase Order NOTE: HUD form 4010 must be attached to contract
❑ 5. Labor Compliance Contract Addendum signed by Prime Contractor and all Subcontractors
❑ 6. Bonds (performance/payment or labor and material bonds)
❑ 7. Completed Bidder/Subcontractor's Certification Regarding Equal Employment(Exhibits B & C)*
❑ 8. Signed Contractor's Certification of Compliance with Davis-Bacon and Related Act Requirements
(Exhibit A)*
❑ 9. Signed Affirmative Action Compliance Form for Construction Contracts Over$10,000 (Exhibit D)*
REQUIRED DURING CONSTRUCTION
❑ 10. Weekly Certified Payrolls (see"Electronic Submission of Certified Payrolls" section)
❑ 11. Statement of Understanding and Authorization (required if payrolls are certified by someone other
than the owner or corporate officer) (Exhibit E)*
❑ 12. Fringe Benefit Statement(required if employee benefits are paid to a trust fund) (Exhibit F)*
❑ 13. Section 3 Report(Applies to contracts of$100,000 or more)
❑ 14. Authorization for Payroll Deduction(s) (Exhibit G)*
*Note: These forms are located on the LCPtracker online database discussed in "Electronic Submission of
Certified Payrolls" section and will be discussed by County CDH staff at the preconstruction conference.
Created on 3/22/2013
Page 3 of 22
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 its designee to the Administrator of the Wage and Hour Division,
this contract pertains is being assisted by the United States of Employment Standards Administration, U.S. Department of Labor,
America and the following Federal Labor Standards Provisions are Washington,D.C.20210.The Administrator,or an authorized
included in this Contract pursuant to the provisions applicable to representative,will approve,modify,or disapprove every additional
such federal assistance. classification action within 30 days of receipt and so advise HUD
A. 1. (i) Minimum Wages. All laborers and mechanics employed or its designee or will notify HUD or its designee within the 30-day
or working upon the site of the work will be paid unconditionally period that additional time is necessary. (Approved by the Office
and not less often than once a week, and without subsequent of Management and Budget under OMB control number 1215-
deduction or rebate on any account (except such payroll 0140.)
deductions as are permitted by regulations issued by the Secretary (c) In the event the Contractor, the laborers or mechanics to
of Labor under the Copeland Act (29 CFR Part 3), the full amount be employed in the classification or their representatives,
of wages and bona fide fringe benefits (or cash equivalents and HUD or its designee do not agree on the proposed
thereof) due at time of payment computed at rates not less than classification and wage rate (including the amount
those contained in the wage determination of the Secretary of designated for fringe benefits,where appropriate),HUD or
Labor which is attached hereto and made a part hereof, regardless its designee shall refer the questions, including the views
of any contractual relationship which may be alleged to exist of all interested parties and the recommendation of HUD
between the Contractor and such laborers and mechanics. or its designee, to the Administrator for determination.
Contributions made or costs reasonably anticipated for bona fide The Administrator, or an authorized representative, will
fringe benefits under Section I(b)(2) of the Davis-Bacon Act on issue a determination within 30 days of receipt and so
behalf of laborers or mechanics are considered wages paid to such advise HUD or its designee or will notify HUD or its
laborers or mechanics, subject to the provisions of 29 CFR designee within the 30-day period that additional time is
5.5(a)(1)(iv); also, regular contributions made or costs incurred for necessary. (Approved by the Office of Management and
more than a weekly period(but not less often than quarterly) under Budget under OMB Control Number 1215-0140.)
plans,funds, or programs, which cover the particular weekly period, (d) The wage rate (including fringe benefits where
are deemed to be constructively made or incurred during such appropriate) determined pursuant to subparagraphs (1)
weekly period. (ii)(b)or(c)of this paragraph,shall be paid to all workers
Such laborers and mechanics shall be paid the appropriate wage performing work in the classification under this contract
rate and fringe benefits on the wage determination for the from the first day on which work is performed in the
classification of work actually performed, without regard to skill, 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
which work is performed. The wage determination (including any thereof.
additional classification and wage rates conformed under 29 CFR
(iv) If the Contractor does not make payments to a trustee or
5.5(a)(1)(ii) and the Davis-Bacon poster(WH 1321)shall be posted other third person, the Contractor may consider as part of the
at all times by the Contractor and its Subcontractors at the site of
the work in a prominent and accessible, place where it can be wages of any laborer or mechanic the amount of any costs
easily seen by the workers. reasonably anticipated in providing bona fide fringe benefits under
(ii)(a)Any class of laborers or mechanics which is not listed in the a plan or program, provided,that the Secretary of Labor has found,
wage determination and which is to be employed under the upon the written request of the Contractor, that the applicable
contract shall be classified in conformance with the wage standards of the Davis-Bacon Act have been met. The Secretary
determination. HUD shall approve an additional classification and of Labor may require the Contractor to set aside in a separate
wage rate and fringe benefits therefore only when the following account assets for the meeting of obligations under the plan or
criteria have been met: program. (Approved by the Office of Management and Budget
under OMB Control Number 1215-0140.)
(1) The work to be performed by the classification 2.Withholding. HUD or its designee shall upon its own action or
requested is not performed by a classification in the upon written request of an authorized representative of 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 Contractor under this contract or any other federal contract with
construction industry;and the same prime Contractor, or any other federally-assisted
(3) The proposed wage rate, including any bona fide contract subject to Davis-Bacon prevailing wage requirements,
fringe benefits, bears a reasonable relationship to which is held by the same prime Contractor so much of the
the wage rates contained in the wage determination. accrued payments or advances as may be considered necessary
(b) If the Contractor and the laborers and mechanics to be to pay laborers and mechanics, including apprentices, trainees
employed in the classification (if known), or their representatives, and helpers, employed by the Contractor or any Subcontractor the
and HUD or its designee agree on the classification and wage rate full amount of wages required by the contract. In the event of
(including the amount designated for fringe benefits where failure to pay any laborer or mechanic, including any apprentice,
appropriate),a report of the action taken shall be sent by HUD or 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(0612009)
ref.Handbook
1344.1
Page 4 of 22
of the wages required by the contract, HUD or its designee may, (Approved by the Office of Management and Budget under OMB
after written notice to the Contractor, sponsor, applicant, or owner, Control Number 1215-0149.)
take such action as may be necessary to cause the suspension of (b) Each payroll submitted shall be accompanied by a"Statement
any further payment, advance, or guarantee of funds until such of Compliance,"signed by the Contractor or Subcontractor or his or
violations have ceased, HUD or its designee may, after written her agent who pays or supervises the payment of the persons
notice to the Contractor, disburse such amounts withheld for and employed under the contract and shall certify the following:
on account of the Contractor or Subcontractor to the respective (1) That the payroll for the payroll period contains the
employees to whom they are due. The Comptroller General shall information required to be provided under 29 CFR 5.5 (a)(3)(ii),
make such disbursements in the case of direct Davis-Bacon Act the appropriate information is being maintained under 29 CFR
contracts. 5.5(a)(3)(i)and that such information is correct and complete:
3. (i) Payrolls and basic records. Payrolls and basic records (2) That each laborer or mechanic (including each helper,
relating thereto shalt be maintained by the Contractor during the apprentice, and trainee) employed on the contract during the
course of the work preserved for a period of three years thereafter payroll period has been paid the full weekly wages earned,
for all laborers and mechanics working at the site of the work. without rebate, either directly or indirectly, and that no deductions
Such records shall contain the name, address, and social security have been made either directly or indirectly from the full wages
number of each such worker, his or her correct classification, earned, other than permissible deductions as set forth in 29 CFR
hourly rates of wages paid (including rates of contributions or Part 3;
costs anticipated for bona fide fringe benefits or cash equivalents
thereof of the types described in Section I (b)(2)(B) of the Davis- (3) That each laborer or mechanic has been paid not less than
bacon Act), daily and weekly number of hours worked, deductions the applicable wage rates and fringe benefits or cash equivalents
made and actual wages paid. Whenever the Secretary of Labor for the classification of work performed, as specified in the
has found under 29 CFR 5.5(a)(1)(iv)that the wages of any laborer applicable wage determination incorporated into the contract
or mechanic include the amount of any costs reasonably (c) The weekly submission of a properly executed certification set
anticipated in providing benefits under a plan or program forth on the reverse side of Optional Form WH-347 shall satisfy
described in Section I(b)(2)(B) of the Davis-Bacon Act, the the requirement for submission of the "Statement of Compliance"
Contractor shall maintain records which show that the required by subparagraph A,3,(ii)(b).
commitment to provide such benefits is enforceable, that the plan (d) The falsification of any of the above certifications may subject
or program is financially responsible,and that the plan or program the Contractor or Subcontractor to civil or criminal prosecution
has been communicated in writing to the laborers or mechanics under Section 1001 of Title 18 and Section 231 of Title 31 of the
affected,and records which show the costs anticipated or the actual United States Code.
cost incurred in providing such benefits, Contractors employing (iii) The Contractor or Subcontractor shall make the records
apprentices or trainees under approved programs shall maintain required under subparagraph A.3.(i) available for inspection,
written evidence of the registration of apprenticeship programs and copying, or transcription by authorized representatives of HUD or
certification of trainee programs, the registration of the apprentices its designee or the Department of Labor; and shall permit such
and trainees, and the ratios and wage rates prescribed in the representatives to interview employees during working hours on
applicable programs. (Approved by the Office of Management and the job. If the Contractor or Subcontractor fails to submit the
Budget under OMB Control Numbers 1215-0140 and 1215-0017,) required records or to make them available, HUD or its designee
(ii) (a) The Contractor shall submit weekly for each week in which may, after written notice to the Contractor, sponsor, applicant or
any contract work is performed a copy of all payrolls to HUD or its owner, take such action as may be necessary to cause the
designee if the agency is a party to the contract, but if the agency is suspension of any further payment, advance, or guarantee of
not such a party, the Contractor will submit the payrolls to the funds, Furthermore, failure to submit the required records upon
applicant sponsor, or owner, as the case may be, for transmission request or to make such records available may be grounds for
to HUD or its designee. The payrolls submitted shall set out debarment action pursuant to 29 CFR 5,12.
accurately and completely all of the information required to be 4.Apprentices and Trainees
maintained under 29 CFR 5.5(a)(3)(i) except that full social (i)Apprentices. Apprentices will be permitted to work at less than
security numbers and home addresses shall not be included on the predetermined rate for the work they performed when they are
weekly transmittals, Instead the payrolls shall only need to include employed pursuant to and individually registered in a bona fide
an individually identifying number for each employee (e.g., the apprenticeship program registered with the U.S. Department of
last four digits of the employee's social security number, The Labor, Employment and Training Administration, Office of
required weekly payroll information may be submitted in any form Apprenticeship Training, Employer and Labor Services, or with a
desired, Optional Form WH-347 is available for this purpose from State Apprenticeship Agency recognized by the Office, or if a
the Wage and Hour Division Web site at person is employed in his or her first 90 days of probationary
leel: e tie ,I;;" }iii I eja , eolj JailLieaeoleie or its successor site. employment as an apprentice in such an apprenticeship program,
The prime Contractor is responsible for the submission of copies who is not individually registered in the program, but who has
of payrolls by all Subcontractors. Contractors and subcontractors been certified by the Office of Apprenticeship Training, Employer
shall maintain the full social security number and current address and Labor Services or a State Apprenticeship Agency (where
of each covered worker, and shall provide them upon request to appropriate) to be eligible for probationary employment as an
HUD or its designee if the agency is a party to the contract, but if apprentice. The allowable ratio of apprentices to journeymen on
the agency is not such a party, the sponsor,or owner,as the case the job site in any craft classification shalt not be greater than the
may be, for transmission to HUD or its designee, the contractor, ratio permitted to the Contractor as to the entire work force under
or the Wage and Hour Division of the Department of Labor for the registered program. Any worker listed on a payroll at an
purposes of an investigation or audit of compliance with prevailing apprentice wage rate,who is not registered or otherwise employed
wage requirements. It is not a violation of this subparagraph for a as stated above, shall be paid not less than the applicable wage
prime contractor to require a subcontractor to provide addresses rate on the wage determination for the classification of work
and social security numbers to the prime contractor for its own
records, without weekly submission to HUD or its designee.
Previous edition is obsolete Page 2 of 4 HUD-4010(06/2009)
ref.Handbook 1344.1
Page 5 of 22
actually performed. In addition,any apprentice performing work on Compliance with Copeland Act requirements. The Contractor
the job site in excess of the ratio permitted under the registered shall comply with the requirements of 29 CFR Part 3 which are
program shall be paid not less than the applicable wage rate on incorporated by reference in this contract.
the wage determination for the work actually performed. Where a Subcontracts. The Contractor or Subcontractor will insert in any
Contractor is performing construction on a project in a locality other subcontracts the clauses contained in subparagraphs 1 through
than that in which its program is registered, the ratios and wage 11 of this paragraph A and such other clauses as HUD or its
rates (expressed in percentages of the journeyman's hourly rate) designee may by appropriate instructions require, and a copy of
specified in the Contractor's or Subcontractor's registered program the applicable prevailing wage decision, and also a clause
shall be observed. Every apprentice must be paid at not less than requiring the Subcontractors to include these clauses in any lower
the rate specified in the registered program for the apprentice's tier subcontracts. The prime Contractor shall be responsible for
level of progress, expressed as a percentage of the journeymen the compliance by any Subcontractor or lower tier Subcontractor
hourly rate specified in the applicable wage determination. with all the contract clauses in this paragraph.
Apprentices shall be paid fringe benefits in accordance with the 7.Contract termination;debarment.A breach of the contract
provisions of the apprenticeship program. If the apprenticeship clauses in 29 CFR 5.5 may be grounds for termination of the
program does not specify fringe benefits, apprentices must be paid contract and for debarment as a Contractor and a Subcontractor
the full amount of fringe benefits listed on the wage determination as provided in 29 CFR 5.12.
for the applicable classification. If the Administrator determines g. Compliance with Davis-Bacon and Related Act
that a different practice prevails for the applicable apprentice Requirements. All rulings and interpretations of the Davis-Bacon
classification, fringes shall be paid in accordance with that and Related Acts contained in 29 CFR Parts 1,3, and 5 are herein
determination. In the event the Office of Apprenticeship Training, incorporated by reference in this contract
Employer and Labor Services, or a State Apprenticeship Agency 9. Disputes concerning labor standards. Disputes arising out of
recognized by the Office,withdraws approval of an apprenticeship the labor standards provisions of this contract shall not be subject
program, the Contractor will no longer be permitted to utilize to the general disputes clause of this contract. Such disputes shall
apprentices at less than the applicable predetermined rate for the be resolved in accordance with the procedures of the Department
work performed until an acceptable program is approved. of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the
(ii) Trainees. Except as provided in 29 CFR 5.16,trainees will not meaning of this clause include disputes between the Contractor
be permitted to work at less than the predetermined rate for the (or any of its Subcontractors) and HUD or its designee, the U.S.
work performed unless they are employed pursuant to and Department of Labor,or the employees or their representatives.
individually registered in a program which has received prior 10.(i)Certification of Eligibility.By entering into this contract the
approval,evidenced by formal certification by the U.S. Department Contractor certifies that neither it(nor he or she)nor any person or
of Labor, Employment and Training Administration. The ratio of firm who has an interest in the Contractor's firm is a person or firm
trainees to journeymen on the job site shall not be greater than ineligible to be awarded Government contracts by virtue of Section
permitted under the plan approved by the Employment and 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1) or to be
Training Administration. Every trainee must be paid at not less awarded HUD contracts or participate in HUD programs pursuant
than the rate specified in the approved program for the trainee's to 24 CFR Part 24.
level of progress, expressed as a percentage of the journeyman (ii) No part of this contract shall be subcontracted to any person
hourly rate specified in the applicable wage determination. Trainees or firm ineligible for award of a Government contract by virtue of
shall be paid fringe benefits in accordance with the provisions of Section 3(a)of the Davis-Bacon Act or 29 CFR 5.12(a)(1)or to be
the trainee program. If the trainee program does not mention fringe awarded HUD contracts or participate in HUD programs pursuant
benefits, trainees shall be paid the full amount of fringe benefits to 24 CFR Part 24.
listed on the wage determination unless the Administrator of the
Wage and Hour Division determines that there is an (iii) The penalty for making false statements is prescribed in the
apprenticeship program associated with the corresponding U.S. Criminal Code, 18 U.S.C. 1001. Additionally, U.S. Criminal
journeyman wage rate on the wage determination which provides Code, Section 1 01 0, Title 18, U.S.C., "Federal Housing
for less than full fringe benefits for apprentices. Any employee Administration Transactions", provides in part: "Whoever, for the
listed on the payroll at a trainee rate, who is not registered and purpose of influencing in any way the action of such
participating in a training plan approved by the Employment and Administration makes, utters or publishes any statement knowing
Training Administration, shall be paid not less than the applicable the same to be false shall be fined not more than $5,000 or
wage rate on the wage determination for the work actually imprisoned not more than two years,or both."
performed. In addition, any trainee performing work on the job site 11. Complaints, Proceedings,or Testimony by Employees. No
in excess of the ratio permitted under the registered program shall laborer or mechanic to whom the wage, salary, or other labor
be paid not less than the applicable wage rate on the wage standards provisions of this Contract are applicable shall be
determination for the work actually performed. In the event the discharged or in any other manner discriminated against by the
Employment and Training Administration withdraws approval of a Contractor or any Subcontractor because such employee has filed
training program, the Contractor will no longer be permitted to any complaint or instituted or caused to be instituted any
utilize trainees at less than the applicable predetermined rate for proceeding or has testified or is about to testify in any proceeding
the work performed until an acceptable program is approved. under or relating to the labor standards applicable under this
(iii) Equal employment opportunity. The utilization of Contract to his employer.
apprentices, trainees and journeymen under 29 CFR Part 5 shall B. Contract Work Hours and Safety Standards Act. The
be in conformity with the equal employment opportunity provisions of this paragraph B are applicable where the amount of
requirements of Executive Order 11246, as amended, and 29 CFR the prime contract exceeds$100,000.As used in this paragraph,the
Part 30. terms"laborers"and"mechanics"include watchmen and guards.
Previous edition is obsolete Page 3 of 4 HUD-4010(06/2009)
ref.Handbook
1344.1
Page 6 of 22
(1) Overtime requirements. No Contractor or Subcontractor
contracting for any part of the contract work which may require or
involve the employment of laborers or mechanics shall require or
permit any such laborer or mechanic in any workweek in which the
individual is employed on such work to work in excess of 40 hours in
such workweek unless such laborer or mechanic receives
compensation at a rate not less than one and one-half times the
basic rate of pay for all hours worked in excess of 40 hours in such
workweek.
(2) Violation; liability for unpaid wages; liquidated
damages. In the event of any violation of the clause set forth in
subparagraph (1) of this paragraph, the Contractor and any
Subcontractor responsible therefore shall be liable for the unpaid
wages. In addition, such Contractor and Subcontractor shall be
liable to the United States(in the case of work done under contract
for the District of Columbia or a territory, to such District or to such
territory), for liquidated damages. Such liquidated damages shall
be computed with respect to each individual laborer or mechanic,
including watchmen and guards, employed in violation of the
clause set forth in subparagraph (1) of this paragraph, in the sum
of$10 for each calendar day on which such individual was required
or permitted to work in excess of the standard workweek of 40 hours
without payment of the overtime wages required by the clause set
forth in sub paragraph(1)of this paragraph.
(3) Withholding for unpaid wages and liquidated
damages. HUD or its designee shall upon its own action or upon
written request of an authorized representative of the Department
of Labor withhold or cause to be withheld, from any moneys
payable on account of work performed by the Contractor or
Subcontractor under any such contract or any other Federal
contract with the same prime contract, or any other federally-
assisted contract subject to the Contract Work Hours and Safety
Standards Act which is held by the same prime Contractor such
sums as may be determined to be necessary to satisfy any
liabilities of such Contractor or Subcontractor for unpaid wages and
liquidated damages as provided in the clause set forth in
subparagraph(2)of this paragraph.
(4) Subcontracts. The Contractor or Subcontractor shall insert
in any subcontracts the clauses set forth in subparagraph (1)
through (4) of this paragraph and also a clause requiring the
Subcontractors to include these clauses in any lower tier
subcontracts. The prime Contractor shall be responsible for
compliance by any Subcontractor or lower tier Subcontractor with
the clauses set forth in subparagraphs (1) through (4) of this
paragraph.
C.Health and Safety.The provisions of this paragraph C are
applicable where the amount of the prime contract exceeds
$100,000.
(1) No laborer or mechanic shall be required to work in
surroundings or under working conditions which are unsanitary,
hazardous,or dangerous to his health and safety as determined
under construction safety and health standards promulgated by
the Secretary of Labor by regulation.
(2) The Contractor shall comply with all regulations issued by
the Secretary of Labor pursuant to Title 29 Part 1926 and failure
to comply may result in imposition of sanctions pursuant to the
Contract Work Hours and Safety Standards Act, (Public Law 91-
54,83 Stat 96).40 USC 3701 et seq.
(3) The Contractor shall include the provisions of this paragraph
in every subcontract so that such provisions will be binding on
each Subcontractor. The Contractor shall take such action with
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 Page 4 of 4 HUD-4010(0612009)
ref.Handbook 1344.1
Page 7 of 22
SECTION 3 CLAUSE
(Information for the Section 3 Report will be input on LCPtracker)
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 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
Created on 3/22/2013
Page 8 of 22
AFFIRMATIVE ACTION COMPLIANCE
GUIDELINES FOR CONSTRUCTION AND
NON-CONSTRUCTION CONTRACTORS
Created on 3/22/2013 Page 1 of 4
Page 9 of 22
AFFIRMATIVE ACTION COMPLIANCE C. Affirmative Action Plan requirements for NON-
GUIDELINES FOR CONSTRUCTION AND CONSTRUCTION Contractors:
NON-CONSTRUCTION CONTRACTORS 1. All Contractors who have entered into a NON-
CONSTRUCTION CONTRACT and who: 1) do
These Affirmative Action Compliance Guidelines have been business in the amount of$50,000 or more with
designed to provide Contractors with information necessary the implementing entity in any one fiscal year
to comply with Federal regulations found under Title 40, Part and, 2) employ 50 or more employees, must
60 of the Code of Federal Regulations. It is the intent of develop a written Affirmative Action Program
these guidelines to insure that equal opportunity for within 120 days after the contract award date.
employment is practiced by the Contractor without regard to 2. All Subcontractors rendering services or supplies
race,color,sex,religion,national origin, disability,and to a Contractor in the amount of$50,000 or more
veteran's status. These guidelines provide the minimum and employ 50 or more employees, must
information necessary to comply with EEO and affirmative
action requirements,including the preparation of an develop a written Affirmative Action Program
Affirmative Action Plan that complies with federal regulations within 120 days after the contract award date.
regarding Affirmative Action for federally-assisted projects.
D. Exemptions under 41 CFR 60:
Contractors are urged to contact the implementing entity or
the U.S.Department of Labor's Office of Federal Contract The following persons/contracts shall be exempt from
Compliance Programs(OFCCP)officer for any necessary this program:
technical assistance in meeting Affirmative Action
requirements if they are considering bidding under this 1. A contract or contracts by a Contractor that do
contract. not exceed$10,000 in the aggregate over a 12-
I. AFFIRMATIVE ACTION COMPLIANCE PROGRAM month period.
A. The Affirmative Action program embodies the 2. Contracts for Work outside the United
following principals: 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
or veteran's status is inconsistent with the institutions
constitution, laws, and policies of the United
States, State of California and County of San 5. Work on or near Indian Reservations
Bernardino.
6. Specific contracts and facilities found
2. The implementing entity is committed to insuring exempt by
that there be no discrimination by vendors,
Contractors (including professional services and 7. Deputy Assistant Secretary
consultants), lessors, or lessees doing business
8. National security contracts
with the implementing entity.
Any Contractor who feels qualified for an exemption
3. Contractors and Subcontractors agree to take should contact the local Contract Compliance Officer
affirmative personnel actions to hire and promote or the U.S.Department of Labor's OFCCP Officer for
workers who traditionally have been discriminated further information.
against in the job market, including women,
minorities, members of certain ethnic and II. SATISFYING AFFIRMATIVE ACTION PLAN
religious groups, individuals with disabilities, and
veterans. A. Affirmative Action Plan requirements for NON-
CONSTRUCTION Contractors can be met through
B. Affirmative Action Step Requirements for the following:
CONSTRUCTION Contractors and Subcontractors:
1. Completing a Contract Compliance Qualifying
1. Personnel affirmative action in recruitment, hiring, Report for Non-construction Contractors and
and promotion is required by Contractor and Vendors, (refer to the form found in the
Subcontractors who have entered into a federally- "Additional Required Documents/Sample
assisted construction or non-construction contract Documents" section of Attachment"D" of the bid
that exceed $10,000 or $10,000 in the aggregate package).
over a 12-month period.
2. Completing a Contractor's Affirmative Action
2. Contractors and Subcontractors who enter into a Policy, including methods of recruiting minorities
CONSTRUCTION CONTRACT in excess of and women. If the Contractor does not have its
$10,000 must take 16 specific affirmative action own Affirmative Action Policy, it may adopt the
steps to ensure equal employment opportunity. County's model Affirmative Action Policy((refer to
These steps are included in 41 CFR 60-4.3(a)(7) the form found in the "Additional Required
and are also included under "Standard Federal Documents/Sample Documents" section of
Equal Employment Opportunity Construction Attachment"D"of the bid package).
Contract Specifications" of Attachment "D" of the
bid package. 3. Following Federal Affirmative Action Plan
guidelines which comply with the requirements of
41 CFR 60.2.10.
Page 2 of 4
Page 10 of 22
DEFINITIONS 1. Has a physical or mental impairment, which
substantially limits one or more of such person's
Unless a provision of a contract otherwise requires,certain major life activities.
words and phrases shall be defined as follows:
2. Has a record or such impairment,or
A. "Affirmative Action" is a commitment to increase the
number of minorities and women in the work force by 3. Is generally regarded as having such an
setting employment goals and timetables, including impairment.
action to achieve objectives. Affirmative Action seeks
to ensure that discrimination is eliminated in dealings M. "Implementing Entity" means public jurisdiction who is
with employees or applicants for employment whether administering the contract.
the discrimination is intentional or unintentional. In
addition,Affirmative Action seeks to improve job N. "Minority"includes:
standards and productivity through the removal of
artificial and unnecessary barriers to employment and 1. Black (all persons having origins in any Black
promotion and ensure that all job actions are related African racial groups not of Hispanic origin);
to job performance measures.
B. "Affirmative Action Plan" is a written affirmative plan 2. Hispanic (all persons of Mexican, Puerto Rican,
required of Contractors and Subcontractors who have Cuban, Central or South American or other
50 or more employees and have entered into a Spanish Culture or origin,regardless of race);
contract with the implementing entity that exceeds
$50,000 or $50,000 in contracts over a 12-month 3. Asian or Pacific Islander (all persons having
period. origins in any of the original peoples of the Far
East, Southeast Asia, the Indian subcontinent or
C. "Contract"means a federally-assisted purchase order, the Pacific Islands);
offer and acceptance, lease, agreement or other
arrangement creating an obligation to which the 4. American India or Alaskan native (all persons
implementing entity is a party,which would make one having origins in any of the native peoples of
of the parties within the definition a Contractor. North America and maintaining identifiable tribal
affiliations through membership and participation
D. "Construction" means the construction, rehabilitation, in community identification).
alteration, conversion, extension, demolition or repair
of buildings, highways or other changes or O. "Non-construction Contract" means any contract that
improvements to real property, including facilities does not fall within the definition of "Construction
providing utility services. Contract".
E. "Contractor" means a prime Contractor or P. "Officer" means the Contract Compliance Officer of
Subcontractor. the implementing entity or U.S. Department of Labor
F. "Covered Area" means the geographical area Office of Federal Contract Compliance Program
(OFCCP)Officer.
described in the solicitation from which the contract
resulted; Q. "Persons" means any individual, firm, co-partnership,
G. "Director" means Director, OFCCP, U.S> Dept. of public service, joint venture, association, social club,
Labor, or any person to whom the Director delegates fraternal organization, corporation, estate, trust
authority to; receiver, syndicate CITY, county, municipal
corporation, district or other political subdivision, or
H. "Employee" means one who performs work for any other group or combination acting as a unit.
compensation, or a person who is permanently or R. "Underutilization" means having fewer minorities or
regularly employed by the Contractor or women in a particular job classification than would
Subcontractor. reasonably be expected by their availability.
I. "Employer Identification Number" means the Federal S. "Vietnam-Era Veteran"means a person who:
Social Security Number;
J. "Handicapped Status"means any person who: 1. Served on actual duty for a period of more than
180 days, any part of which occurred between
1. Has a physical or mental impairment, which August 5, 1964, and May 7, 1975, and was
substantially limits one or more of such person's discharged or released there from with other than
major life activities. a dishonorable discharge;or
2. Has a record or such impairment or, 2. Was discharged or released from active duty for a
service-connected disability if any part of such
3. Is generally regarded as having such an active duty was performed between August 5,
1964,and May 7, 1975.
impairment.
K. "Employer Identification Number" means the Federal
Social Security Number;
L. "Handicapped Status"means any person who:
Page 3 of 4
Page 11 of 22
T. Violation and Appeal Procedure:
1. A Contractor found in violation of equal
opportunity/affirmative action laws will be referred
to the U.S. Department of Labor's OFCCP
Division, and the Solicitor for Labor, Associate
Solicitor of Labor Relations and Civil Rights
Regional Solicitors and Regional Attorney are
authorized to institute enforcement proceedings
by filing a compliant and serving that compliant to
the Contractor (defendant), in accordance with
procedures set forth in 41 CFR 60-30.5. The
complaint shall contain information on the alleged
violation, a prayer regarding the relief being
sought, and the name and address of the attorney
representing the Government. Within 20 days
after receiving the complaint, the defendant shall
file an answer with the Chief Administrative Law
Judge, if the case has not been assigned to an
Administrative Law judge.
2. The answer shall contain a statement of the facts
which constitute the ground of defense, and shall:
1) specifically admit, explain, or deny each of the
allegations of the complaint unless the defendant
is without knowledge, or 2) state that the
defendant admits all the allegations contained in
the complaint. The answer may contain a waiver
for a hearing and if not, a separate paragraph in
the answer shall request a hearing. The answer
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.
3. Contractor agrees to fully comply with the laws
and programs (including regulations issued
pursuant thereto) identified herein. Such
compliance is required to the extent such laws,
programs and their regulations are, by their own
terms, applicable to this contract. Contractor
warrants that he will make himself thoroughly
familiar with the applicable provisions of said
laws, programs, and regulations prior to
commencing performance of the contract.
Copies of said laws, programs, and regulations
are available upon request from the implementing
entity's Contract Compliance Officer, or from the
U.S. Department of Labor's OFCCP Officer to the
extent applicable the provisions of said laws
programs and regulations are deemed to be a
part of this contract as if fully set forth herein.
4. Vietnam Era Veterans' Readjustment Assistance
Acts of 1972 and 1974, as amended. Pub. L.92-
540, Title V, Sec 503(a), Pub. L 93-508. Title IV,
Sec.402.(38 USCA 2011-2013).
5. Rehabilitation act of 1973, as amended
(Handicapped) Pub. 193-112 as amended. (29
USCA 701-794).
6. California Fair Employment Practice Act. Labor
Code Sec. 1410 et seq.Civil Rights Act of 1964,
as amended (42 USCA 2000a to 2000H-6) and
Executive Order No. 11246, September 24,1965,
as amended. Page 4 of 4
Page 12 of 22
EQUAL OPPORTUNITY CLAUSES (5) The Contractor will furnish all information and reports
required by Executive Order 11246 of September 24,
The Contractor and Subcontractors not found 1965, and by rules, regulations and orders of the
exempt under 41 CFR 60-1.5, are required to Secretary of Labor, pursuant thereto, and will permit
access to his books, records, and accounts by the
comply with the following equal opportunity administering agency and Secretary of Labor for
clauses as a condition of being awarded a purposes of investigation to ascertain compliance with
federally-assisted contract. Each nonexempt prime such rules,regulations, and orders
Contractor shall include equal employment
opportunity clauses in each of its nonexempt (6) In the event of the Contractor's noncompliance with
the nondiscrimination clauses of this contract or with
Subcontractors. any of such rules, regulations or orders,this contract
EQUAL OPPORTUNITY CLAUSE FOR may be canceled, terminated or suspended in whole
or in part, and the Contractor may be declared
FEDERALLY-ASSISTED CONSTRUCTION ineligible for further Government contracts in
CONTRACTS accordance with procedures authorized in Executive
Order 11246 of September 24, 1965, and such other
This clause is inserted pursuant to Executive Order 11246 of sanctions may be imposed and remedies invoked as
September 24, 1965,as amended,and Title VII of the Civil provided in Executive Order 11246 of September 24,
Rights Act of 1964,and is applicable pursuant to 41 CFR 1965, or by rule, regulation or order of the Secretary
Sec. 60-1.4. The following requirements apply to of Labor,or as otherwise provided by law.
Contractors and Subcontractors
(7) The Contractor will include the provisions of
(1) The Contractor will not discriminate against any paragraphs (1) through (7) in every subcontract or
employee or because of purchase order unless exempted by rules, regulations
pl applicant for, employment natione! origin. The or orders of the Secretary of Labor issued pursuant to
racContractor color, religion,l gaffirmativesex, o action to ensuregin. that Section 204 of Executive Order 11246 of September
24, 1965,so that such provisions will be binding upon
applicants are employed, and that employees are each Subcontractor or vendor. The Contractor will
treated during employment without regard to their take such action with respect to any subcontract or
race, color, religion, sex, national origin. Such action purchase order as the contracting agency may direct
shall include, but not be limited to the following: as a means of enforcing such provisions, including
Employment, upgrading, demotion, or transfer; sanctions for noncompliance: Provided, however,
recruitment or recruitment advertising; layoff or that in the event the Contractor becomes involved in,
termination; rates of pay or other forms of or is threatened with,litigation with a Subcontractor or
compensation; and selection for training, including vendor as a result of such direction by the contracting
apprenticeship. The Contractor agrees to post in agency,the Contractor may request the United States
conspicuous places, available to employees and to enter into such litigation to protect the interests of
applicants for employment, notices to be provided by the United states.
the contracting officer setting forth the provisions of
this nondiscrimination clause. The applicant further agrees that it will be bound by
(2)The Contractor will, in all solicitations or the above equal opportunity clause with respect to its
own employment practices when it participates in
advertisements for employees placed by or on behalf federally assisted construction work;provided,that if
of the Contractor,state that all qualified applicants will the applicant so participating is a state or local
receive consideration for employment without regard government,the above equal opportunity clause is
to race, color,religion,sex, or national origin. not applicable to any agency, instrumentality or
(3)The Contractor will send to each labor union or subdivision of such government which does not
representative of workers with which he has a participate in work on or under the contract.
collective bargaining agreement or other contract or The applicant agrees that it will assist and cooperate
understanding, a notice to be provided by the agency actively with the administering agency and the
contracting officer, advising the labor union or Secretary of Labor in obtaining the compliance of
workers' representative of the Contractor's Contractors and Subcontractors with the equal
commitments under Section 202 of Executive Order opportunity clause and the rules, regulations,and
11246 of September 24, 1965, and shall post copies relevant orders of the Secretary of Labor,that it will
of the notice in conspicuous places available to furnish the administering agency and the Secretary of
employees and applicants for employment. Labor in obtaining the compliance of Contractors and
Subcontractors with the equal opportunity clause and
(4)The Contractor will comply with all provisions of the rules, regulations,and relevant orders of the
Executive Order 11246 of September 24, 1965 and of Secretary of Labor,that it will furnish the
the rules, regulations, and relevant orders of the administering agency and the Secretary of Labor such
Secretary of Labor. information as they may require for the supervision of
such compliance,and that it will otherwise assist the
administering agency in the discharge of the agency's
primary responsibility for securing compliance.
Page 1 of 8
Page 13 of 22
The applicant further agrees that it will refrain from Employment Service System wherein the opening
entering into any contract or contract modification occurs. The Contractor further agrees to provide
subject to Executive Order 1124 of September 24, such reports to such local office regarding
1965,with a Contractor debarred from,or who has employment openings and hires as may be
not demonstrated eligibility for Government required.
contracts and federally assisted construction
contracts pursuant to the Executive Order and will (3) Listings of employment openings with the
carry out such sanctions and penalties for violation employment service system pursuant to this clause
of the equal opportunity clause as may be imposed shall be made at least concurrently with the use of
upon Contractors and Subcontractors by the any other recruitment source or effort and shall
administering agency or the Secretary of Labor involve the normal obligations which attach to the
pursuant to Part II,Subpart D of the Executive placing of a bona fide job order, including the
Order. In addition,the applicant agrees that if it acceptance of referrals of veterans and non-
fails or refuses to comply with these undertakings, veterans. The listing of employment openings does
the administering agency may take any or all of the not require the hiring of any particular job applicant
following actions: Cancel,terminate,or suspend in or from any particular group of job applicants, and
whole or in part this grant(contract, loan, insurance, nothing herein is intended to relieve the Contractor
guarantee),refrain from extending any further from any requirements in Executive Orders or
assistance to the applicant under the program with regulations regarding nondiscrimination in
respect to which the failure or refund occurred until employment.
satisfactory assurances of future compliance has (4) The reports required by paragraph(2)of this clause
been received from such applicant,and refer the shall include, but not be limited to, periodic reports
case to the Department of Justice for appropriate which shall be filed at least quarterly with the
legal proceedings. appropriate local office or,where the Contractor has
In addition to the above, Contractor will agree to more than one hiring location in a State, with the
furnish all information and reports, including central office of that State Employment Service.
Standard form EEO-1,if applicable,to the U.S. Such reports shall indicate for each hiring location,
Equal Employment Opportunity Commission (a) the number of individuals hired during the
(EEOC)and the U.S. Department of Labor's reporting period, (b) the number of non-disabled
OFCCP,as required by Executive Order No. 11246 veterans of the Vietnam Era hired, (c) the number
of September 24,1965. of disabled veterans of the Vietnam Era hired, and
(d) the total number of disable veterans hired. The
EQUAL OPPORTUNITY CLAUSE FOR reports shall include covered veterans hired for on-
SPECIAL DISABLED VETERANS the-job training under 38 USC Sec. 1787. The
Contractor shall submit a report within 30 days after
AND VETERANS OF THE VIETNAM ERA the end of each reporting period wherein any
performance is made on this contract identifying
This clause is inserted pursuant to Executive Order 11701 of data for each hiring location. The Contractor shall
January 24, 1973 and the Vietnam Era Veterans maintain at each hiring location, copies of the
Readjustment Assistance Acts of 1972 and 1974(P.L.92- reports submitted until the expiration of one year
540,93-508),and is applicable pursuant to 41 CFR Sec.60- after final payment under the contract, during which
250. time these reports and related documentation shall
be made available, upon request, for examination
(1) The Contractor will not discriminate against any by any authorized representatives of the contracting
employee or applicant for employment because he officer or of the Secretary of Labor. Documentation
or she is a disabled veteran or veteran of the would include personnel records respecting job
Vietnam Era in regard to any position for which the openings, recruitment and placement.
employee or applicant for employment is qualified.
The Contractor agrees to take affirmative action to (5) Whenever the Contractor becomes contractually
employ, advance in employment and otherwise bound to the listing provisions of this clause,it shall
treat qualified disabled veterans and veterans of the advise the employment service system in each
Vietnam Era without discrimination based upon State where it has establishments of the name and
their disability or veterans status in all employment location of each hiring location in the State. As long
practices such as the following: employment, as the Contractor is contractually bound to these
upgrading, demotion or transfer, recruitment, provisions and has so advised the State system,
advertising, layoff or termination, rates of pay or there is no need to advise the State system of
other forms of compensation, and selection for subsequent contracts. The Contractor may advise
training, including apprenticeship. the State system when it is no longer bound by this
contract clause.
(2) The Contractor agrees that all suitable employment
openings of the Contractor which exist at the time of (6) This clause does not apply to the listing of
the execution of this contract and those which occur employment openings, which occur and are filled
during the performance of this contract, including outside of the 50 States, the District of Columbia,
those not generated by this contract and including Puerto Rico,Guam and the Virgin Islands.
those occurring at an establishment of the
Contractor other than the one wherein the contract
is being performed but excluding those of
independently operated corporate affiliates,shall be
listed at an appropriate local office of the State
Page 2 of 8
Page 14 of 22
(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 Contractor's 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
a. "All suitable employment openings"includes, places, available to employees and applicants for
but is not limited to,openings which occur in employment, notices in a form to be prescribed by
the following job categories: production and the Director, provided by or through the contracting
non-production; plant and office;laborers and officer. Such notices shall state the Contractor's
mechanics;supervisory and non-supervisory; obligation under the law to take affirmative action to
technical;and executive, administrative and employ and advance in employment qualified
professional openings as are compensated on disabled veterans and veterans of the Vietnam Era
a salary basis of less than$25,000 per year. for employment, and the rights of applicants and
The term includes full-time employment, employees.
temporary employment of more than three (12) The Contractor will notify each labor union or
days duration,and part-time employment. It
does not include openings which the representative of workers with which it has a
Contractor proposes to fill from within his own collective bargaining agreement or other contract
organization or to fill pursuant to a customary understanding, that the Contractor is bound by the
and traditional employer union hiring terms of the Vietnam Era Veterans' Readjustment
arrangement or openings in an educational Assistance Act,and is committed to take affirmative
institution which are restricted to students of action to employ and advance in employment
that institution. Under most compelling qualified disabled veterans and veterans of the
circumstances an employment opening may Vietnam Era.
not be suitable for listing, including such
situations where the needs of the Government (13) The Contractor will include the provisions of this
cannot reasonably be otherwise supplied, clause in every subcontract or purchase order of
where listing would be contrary to national $10,000 or more unless exempted by rules,
security,or where the requirement of listing regulations or orders of the Secretary issued
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 local 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 (14) Collective bargaining agreement or other contract
employment opening is to be filled, including understanding that the Contractor is bound by the
the District of Colombia,Guam, Puerto Rico terms of the Vietnam Era Veterans' Readjustment
and the Virgin Islands. Assistance Act,and is committed to take affirmative
action to employ and advance in employment
c. "Openings which the Contractor proposes to qualified disabled veterans and veterans of the
fill from within his own organization"means Vietnam Era.
employment openings for which no
consideration will be given to persons outside (15) The Contractor will include the provisions of this
the Contractor's organization (including any clause in every subcontract or purchase order of
affiliates,subsidiaries and the parent $10,000 or more unless exempted by rules,
companies)and includes any openings which regulations or orders of the Secretary issued
the Contractor proposes to fill from regularly pursuant to the Act, so that such provisions will be
established"recall"lists. binding upon each Subcontractor or vendor. The
Contractor will take such action with respect to any
d. "Openings which the Contractor proposes to subcontract or purchase order as the Director of the
fill pursuant to a customary and traditional Office of Federal Contract Compliance Programs
employer-union hiring arrangement"means may direct to enforce such provisions, including
employment openings which the Contractor action for noncompliance.
proposes to fill from union halls,which is part
of the customary and traditional hiring
relationship which exists between the
Contractor and representatives of his
employees.
Page 3 of 8
Page 15 of 22
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
This clause is inserted pursuant to the Rehabilitation Act of the Director, provided by or through the contracting
officer.
1973(P.L.93-112)and 41 CFR Sec.60-741-4.
(1) The Contractor will not discriminate against any (5) Such notices shall state the Contractor's obligation
employee or applicant for of under the law to take affirmative action to employ
physicalmploor mental fo employment in regbecausee to any and advance in employment qualified handicapped
employees and
position for which the employee or applicant for applicantsfor employment, and the
employment is qualified. The Contractor agrees to rights of applicants and employees.
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.
(2) The Contractor agrees to comply with the rules, (7) The Contractor will include the provisions of this
clausein every
regulations and relevant orders of the Secretary of subcontractor purchase order of
Labor issued pursuant to the Act. $2,500.00 or moreeunless exempted by rules,
regulations or orders of the Secretary issued
(3) In the event of the Contractor's non-compliance pursuant to Section 503 of the Act, so that such
ctor
with the requirements of this clause, actions for or vendns will be Contractorg upon each cShbc action with
noncompliance may be taken in accordance with or vendor. The will take such with
the pl regulationsmayand relevantnorders of h respect to any subcontract or purchase order as the
Secretary of Labor issued pursuant to the Act. Director of the Office of Federal Contract
Compliance Programs may direct to enforce such
provisions,including action for noncompliance.
Page 4 of 8
Page 16 of 22
STANDARD FEDERAL EQUAL must be able to demonstrate their participation in
EMPLOYMENT OPPORTUNITY and compliance with the provisions of any such
CONSTRUCTION CONTRACT PROVISIONS Hometown Plan.Each Contractor or Subcontractor
participating in an approved Plan is individually
(EXECUTIVE ORDER 11246, PURSUANT TO required to comply with its obligations under the
41 CFR 60-4.3 (a) EEO clause, and to make a good faith effort to
achieve each goal under the Plan in each trade in
1. As used in these specifications: which it has employees. The overall good faith
performance by other Contractors or Subcontractors
a. "Covered means the geographical toward a goal in an approved Plan does not excuse
described area"in the solicitationnthefrom which areathia any covered Contractor's or Subcontractor's failure
contract resnited; to take good faith efforts to achieve Plan goals and
timetables.
b. "Director" means Director, Office of Federal 4. The Contractor shall implement the specific
Contract Compliance Programs, United States affirmative action standards provided in paragraphs
Department of Labor, or any person to whom 7a through p of these specifications. The goals set
the Director delegates authority; forth in the solicitation from which the contract
c. identification number" the resulted are expressed as percentages of the total
"Employer identification
Security number used meansn the hours of employment and training of minority and
FederalEmployer'sSocialQuarter Security
ral Tax use 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, Centralns Southc American in notice form, and such notices may be obtained
oCr Spanish Culture or origin, from any Office of Federal Contract Compliance
orregardless 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 5. Neither the provisions of any collective bargaining
Subcontinent,or the Pacific Islands);and 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 Contractor's obligations under these specifications,
Executive Order 11246 or the regulations
identifiable tribal affiliations through promulgated pursuant thereto.
membership and participation or community
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, bysych apprentices Contractor and trainees s must beg
any construction trade, it shall physically include in employed the during the training
each subcontract in excess of$10,000 the period and the Contractor must have made
provisions of these specifications and the Notice commitment to employ the apprentices and trainees
which contains the applicable goals for minority and at the completion of their training, subject to the
female participation and which is set forth in the availability of employment opportunities. Trainees
solicitations from which this contract resulted. must trained pursuant to training programs
approved by the U.S.Department of Labor.
3. If the Contractor is participating(pursuant to 41 CFR 7. The Contractor shall take specific affirmative actions
60-4.5)in a Hometown Plan approved by the U.S. to ensure equal employment opportunity. The
Department of Labor in the covered area either evaluation of the Contractor's compliance with these
individually or through an association,its affirmative specifications shall be based upon its effort to
action obligations on all work in the Plan area achieve maximum results from its actions. The
(including goals and timetables)shall be in Contractor shall document these efforts fully, and
accordance with the plan for those trades which
have unions participating in the Plan. Contractors
Page 5 of 8
Page 17 of 22
shall implement affirmative action steps at least as programs funded or approved by the
extensive as the follow 16 steps: Department of Labor. The Contractor
shall provide notice of these programs
a. Ensure and maintain a working to the sources compiled under 7b
environment free of harassment, above.
intimidation, and coercion at all sites,
and in all facilities at which the f. Disseminate the Contractor's EEO
Contractor's employees are assigned policy by providing notice of the policy
to work. The Contractor shall to unions and training programs and
specifically ensure that all foremen, requesting their cooperation in
superintendents, and other on-site assisting the Contractor in meeting its
supervisory personnel are aware of EEO obligations by including it in any
and carry out the Contractor's policy manual and collective bargaining
obligation to maintain such a working agreement; by publicizing it in the
environment, with specific attention to company newspaper, annual report,
minority or female individuals working etc.; by specific review of the policy
at such sites or in such facilities. with all management personnel and
with all minority and female employees
b. Establish and maintain a current list of at least once a year;and by posting the
minority and female recruitment company EEO policy on bulletin boards
sources, provide written notification to accessible to all employees that each
minority and female recruitment location where construction work is
sources and to community performed.
organizations when the Contractor or
its unions have employment g. Review, at least annually, the
opportunities available, and maintain a company's EEO policy and affirmative
record of the organizations'responses. action obligations under these
specifications with all employees
c. Maintain a current file of the names, having any responsibility for hiring,
addresses and telephone numbers of assignment, layoff, termination or other
each minority and female off-the-street employment decisions including
applicant and minority or female specific review of these items with
referral from a union, a recruitment onsite supervisory personnel such as
source or community organization and Superintendents, General Foremen,
of what action was taken with respect etc., prior to the initiation of
to each such individual. If such construction work at any job site. A
individual was sent to the union hiring written record shall be made and
hall for referral and was not referred maintained identifying the item and
back to the Contractor by the union or, place of these meetings, persons
if referred, not employed by the attending, subject matter discussed,
Contractor, this shall be documented in and disposition of the subject manner.
the file with the reason therefore, along
with whatever additional actions the h. Disseminate the Contractor's EEO
Contractor may have taken. policy externally by including it in any
advertising in the news media,
d. Provide immediate written notification specifically including minority and
to the Director when the union or female news media, and providing
unions bargaining agreement has not written notification to and discussing
referred to the Contractor a minority the Contractor's EEO policy with other
person or woman sent by the Contractors and Subcontractors with
Contractor, or when the Contractor has whom the Contractor does or
other information that the union referral anticipates doing business.
process has impeded the Contractor's
efforts to meet its obligations. i. Direct its recruitment efforts, both oral
and written, to minority, female and
e. Develop on-the-job training community organizations, to schools
opportunities and/or participate in with minority and female students and
training programs for the area which to minority and female recruitment and
expressly include minorities and training organizations serving the
women, including upgrading programs Contractor's recruitment source, the
and apprenticeship and trainee Contractor shall send written
programs relevant to the Contractor's
employment needs, especially those
Page 6 of 8
Page 18 of 22
notification to organizations such as Contractor is a member and participant may be
the above,describing the openings, asserted as fulfilling any one or more of its
screening procedures, and tests to be obligations provided that the Contractor actively
used in the selection process. participates in the group, makes every effort to
assure that the group has a positive impact on
j. Encourage present minority and female the employment of minorities and women in the
employees to recruit other minority industry, ensures that the concrete benefits of
persons and women and, where the program are reflected in the Contractor's
reasonable, provide after school, minority and female workforce participation
summer and vacation employment to makes a good faith effort to meet its individual
minority and female youth both on the goals and timetables, and can provide access to
site and in other areas of a documentation, which demonstrates the
Contractor's work force. effectiveness of actions taken on behalf of the
Contractor. The obligation to comply, however,
k. Validate all tests and other selection is the Contractor's and failure of such a group to
requirements where there is an fulfill an obligation shall not be a defense for the
obligation to do so under 41 CFR Part Contractor's noncompliance.
60-3.
9. A single goal for minorities and a separate
Conduct, at least annually, an single goal for women have been established.
inventory and evaluation at least of all The Contractor, however, is required to provide
minor8ty and female personnel for equal employment opportunity and to take
promotional opportunities and affirmative action for all minority groups, both
encourage these employees to seek or male and female, and all women, both minority
to prepare for, through appropriate and non-minority. Consequently,the Contractor
training, etc.,such opportunities. may be in violation of the executive order if a
particular group is employed in a substantially
m. Ensure that seniority practices, job disparate manner(for example, even though the
classifications, work assignments and Contractor has achieved its goals for women
other personnel practices, do not have generally, the Contractor may be in violation of
• a discriminatory effect by continually the Executive Order if a specific minority group
monitoring all personnel and of women is underutilized).
employment related activities to ensure
that the EEO policy and the 10. The Contractor shall not use the goals and
Contractor's obligations under these timetables or affirmative action standards to
specifications are being carried out. discriminate against any person because of
race, color,religion,sex, or national origin.
n. Ensure that all facilities and company
activities are non-segregated except 11. The Contractor shall not enter into any
that separate or single-user toilet and Subcontract with any person or firm debarred
necessary changing facilities shall be from Government contracts pursuant to
provided to assure privacy between the Executive Order 11246.
sexes.
12. The Contractor shall carry out such
o. Document and maintain a record of all sanctions and penalties for violation of these
solicitations of offers for subcontracts specifications and of the Equal Opportunity
from minority and female construction Clause, including suspension, termination and
Contractors and suppliers, including cancellation of existing subcontracts as may be
circulation of solicitations to minority imposed or ordered pursuant to Executive Order
and female Contractor associations 11246, as amended, and its implementing
and other business associations. regulations, by the Office of Federal Contract
p. Conduct a review, at least annually, of Compliance Programs.Any Contractor who fails
to and to carry out such sanctions and penalties shall
all supervisors; adherencebe in violation of these specifications and
performance under the Contractor's nd
EEO policies and affirmative action Executive Order 11246,as amended.
obligations. 13. The Contractor, in fulfilling its obligations under
8. Contractors are encouraged participate in these specifications, shall implement specific
voluntary associationsewhich toassit o fulfilli in affirmative action steps, at least as extensive as
one or more of their affirmative action those standards prescribed in paragraph 7 of
obligations (7a-- p). The efforts of a Contractor these specifications,so as to achieve maximum
association, joint Contractor-union, Contractor-
community or other similar group of which the
Page 7 of 8
Page 19 of 22
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 requirements for the hiring of local or other area
Executive Order,the implementing regulations, residents (e.g. those under the Public Works
or these specifications,the director shall Employment Act of 1977 and the Community
proceed in 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
carried 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 published at 41 CFR 32482 and commonly
shall at lease include for each employee the known as the Model Federal EEO Bid
name, address, telephone numbers, Conditions, and the New Form shall not be
construction trade, union affiliation if any, used after the regulations in 41 CFR Part
employee identification number when assigned, 60-4 become effective.
social security number, race, sex, status (e.g.,
mechanic, apprentice trainee,helper,or laborer) Minority Goals
dates of changes in status, hours worked per The goal for the utilization of women employees on
week in the indicated trade, rate of pay, and federally-assisted construction contracts is set at 6.9%.
locations at which the work was performed.
Records shall be maintained in an easily The goal for utilization of minorities, based on the
understandable and retrievable form; however, Standard metropolitan Statistical Area(SMSA)for
to the degree that existing records satisfy this Riverside/San Bernardino County is 19%.
requirement, Contractors shall not be required
to maintain separate records. For additional information on these goals, please contact
the OFCCP-Pacific Region at(415)848-6969.
15. Nothing herein provided shall be construed as a
limitation upon the application of other laws
Page 8 of 8
Page 20 of 22
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.
Created on 3/22/2013
Page 21 of 22
-Insert-
CURRENT DAVIS-BACON WAGE DETERMINATION WHEN
CONSTRUCTION PROJECT GOES OUT TO BID
Created on 3/22/2013
Page 22 of 22
COUNTY OF
r k" 1
SAN BERNARDINO
w°« fG:E ^wCM1G DP.'E1..0I'MF .tiT AGE' NCI'
CONTRACTOR'S CERTIFICATION OF COMPLIANCE WITH
DAVIS-BACON AND RELATED ACTS REQUIREMENTS
' P r1 ✓sY ✓ sli 1 S t ✓1s �✓r s:
��rt
1 r;CONTRACTOR
3 s.s r I r r rl t r ss / ItV
PROJECT NAME: PROJECT CODE:
PROJECT ADDRESS:
PRIME CONTRACTOR NAME:
As the Prime Contractor for the above referenced project, I hereby make the following certification and
acknowledgment with respect to the applicability of"DAMS-BACON AND RELATED ACTS"requirements:
1. By entering into this contract I certify and acknowledge that the above referenced project is
federally funded and, as the Prime Contractor, 1 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 a wage not less than the highest wage applicable to their work classifications. If no federal work
classification appears to apply, the Prime Contractor shall make a written request to the County of San
Bernardino to obtain the applicable work classification and wage rate prior to the start of construction. The
Prime Contractor is solely responsible for ensuring that all Subcontractors are in compliance with the "DAVIS-
BACON AND RELATED ACTS" requirements.
PRIME CONTRACTOR DATE
PRIME CONTRACTOR SIGNATURE TITLE
IF PRIME CONTRACTOR IS A CORPORATION OR PARTNERSHIP
LIST THE LEGAL NAMES AND TITLES OF ALL PARTNERS OR CORPORATE OFFICERS.
NAME TITLE
TITLE
NAME
NAME TITLE
NAME TITLE
NAME TITLE
EXHIBIT:A
(n 4 X
' bn
COUNIY OF
SAN BERNARDINO
L(:O\ °till . DE\+'FI., I''MENT AGENCY
SUBCONTRACTOR'S CERTIFICATION OF COMPLIANCE WITH
DAVIS-BACON AND RELATED ACTS REQUIREMENTS
PROJECT NAME: PROJECT CODE:
PROJECT ADDRESS:
PRIME CONTRACTOR NAME:
SUBCONTRACTOR NAME:
As the undersigned Subcontractor, having executed a contract with the above named contractor on the
above referenced project, hereby make the following certification and acknowledgment with respect to the
applicability of"DAVIS-BACON AND RELATED ACTS"requirements:
1. By executing a contract with the above named contractor, I/we certify and acknowledge that the above
referenced project is federally funded and will comply with the "DAVIS-BACON AND RELATED ACTS"
requirements.
2. I/we have read the "LABOR COMPLIANCE CONTRACT ADDENDUM" including the wage determination for
the above referenced project. I/we acknowledge the receipt and adherence to following provisions set forth
in the"FEDERAL LABOR STANDARDS PROVISIONS"before participation on this project.
3. I/we will include the "LABOR COMPLIANCE CONTRACT ADDENDUM" including the wage determination
for the above referenced project in any lower tier subcontracts/purchase orders executed. I/we will forward
to Prime Contractor a copy of all executed subcontracts/purchase orders to any lower tier subcontractors
within seven (7)days of the execution date.
SUBCONTRACTOR DATE
SUBCONTRACTOR SIGNATURE
TITLE
IF SUBCONTRACTOR ISA CORPORATION OR PARTNERSHIP
LIST THE LEGAL NAMES AND TITLES OF ALL PARTNERS OR CORPORATE OFFICERS.
NAME TITLE
NAME TITLE
NAME TITLE
NAME TITLE
NAME TITLE
.. l
LOUNI \ 0
,v
P SAN BERNARDINO
EcoNomR oFvf OPMF NT AGLAC1
CERTIFICATION OF BIDDER REGARDING
EQUAL EMPLOYMENT OPPORTUNITY
PROJECT NAME: PROJECT CODE:
PROJECT ADDRESS:
INSTRUCTIONS
This certification is required pursuant to Executive Order 11246 (30 F.R. 12319-24 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 (7)calendar days after bid
opening. No contract shall be awarded unless such report is submitted.
BIDDER'S CERTIFICATION
BIDDER'S NAME:
ADDRESS:
1. Bidder has participated in a previous contract or subcontract subject to the Equal Opportunity Clause.
Yes El No(IF YES,identify the most recent contract.)
(IF NO,contractor may be required to submit an EEO-1 survey or other reports to the Equal Employment Opportunity Commission,
EEOC at 800-669-4000 or online at httpliwAtyy,etocovteeolsurveyfindex.html.
2.Compliance reports were filed in connection with such contract or subcontractor with the Joint Reporting
Committee,the Deputy Assistant Secretary or the Equal Employment Opportunity Commission.
—I Yes No 11 None Required
3. Has Bidder ever been or is bidder being considered for sanction due to violation of EXECUTIVE ORDER 11246,as
amended. http://www.dol.govicompliance/lavvsicomp-eeo.htm
r Yes n No
Certification:The information above is true and complete to the best of my knowledge and belief.
PRIME CONTRACTOR(Print Name) TITLE
CONTRACTOR SIGNATURE DATE
EXHIBIT:t%
N \ t
,$ SAN BERNARDINO
0 No m4q VF 1 $)prAN11
CERTIFICATION BY PROPOSED SUBCONTRACTOR
REGARDING EQUAL EMPLOYMENT OPPORTUNITY
PROJECT NAME: PROJECT CODE:
PROJECT ADDRESS:
INSTRUCTIONS
This certification is required pursuant to Executive Order 11246 (30 F.R. 12319-251. 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 Prime Contractor approves the subcontract or permits work to begin under the subcontract.
No contract shall be awarded unless such report is submitted.
SUBCONTRACTOR'S CERTIFICATION
SUBCONTRACTOR'S NAME:
ADDRESS:
1. Subcontractor has participated in a previous contract or subcontract subject to the Equal Opportunity
Clause.
1 Yes I No (IF YES,identify the most recent contract.)
(IF NO,contractor may be required to submit an EEO-1 survey or other reports to the Equal Employment Opportunity Commissio
contact EEOC at 800-669-4000 or online at lItiplt#vyyl,equptLeeiolsql veyijndex h tty I.
2. Compliance reports were filed in connection with such contract or subcontractor with the Joint Reporting
Committee, the Deputy Assistant Secretary or the Equal Employment Opportunity Commission.
Yes Hi No None Required
3. Subcontractor has ever been or is being considered for sanction due to violation of EXECUTIVE ORDER
11246, as
amended. http://www.dol.govicomdiance laws corn -eeo.htm
Yes H No
Certification:The information above is true and complete to the best of my knowledge and belief.
SUBCONTRACTOR(Print Name) TITLE
SUBCONTRACTOR SIGNATURE DATE
EXHIBIT C
(,.. o U ' T Y 01
SANIXy��pyERyN( hR N [
ELoIY o M i 0..A E.4t ..Y.._O6PMY i .,e..
AFFIRMATIVE ACTION COMPLIANCE FORM
FOR CONSTRUCTION CONTRACTS OVER $10,000
prilrrr t i t rl sr r : r
,lr1u t esu ( +2t s s si>y � m� � oar
'lt r tVs�r 44 rrJ ti'�Y r �� � � ii ry ,a.. .... ` a
„ � ..
PROJECT NAME: PROJECT CODE:
COMPANY—CONTRACTOR NAME:
Please check the box that applies to your company to affirm an understanding and implementation of
AFFIRMATIVE ACTION COMPLIANCE requirements and that you have read and completed the
requirements for the project as noted below:.
Ems. I / We have reviewed and understand the "CONSTRUCTION CONTRACT LABOR COMPLIANCE
PROVISIONS (ATTACHMENT DI" of the bid package and/or "LABOR COMPLIANCE CONTRACT
ADDENDUM".
MANDATORY REQUIREMENT
I I / We DO currently maintain an effective Affirmative Action Program. The Affirmative Action
Program complies with the Standard Federal Equal Employment Opportunity Construction Contract
Provisions Executive Order 11246, pursuant to 41 CFR 60-4.3 (a)and will furnish a copy upon request
fl I / We DO NOT currently maintain an Affirmative Action Program. I / We agree to the Equal
Opportunity Clause for Federally-Assisted Construction Contracts Executive Order 11246), as
amended,and Title VII of the Civil Rights Act of 1964,and is applicable pursuant to 41 CFR 60-1.4) of
"CONSTRUCTION CONTRACT LABOR COMPLIANCE PROVISIONS (ATTACHMENT Ur of the bid package
and/or"LABOR COMPLIANCE CONTRACT ADDENDUM".
Personnel affirmative action in recruitment, hiring and promotion is required by Contractors and
Subcontractors who have entered into a federally-assisted construction contract that exceeds
$10,000 or $10,000 in the aggregate over a 12-month period. Contractors or Subcontractor who
enter into a "Construction Contract" in excess of $10,000 must take 16 specific affirmative action
steps to ensure equal employment opportunity. These steps are included in 41 CFR 60-4.3 (a) (7)
and are also included under "Standard Federal Equal Employment Opportunity Construction
Contract Specifications" of "CONSTRUCTION CONTRACT LABOR COMPLIANCE PROVISIONS
(ATTACHMENT D "of the bid package and/or"LABOR COMPLIANCE CONTRACT ADDENDUM".
I certify the information above is true and complete to the best of my knowledge and belief.
CONTRACTOR(Print Name) TITLE
CONTRACTOR SIGNATURE DATE
EXHIRI I. C
C (, U T N01
,t SAN ERNAR IN
WYE, m' I ».0'N Fes/M 14Y A.>f t..M.,P 6"M U N 6 \0.D I N( !
CERTIFICATE OF UNDERSTANDING
AND AUTHORIZATION FORM
( / ro' m» � M beN ''" � "A
. ...�. ,a,w...a ,�w�'01;'.e�^.y„" �'wi" ,�orc✓uws:m^,.
** Complete If Owner/Officer Is NOT Signing Statement of Compliance **
PROJECT NAME: PROJECT CODE:
COMPANY—CONTRACTOR NAME:
The undersigned certifies that the company principaii s), and the authorized payroll officer have
read the most current "DAVIS-BACON LABOR STANDARDS" (A Contractor's Guide to Prevailing
Wage Requirements for Federally-Assisted Construction Projects) and understand the labor
standards clauses pertaining to this project including the pre-construction conference discussions
and all related documents required for this project by the implementing agency in the pre-
construction checklist package,
THE FOLLOWING PERSON(S) IS DESIGNATED AS THE PAYROLL OFFICER FOR THE UNDERSIGNED COMP)
CONTRACTOR AND IS AUTHORIZED TO SIGN THE STATEMENT OF COMPLIANCE WHICH WILL ACCOMP/,
EACH WEEKLY CERTIFIED PAYROLL REPORT FOR THIS PROJECT.
PAYROLL AGENT(PRINT NAME) PAYROLL AGENT(S"GNATURE)
OWNER/OFFICER(PRINT NAME) OWNER/OFFICER(SIGNATURE)
TITLE(PARTNER/CORPORATE OFFICER OR OWNER) DATE
*** A PAYROLL OFFICER MAY SELF-CERTIFY AUTHORIZATION TO SIGN PAYROLL REPORTS ONLY IF
A SOLE-PROPRIETOR, ALL OTHERS MUST HAVE AUTHORIZATION FROM A SECOND CORPORATE
OFFICER PARTNER OR OWNER. ***
EXHIBIT:F
FRINGE BENEFIT STATEMENT FORM
PROJECT NAME: PROJECT CODE:
COMPANY ONT A TOR NAME:
Use this form to identify those bona fide Fringe Benefit Pianist in which your employees are participating.List all third party plans,funds or trustees to which
your firm makes fringe benefit payments in the interest of your employees.Provide an hourly equivalent of each fringe type(in dollars)below.Payrolls will be
monitored to ensure the proper Fringe Benefit rates are being paid.Additional documentation may be required„
a'
CLASSIFICATION: EFFECTIVE DATE. SUBSISTENCE OR TRAVEL PAY$:
FRINGE BENEFIT HOURLY AMOUNT: NAME, ADDRESS AND CONTACT INFORMATION OF PLAN,FUND OR PROGRAM
VACATION/HOLIDAY 5S° NAME
ADDRESS:
CONTACT INFORMATION:
HEALTH&WELFARE 5 NAME:
ADDRESS:
CONTACT INFORMATION'.
PENSION S NAME.
ADDRESS
CONTACT INFORMATION:
APPRENTICE/TRAINING", NAME:
ADDRESS;
CONTACT INFORMATION
OTHER$, NAME-
ADDRESS'>
CONTACT INFORMATION:
CLASSiFI ATIO€a; EFFECTIVE DATE, SUBSISTENCE OR"TRAVEL PAY S.
FRINGE BENEFIT HOURLY AMOUNT NAME, ADDRESS AND CONTACT INFORMATION OF PLAN,FUND OR PROGRAM
VACATION/HOLIDAY 5: NAME:
ADDRESS,
CONTACT INFORMATION:;
HEALTH&WELFARE$: NAME:
ADDRESS;,
CONTACT INFORMATION.
PENSIONS: NAME.
ADDRESS:
CONTACT INFORMATIOPV,
APPRENTICE/TRAINING S; NAME.
ADDRESS,
CONTACT INFORMATION
OTHER$% NAME:
ADDRESS
CONTACT INFORMATION,
I certify under penalty of perjury that fringe benefits are paid to the approved plans,funds or programs as listed above:
CONTRACTOR(PRINT NAME) TITLE
OWNER/CONTRACTOR SIGNATURE DATE
EXHIBIT;IBIT;E;
FRINGE BENEFIT FORM INSTRUCTIONS
Supplemental statements MUST be submitted during the progress of work i.
should a change in rate of any of the classifications be made.
NOTE: To receive credit for employer paid benefit contributions, plans must be bona fide and contributions must be
documented. On the Fringe Benefit Statement,indicate the name,address and phone number of the administrator of
the Plan,Fund or Program.
VACATION PLAN/PAID HOLIDAY DOCUMENTATION: Please submit copies of your company's policy for employer paid
vacation and holidays. For vacation, please explain how you track the vacation hours for each employee. Additionally,
please submit copies of monthly reports or statements from the bank/fund depository showing that the plan and
vacation amounts are available for the workers.
HEALTH AND WELFARE DOCUMENTATION: For your Health & Welfare Plan, please submit copies of the plan
documentation indicating monthly or quarterly billings for the covered benefits(and delineating all benefits per worker),
as well as statements and copies of checks transmitted by your company to the trust fund or plan for these benefits.
PENSION PLAN DOCUMENTATION:Please submit copies of the plan documentation from the Plan Administrator including
the plan summary, account balances, monthly or quarterly transmittals into the account and copies of checks
transmitted by your company as payments into the accounts.
APPRENTICE/TRAINING DOCUMENTATION: Please submit copies of the Apprentice/Training Certification Letter from your
Federally Registered Program Sponsors. The apprenticeship program must be registered with the Department of Labor
(DOL), Office of Apprenticeship. Include level, step or period of the apprentice; apprentice's wage scale and ratio
information.A training or apprentice wage can be paid only if the trainee is registered in a DOL approved apprenticeship or
training program or with a State Apprenticeship Agency recognized by DOL. Otherwise, the individual is to be paid the
Davis-Bacon and Related Acts(DBRA) prevailing wage rate for the classification of work that they are performing regardless
of their skill level.(Federal regulations DO NOT REQUIRE the employment of apprentices on federally funded projects)
OTHER DOCUMENTATION: Please submit copies of explanation,monthly reports or statements and plan documentation
from the Plan Administrator for all "OTHER" company paid plan(s). The implementing agency will verify plan(s) for
employer to receive credit.
FRINGES PAID IN CASH:Indicate if some or all fringes will be added to the employee's basic hourly rate.
If your company does not operate under a collective bargaining agreement or contribute based on an hourly amount;
you may use the following formulas to compute hourly benefits. Please be advised that examples are provided only to
demonstrate how the formulas are used.
Annual Calculation:The annual calculation is based on 2080 hours per year(AOhrs x 52 weeks per year)
Formula: Employee's Basic Hourly Rate x Number of Benefit Hours (8 Hrs a Day x Number of Days) divided by
2080
Annual Hours.
Example: At$20/Hr,with 80 vacation hours a year,the hourly rate would calculate as follows:
$20 X 80 Hrs=$1,600 divided by 2,080 hours per year=$.77
Fringe Benefit Hourly Amount:$.77
Monthly Calculation:The monthly calculation factor 173.33 is based on 2080 hours per year divided by 12 months.
Formula:Monthly Benefit Plan Contribution divided by 173.33
Example:If employer pays$200/month for a medical benefit,the monthly hourly rate calculates as follows:
A monthly plan contribution of$200 divided by 173.33=$1.15
Fringe Benefit hourly amount:$1.15
couNty of
N,,,\",1 SAN BERNARDINO
CONOMIC IDI\fEI..OPMEN.I AGENCI.
AUTHORIZATION FOR PAYROLL DEDUCTION(NINES)
r„ 'Y11r (ii 4' rj rrlry °. c Y( ...• . .
1,1 red "" .,. ..mm •
PROJECT NAIVIE: PROJECT CODE:
COMPANY—CONTRACTOR NAME:
EMPLOYEE NAME: EMPLOYEE :
MUST be completed and signed by the employee who has "OTHER/GARNISH" deduction(s) subtracted
from his/her payroll. Deduction types include: Alimony, Child Support, other Court-Ordered Deductions
or Garnishments, Uniforms, 401K, Loans, Advance Paybacks, or Insurance, etc. This form is to be
submitted before the first Certified Payroll reflecting the deduction(s). ALL "Other/Garnish" deductions
must be accompanied by supporting documentation.
DEDUCTION TYPE EXPLANATION FOR DEDUCTION(S): WEEKLY AMOUNT
I, , HEREBY AUTHORIZE
(PRINT EMPLOYEE NAME) (COMPANY—CONTRACTOR NAME)
TO MAKE THE ABOVE LISTED DEDUCTION(S) FROM MY PAYROLL CHECK. IT IS UNDERSTOOD THAT
THESE
DEDUCTIONS ARE IN THE INTEREST OF THE EMPLOYEE AND NOT A CONDITION OF EMPLOYMENT, OR A
DIRECT
OR INDIRECT FINANCIAL BENEFIT ACCRUING TO THE EMPLOYER,AND NOT OTHERWISE FORBIDDEN BY
LAW.
EMPLOYEE SIGNATURE DATE
CONTRACTOR SIGNATURE DATE
EXHIBIT:G