HomeMy WebLinkAboutContracts & Agreements_108-2003REPORT/RECOMMENDATION OT THE BOARD OF SUPERVISORS
OF SAN BERNARDINO COUNTY, CALIFORNIA
AND RECORD OF ACTION
Agreement #s. 03-753 thru 03-765
July 1, 2003
FROM THOMAS R LAURIN, DIRECTOR
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
SUBJECT 2003-2006 COMMUNITY DEVELOPMENT BLOCK GRANT CITY -COUNTY
DELEGATE AGENCY AGREEMENTS
RECOMMENDATION Approve Community Development Block Grant (CDBG) City -County Delegate
Agency Agreements for fiscal years 2003-04 through 2005-06, between the County and each of the
following thirteen (13) cooperating Cities
CITY
Adelanto
Barstow
Big Bear Lake
Colton
Grand Terrace
Highland
Lorna Linda
AGREEMENT NO CITY AGREEMENT NO.
03-753
03-754
03-755
03-756
03-757
03-758
03-759
Montclair
Needles
Redlands
Twentynine Palms
Yucaipa
Yucca Valley
03-760
03-761
03-762
03-763
03-764
03-765
BACKGROUND INFORMATION On September 17, 2002, the County executed a Cooperation
Agreement with each of the above thirteen (13) cities for joint participation in the County's CDBG Program
for fiscal years 2003-04 through 2005-06 This qualified the County, under federal statutes and
regulations as an "Urban County' eligible to receive annual CDBG entitlement funds from the federal
government over the next three (3) years In order to set forth detailed arrangements for the
implementation of the City projects funded under the CDBG program, and to satisfy CDBG Regulation 24
CFR570 503, Agreements with Subrecipients, it is also necessary to enter into a Delegate Agency
agreement with these Cooperating Cities Under this agreement, the cities are established as Delegate
Agencies of the County, to carry out CDBG activities within their jurisdictions under the direction of the
County Department of Economic and Community Development The Delegate Agency Agreements and
their attachments form implementation manuals which specify procedures, sequences, responsibilities,
and forms to be used to carry out CDBG activities according to local, state, and federal requirements
REVIEW BY OTHERS These agreements were approved by the City Councils of the thirteen (13)
Cooperating Cities, by Deputy County Counsel Michelle D Blakemore on June 3, 2003, and the
Department of Economic and Community Development's Contract Compliance designee David Larsen on
June 3, 2003, and the County Administrative Office, Patricia M Cole, Administrative Analyst III on June
15, 2003
Page 1 of 2
Cc ECD — Buckner w/agreements
Contractor c/o ECD w/agree
IDS w/agreement
Risk Management
County Counsel — Blakemore
ECD — Larsen
CAO — Cole
ECD — Laurin
ED/PSG — Goss
File
sdr
Record of Action of the Board of Supervisors
AGREEMENT #03-753 THRU 03-765
APPROVE .(CtI t�'E;�NTT.,.JALENDAR)
'. .r }f , VISORS
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5
2003-2006 COMMUNITY DEVELOPMENT BLOCK GRANT CITY -COUNTY
DELEGATE AGENCY AGREEMENTS
PAGE 2 OF 2
FINANCIAL IMPACT This action has no effect on the County General Fund
SUPERVISORIAL DISTRICT (S) ist 3rd 4th & 5th
PRESENTER Thomas R Laurin, Director, 388-0808
State of California • The Resources Agency
Gray Davis, Govern°
DEPARTMENT OF PARKS AND RECREATION • P 0 Box 942896 • Sacramento, CA 94296 000'1 Ruth G Coleman, Acting Direct°
(916) 653-8380
May 20, 2003
To Local Officials and Interested Parties'
PROPOSITION 40 GRANT PROGRAMS UPDATE LETTER #2
This "second -in -a -series" letter provides updated information about significant
Proposition 40 Grant Program milestones In the coming months, the California
Department of Park and Recreation's Office of Grants and Local Services (OGALS) will
send you periodic status reports as we develop and implement each of the Proposition 40
grant programs. If you prefer not to receive these updates, please contact Eileen Hook at
(916) 651-7742 or at ehook@parks.ca.gov
You may also review the status of any Proposition 40 grant program by
accessing the Department's website at http.//www.parks.ca.gov If you would like a
hardcopy draft of any procedural guide, call OGALS at (916) 653-7423
The following updates reflect the status of Proposition 40 grant programs and
program administration.
® Per Capita Program
Draft guidelines for the Per Capita Program are now available on the
Department's website. You may also access the website for the specific
allocation for your county, city, or park district Public comments regarding the
draft guidelines will be accepted by mail, e-mail or in person during the public
hearings Comments are due by June 20, 2003 For more information, contact
Richard Rendon, (916) 651-7600, or rrend@parks ca gov
A public hearing regarding the program guidelines is set for Tuesday,
June 10, 2003, in Sacramento and another hearing is scheduled for Thursday,
June 12, 2003, in Anaheim See the attachment for details
It is anticipated that the $326.7 million for this program will be included in the
state budget for Fiscal Year 2003/2004 Remember that no costs may be
incurred until after the funds are included in an approved state budget.
• Roberti-Z'Berq-Harris (RZH) Program
Draft guidelines for each component of the RZH Program are now available on the
Department's website Public comments regarding the draft guidelines will be
accepted by mail, e-mail, or in person during the public hearings. Comments are
due by June 20, 2003. The final application date for competitive programs is
November 3, 2003 For more information, contact Dave Smith at (916) 651-8576 or
dsmith@parks ca gov
Proposition 40 Grant Programs Update Letter #2
Page Three
This program creates recreational facilities that will provide safe recreational
environments for children, positive outlets for youth and address the special
recreational and social needs of senior citizens and other urban population
groups.
• California Youth Soccer and Recreation Development Program
OGALS staff is currently developing the draft guidelines for this program This
program helps local agencies and community based organizations develop
soccer, baseball, softball, and basketball facilities The public comment period
and hearings on the draft guidelines will be held in either late Summer or early
Fall of 2003
Once the draft guidelines are developed, they will be published on the
Department's website The application due date is March 1, 2004 For more
information, contact Paula David at (916) 651-8441 or pdavid@parks ca gov
• State Urban Parks and Healthy Communities Grant Program
OGALS staff is currently developing the draft guidelines for this program The
program awards grants to local governments and community organizations for
the acquisition and development of properties for active recreational purposes
The public comment period and hearings on the draft guidelines will be held in
either late Summer or early Fall of 2003
Once the draft guidelines are developed, they will be published on the
Department's website. The application due date is April 1, 2004 For more
information, contact Jean Lacher at (916) 653-6160 or jlach@parks ca gov
Reminder: OGALS recently realigned its project officer assignments A list of
project officers and their contact information can be found on the Department's website
at http //www parks ca gov
We look forward to working with you to increase park and recreation
opportunities throughout California
Sincerely,
Sedrick V. Mitchell
Deputy Director
External Affairs
cc Pilar Onate
All OGALS Staff
ATTACHMENT
SCHEDULE OF SIGNIFICANT DATES FOR PROPOSITION 40 GRANT PROGRAMS
Program Name
Comment Period
Public Hearing
Date(s) & Time(s)
Hearing Location(s)
Final Application
Filing Date
Murray -Hayden
April 25 — May 27, 2003
$2 2 million
October 1, 2003
11/17/2003
Urban Parks
April 25 — May 27, 2003
12/15/2003
Roberti-Z'berg-Harris
May 20 — June 20, 2003
June 10, 2003
10 -Noon
South Natomas Community Center
2921 Truxel Road
Sacramento, CA 95833
11/3/2003
For Urban and
Non -Urban Competitive
Programs
June 12, 2003
10 -Noon
Anaheim Downtown Community Center
250 East Center Street
Anaheim, CA 95805
(714) 765-4500
Per Capita
May 20 — June 20, 2003
June 10, 2003
1-3 pm
South Natomas Community Center
2921 Truxel Road
Sacramento, CA 95833
(916) 566-1571
June 12, 2003
1-3 pm
Anaheim Downtown Community Center
250 East Center Street
Anaheim, CA 95805
(714) 765-4500
Youth Soccer
Late Summer/Early Fall
2003
Late Summer/Early Fall
2003
To be determined
March 1, 2004
Healthy Communities
Late Summer/Early Fall
2003
Late Summer/Early Fall
2003
To be determined
April 1, 2004
ANNUAL GRANT PROGRAMS
Program Name
Available Funds
Filing Deadline
Habitat Conservation Fund
$2 million
_
October 1, 2003
Recreational Trails Program
$2 2 million
October 1, 2003
Land and Water Conservation Fund
To be determined
May 1, 2004
County of San Bernardino
FAS
CONTRACT TRANSMITTAL
FOR COUNTY USE ONLY
ORIGINAL
X
New
Change
Cancel
Vendor Code
SC
Dept
ECD
A
Contract Number
D 3 - 7( v.
County Department Dept Orgn
Economic and Community Development ECD PROJ
Contractor's License No
County Department Contract Representative Telephone
THOMAS R LAURIN/Norm Buckner (909) 388-0808
Total Contract Amount
$N/A
Revenue Encumbered
_ Contract
Unencumbered
Type
X Other Delegate Agency Agreement
If not encumbered or revenue contract type, provide reason
Commodity Code
Contract Start
Date
July 1, 2003
Contract End
Date
June 30, 2006
Original Amount
Amendment Amount
Fund
SBA
Dept
ECD
Organization
PROJ.
Appr
200
Obj/Rev Source
2005
1
GRC/PROJ/JOB
No
00000000
Amount
Project Name
2003-2006 CDBG City/County
Estimated Payment Total by Fiscal Year
FY Amount IID FY Amount I/D
N/A NIA
Delegate Agency Agreements
Contract Type - 2(b)
CONTRACTOR City of Redlands
Federal ID No or Social Security No N/A
Contractor's Representative John Davidson City Manager
Address P 0 Box 3005, Redlands, CA 92373-1505 Phone (909) 798-7500
Nature of Contract (Briefly describe the general terms of the contract)
In Compliance with the requirements of Title I of the Housing and Community DevelopmentAct of 1974, as amended, the County
executed Cooperation Agreements with thirteen (13) incorporated cities to qualify as.an Turban county" through mutual cooperation
to undertake or assist in undertaking essential community development and hou it g activities This was accomplished on September
17, 2002, when said Agreements were executed for joint participation.in the CDBG program for fiscal years 2003 through 2006
Pursuant to Section 16 of the Cooperation Agreements, the eiegate Agency Agreements and their attachments are set forth to further
implement the provisions of the Cooperation Agreemen s1 They specify the prose esequences, responsibilities and forms to be
used to carry out CDBG activities accordin&to 1oCal tate and federal uiremen, .ts `The `Delegate Agency Agreements are
specifically subordinate and supplementary to and concurrent with lie federal
ration Agreements
I'S- 'NI'
AS1C'
v
The attached Contract consists of 10 pages
(Attach this transmittal to al! contracts not prepared oilhe' Standard Contract" form )
Ap.roved as to
al F (sign in blue ink)
County Counsel
Date
!
Re',sewed as to Contrac Complian e
Date
6-76 03
Presented to BOS for Signature
Department Head /
Date 6gir / O3
Auditor/Contro!!er-Recorder Use Only
Q Contract Database 0 FAS
Input Date
Keyed By
•
COMMUNITY DEVELOPMENT BLOCK GRANT
CITY -COUNTY DELEGATE AGENCY AGREEMENT
For Fiscal Years 2003-04, 2004-05, 2005-06
This Agreement is made and entered into, by and between the County of San Bernardino hereinafter referred
to as "COUNTY", and the City of Redlands, a municipal corporation and a political subdivision of the State of California
located within the boundanes of San Bernardino County, hereinafter 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 accordmgly, COUNTY will
administer a Community Development Block Grant (CDBG) program 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 "Cooperation Agreement for Community Development
Block Grant Funds", as part of COUNTY's CDBG Program, covering Fiscal Years 2003-04, 2004-05 and 2005-06, to
which this is a subordinate and supplementary agreement per Section 16 (Other Agreements) of said Cooperation
Agreement executed by these parties, dated September 17, 2002, and,
WHEREAS, COUNTY administers a CDBG program in cooperation with thirteen cities, and in the
unincorporated areas of San Bernardino County, through County Department of Economic and Community
Development, hereinafter referred to as "ECD"; and,
WHEREAS, CITY has the ability to manage and administer CDBG projects, and,
WHEREAS, CITY chooses 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 efforts to maximize utilization of personnel and
resources and increase efficiency and economies of scale m the planning and adnumstration of the program hereinafter
set forth.
NOW, THEREFORE, it is understood and agreed by and between the parties hereto as follows
1 PURPOSE
This 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 Agreement is to implement the provisions of the Cooperation Agreement m carrymg out CDBG activities
that have been approved by COUNTY for CITY in accordance with 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 m the manner hereinafter set forth
Unless specified otherwise, ECD shall have the authority to represent COUNTY regarding the terms and
conditions of this Contract and the administration thereof
Page 1 of 10
2. TERM
This Agreement shall become effective starting fiscal year 2003-04 that begins July 1, 2003 and shall continue
in full force and effect through fiscal year 2005-2006 that ends on June 30, 2006 COUNTY may grant an
extension of up to six (6) months of the effective penod of this Agreement for the purpose of completing CITY's
projects/activities that are underway and cannot be completed during the term of this Agreement. CITY must
request any such extension in wnting Any extension will only be effective if granted m writing by COUNTY.
Maintenance and operation and monitoring requirements for facilities developed under the terms of the
Agreement shall be m effect and continue in full force as prescribed m Section 9
3 AUTHORIZATION OF PROJECT/ACTIVITY
CITY shall not initiate nor mcur expenses for any CDBG funded project or activity covered under the terms of
this Agreement prior to receivmg written authonzation from COUNTY Written authonzation will be
accomplished when Attachments A (Request to Initiate Project or Activity) and B (Project or Activity
Description) of this Agreement have been completed for a CDBG funded project or activity and signed by CITY
and countersigned by ECD. 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
C1TY may contract for all necessary services to complete AUTHORIZED PROJECTS described on its executed
Attachment's A and B provided that contracts are submitted to and approved in writing by ECD 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 apphcable regulations and statutes, as amended, listed
in Attachment C, 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 ehgible 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) authonzed 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 m 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) a net increase of greater than 100% of the activity allocation
listed m a published CONSOLIDATED PLAN; or 2) a net increase or decrease in the activity allocation greater
than $50,000; or 3) a change m the type of activity; or 4) a change in the location of the activity, or 5) a change
m the beneficianes of the activity The Consolidated Plan shall be amended when an activity is added or deleted
The "program administration" activity and "unprogrammed funds" activity are not subject to the allocation
limitations defined herein
Page 2 of 10
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 RESPONSIBILI'1'1ES
COUNTY, through ECU, is empowered to enforce all Federal regulations pertaining to CDBG funded projects
undertaken by CITY under this Agreement. CITY recognizes that COUNTY, as the formal grantee of the
CDBG, has full responsibility and obhgations to HUD for undertaking the CDBG Program and has full authority
in admmistenng and allocating funds CITY will have no direct responsibilities or obligations to HUD, except
as identified, under this Agreement COUNTY will provide technical assistance to CITY in a timely and
expeditious manner upon written request to the Director of ECD
8 CONFORMANCE TO COUNTY PROCEDURES
Under this Agreement, CITY elects to be responsible for carrying out CDBG projects However, m
implementing said projects, CITY must perform all services and activities m 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 Agreement, CITY will designate a "Conunumty
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, the signatory on AUTHORIZED PROJECT Attachments A and B and shall advise the
CITY council, CITY administration and CITY staff, as 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 Agreement is
'1'61
B FISCAL CONTACT PERSON
, TITLE CD& Rim all 57114
For purposes of this Agreement, CITY shall also designate a fiscal contact person by filling m 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 pnmary 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 Agreement is
i' l , TITLE LOSC : � '1 jAdf
C CITY shall be responsible for maintauimg 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 tracmg of CDBG funds to their final expenditure CITY will submit to
ECD complete and detailed project descriptions, budgets, and expenses for each project that CITY
implements with CDBG funds along with monthly reports of grant expenditures
Page 3 of I0
9 MAINTENANCE AND OPERATION OF FACILITIES
C:11'Y shall provide maintenance and operation for the life of any and all facilities constructed with CDBG funds
under this Agreement that are CITY owned or operated, for the life of the facility, not less than twenty (20)
years
10 FUNDING LIMITS
CDBG funding of AUTHORIZED PROJECTS is hmited to the amount allocated by CITY in AUTHORIZED
PROJECTS Attachment A
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 ECD will disburse the funds to CITY on a cost reimbursement basis
Balling shall be accompanied by all pertinent source documentation to be presented to ECD by CITY on or about
the first day of each month, allowing 15 days for payment on the part of ECD 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 matenals, meals and other authorized expenses allowable under the Travel Code
Section 13 0638 County of San Bernardino) incurred by COUNTY m mrnplementmg CITY's AUTHORIZED
PROJECTS
12 WITHHOLDING OF FUNDS
COUNTY shall retain the nght 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 determmed that CITY
has not performed its obligations as stated m this Agreement m 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 10 days in which to remedy said
deficiencies Should approval of COUNTY nit be obtained within said period, COUNTY shall have full
authority to reallocate CITY's CDBG program funding to other eligible activities which can be implemented or
to assume sole responsibility for carrying out any and/or all AUTHORIZED PROJECTS, upon wntten notice
to CITY Upon such notice, CITY agrees to cease all activity provided hereunder, as specified m 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 this 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 retain the use of program mcome by returning program income to COUNTY and requestmg project
budget increases for activities authorized under this Agreement. Program income shall be returned to COUNTY
within thirty (30) days after a) disposition or sale of real or personal property occurs or, b) cumulative program
income reaches increments of one thousand dollars ($1,000), or c) the end of each fiscal year CITY shall
include 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 mcome returned by COUNTY to CITY will be spent by CITY on only those costs authorized under
this Agreement. All provisions of this Agreement shall apply to said use of program mcome funds CITY shall
account for the receipt and use of program mcome m such a way that program mcome is spent on
AUTHORIZED PROJECTS before additional CDBG funds are spent.
Any program income on -hand when this Agreement expires or is received after such expiration, will be paid to
COUNTY
Page 4 of 10
14 PROGRAM REPORTING AND RETENTION OF RECORDS
CITY agrees to prepare and submit fmancial, program progress, and other reports as required by HUD or
COUNTY directives CITY shall maintain such program, property, personnel, fmancial, statistical and other
records, supportmg documents and accounts as are considered necessary by HUD or COUNTY to assure proper
accounting for all Contract funds Said records, documents and accounts are to be retained by CITY for a
minimum of five (5) years The retention period starts from the date the COUNTY submits its annual
performance and evaluation report, as prescnbed m 24C1 -R 91 520, m which the service, under the terms of this
contract, 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 that pertain to something being sued or audited over must be maintained for the five (5)
years or until the issue is resolved, whichever is longer Records that pertain to real estate transactions must be
maintained for the five (5) 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 penod for records relating to program
income begins on the last date of COUNTY fiscal year m which the income is earned All CITY records, with
the exception of confidential client information, shall be made available to representatives of COUNTY and the
appropnate federal agencies CITY is required to submit data necessary to complete the Annual Grantee
Performance Report m accordance with HUD regulations m the format and at the time designated by the ECD
Director or his designee
15 MONITORING
ECD Director or his designee will conduct periodic monitoring of CITY administration of AUTHORIZED
PROJECTS Monitoring will focus on the extent to which CONSOLIDATED PLAN has been implemented
and measurable goals achieved, effectiveness of project management, and impact of the AUTHORIZPD
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 insure that its employees furnish such information, as in the judgement 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 estabhsh and maintain, on a current basis, an adequate accrual accounting system m accordance with
generally accepted accounting principles and standards
17 AUDITS
CITY is required to arrange for an independent fmancial 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 smgle audit must be submitted to COUNTY
within thirty (30) days of completion Within thirty (30) days of the submittal of said audit report, Cr Y shall
provide a written response to all conditions or findmgs reported in said audit report The response must examine
each condition or findmg and explain a proposed resolution, includmg a schedule for correcting any deficiency
All condition or finding correction actions shall take place within six (6) months after ECD'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 tunes, 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 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
Page 5 of 10
allocations Should the special audit confirm misappropnation or misapplication of fiords, 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 at the time of
expiration and any accounts receivable attnbutable to the use of CDBG funds
All real property acquired or improved m whole or m part with CDBG funds m excess of $25,000 under this
Agreement must continue m the use that provides the service benefits and national objectives for which it was
funded until five years after expiration of this Agreement, or such Ionger period of time as detenmmed by
COUNTY, or it must be disposed of in a manner resulting m a reimbursement to COUNTY in the amount of
the current fair market value of the property less any portion thereof attributable to expenditures of non-CDBG
funds for the acquisition of, or improvement to, the property.
19 TERMINATION AND TERMINATION COSTS
This Agreement may be terminated in whole or in part at any time by either party upon giving their (30) days
notice m wnting to the other party An agreement must be reached by both parties as to reasons and conditions
for termination m compliance with the provisions of Federal Regulations at 24U -'k Part 85 44, Termination for
Convenience COUNTY ECD is hereby empowered to give said notice subject to ratification by the COUNTY
Board of Supervisors
COUNTY may immediately terminate this Agreement upon the termination, suspension, discontinuation or
substantial reduction m HUD CDBG funding for the 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 24CFR 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 necessanly incurred costs performed m 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 matenal, 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 In instances where multiple funding sources are utilized to construct a project, all fundmg sources
shall be identified The hstmg 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 mmonty firms, women's business enterprises, and
Labor surplus Area Firms (a firm located m 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, 11375, 11625, 12138, 12432, 12250, Title VII of the Civil
Rights Act of 1964, the California Fair Employment and Housing Act, County Policy 15-01, (Emerging Small
Business Enterpnse Program) and other applicable federal, state and County laws, regulations and policies
relating to equal employment and contracting opportunities, including laws and regulations hereafter enacted.
Page 6 of 10
28. AMENDMENTS • VARIATIONS
This writing, with attachments, embodies the whole of tlus Agreement of the parties hereto There are no oral
agreements contained herein. Except as herein provided, addition or variation of the terms of this Agreement
shall not be valid unless made in the form of a wntten amendment to this Agreement formally approved and
executed by both parties
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed as of the day and year first
wntten above.
COUNTY OF SAN BERNARDINO CITY OF REDLANDS
•
By
DENNIS HANSBERGER, Cha an
Board of Supervisors
B
Y
KARL N HAWS, Mayor
Dated June 3, 2003
APPROVED AS TO FORM THE TERMS ATTEST
AND PROVISIONS OF THIS AGREEMENT
ARE FULLY AUTHORIZED UNDER STATE By
AND LOCAL LAW AND THIS AGREEMENT LO POYLy Clerk
PROVIDES FULL LEGAL AUTHORITY
FOR COUNTY TO UNDERTAKE OR
ASSIST IN UNDERTAKING ESSENTIAL Dated June 3, 2003
COMMUNITY DEVELOPMENT AND
HOUSING ASSISTANCE ACTIVITIES,
SPECIFICALLY URBAN RENEWAL AND
PUB ICLY ASSISTED HOUSING
By
Deputy County
oun • el
SIGNED AND CERTIFIED THAT A COPY OF
THIS DOCUMENT HAS BEEN DELIVERED
TO THE CHAIRMAN. -1 BOARD
J RE fir'
Cler .f tl�e$od t l: ors
By'
Comdev/Rmp/Cathy/Delega _ .ti , _ ss-�� • ' edlands DA
03/19/03/NB/cr
Page 10 of 10
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
Dunng the performance of this Agreement, CITY agrees not to discnmmate against any contractor or applicant
for employment m performing work because of race, color, religion, sex or national ongm CITY further agrees
to take affirmative action to ensure that its contractors employ and treat all employees during employment
without regard to their race, color, religion, sex or national ongm Such action shall include, but not be limited
to, the following employment, upgrading, demotion or transfer, recruitment or recruitment advertising, lay off
or termination, etc CITY will cause contractor to comply with the provisions of Executive Order 11246 of
September 24, 1965, and the rules, regulations, and relevant orders of the Secretary of Labor CITY shall
require its contractor to post in conspicuous places, available to employees and applicants for employment,
notices setting forth the provisions of this nondiscrimination clause
23 STANDARDS OF CONDUCT
Pursuant to Office of Management and Budget Circular A-110 Attachment 0 and 24CFR 570 611, Conflict of
Interest, and 24CFR 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 m the award and administration of
contracts supported by Federal funds No employee, officer or agent of the CITY shall participate m 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 subagreements
C1TY 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 RELIGIOUS PROSELYTIZING OR POLITICAL ACTIVITIES
CITY agrees that it will not perform or permit any religious proselytizing or political activities m connection
with the performance of this Agreement Funds under this Agreement 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
25 INDEMNIFICATION
CITY shall indemnify, defend and hold the COUNTY, its officers, agents, volunteers and employees, harmless
from and agamst any loss, liability, claim, or damage that may arise or result from activities of CITY, its officers,
agents, volunteers and employees, and, CITY shall, at its own cost, expense and risk, defend any legal
proceedings that may be brought against COUNTY, its officers, agents and employees, on any Iiability, claim
or demand and satisfy any judgement that may be rendered against any of them ansmg or resultmg from
Page 7 of 10
activities of CITY, its officers, agents and employees CITY shall assume habihty for all and any direct expense
incurred m providmg services pursuant to this Agreement and shall assume any and all responsibilities for loss
or damage resulting from negligence, injury, illness or disease ansmg out of the provision of services. CITY,
however, is obligated to promptly notify COUNTY in writing of the occurrence of any such loss or damage
CITY shall indemnify, defend and hold harmless COUNTY against any habihty, claims, losses, demands, and
actions incurred by COUNTY as a result of the determination by the United States Department of Housing and
Urban Development or its successor that activities undertaken by CITY under the program or programs 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
Consistent with all other provisions of this Agreement, COUNTY shall, at its own cost and expense, defend,
mdemmnify, and hold the CITY, its officers, agents, volunteers and employees, harmless from and against any
loss, hability, claim, or damage that may anse or result from any wrongful act or wrongful omission by
COUNTY, its officers, agents and employees.
26 INSURANCE REQUIREMENTS
Without, in any way affecting the indemnity herein provided and in addition thereto, CITY shall secure and
maintain throughout the Contract the following types of insurance with limits as shown
Workers' Compensation - A program of Workers' Compensation insurance or a State -approved Self
Insurance Program in an amount and form to meet all applicable requirements of the Labor Code of the
State of California, mcludmg Employers' Liability with $250,000 limits, covering all persons providing
services on behalf of CITY and alI nsks to such persons under this Contract
If CITY has no employees, it may certify or warrant to County that it does not currently have any
employees or individuals who are defined as "employees" under the Labor Code and the requirement
for Workers' Compensation coverage will be waived by the County's Risk Manager.
With respect to contractors that are non-profit corporations organized under California or Federal law,
volunteers for such entities are required to be covered by Workers' Compensation Insurance If the
County's Risk Manager determines that there is no reasonably pnced coverage for volunteers, evidence
of participation m a volunteer insurance program may be substituted
Comprehensive General and Automobile Liability Insurance - This coverage is to mclude contractual
coverage and automobile liability coverage for owned, hired, and non -owned vehicles The policy shall
have combined single Iimits for bodily injury and property damage of not less than one milhon dollars
($1,000,000)
Errors and Omissions Liability Insurance - Combined smgle limits of $1,000,000 for bodily injury and
property damage and $ 3,000,000 in the aggregate or
Professional Liability - Professional Liability Insurance with limits of at least $1,000,000 per claim or
occurrence
Additional Named Insured - All policies, except for Workers' Compensation, Errors and Omissions and
Professional Liability policies, shall contain additional endorsements nanung COUNTY and its officers,
employees, agents, and volunteers as additional named insured with respect to liabilities arising out of the
performance of services hereunder
Waiver of Subrogation Rights - Except for Errors and Omissions and Professional Liabihty, CITY shall require
the earners of the above required coverage to waive all rights of subrogation against COUNTY, its officers,
employees, agents, volunteers, contractors and subcontractors
Page 8 of 10
Policies Pnmary and Non -Contributory - All policies required above are to be primary and non-contributory with
any insurance or self-insurance programs earned or administered by COUNTY
Proof of Coverage — CITY shall immediately furnish certificates of insurance to ECD evidencing the insurance
coverage, including endorsements, above required prior to the commencement of performance of services
hereunder, which shall provide that such insurance shall not be terminated or expire without thirty (30) days
wntten notice to ECD, and CITY shall maintain such insurance from the time CITY commences performance
of services hereunder until the completion of such services Within sixty (60) days of the commencement of tlus
Contract, CITY shall furnish certified copies of the policies and all endorsements CITY shall complete and
submit Contract Exhibit 1 of 1, INSURANCE INVENTORY, along with the above -required insurance
documents
27 INSURANCE REVIEW
The above insurance requirements are subject to periodic review by COUNTY. The COUNTY' s Risk Manager
is authorized, but not required, to reduce or waive any of the above insurance requirements whenever the Risk
Manager determines that any of the above insurance is not available, is unreasonably priced, or is not needed
to protect the interests of COUNTY In addition, if the Risk Manager determines that heretofore unreasonably
pnced or unavailable types of insurance coverage or coverage limits become reasonably priced or available, the
Risk Manager is authonzed, but not required, to change the above insurance requirements, to require additional
types of insurance coverage or higher coverage limits, provided that any such change is reasonable in light of
past claims against COUNTY, inflation, or any other item reasonably related to the COUNTY's risk
Any such reduction or waiver for the entire term of the Contract and any change requiring additional types of
insurance coverage or higher coverage limits must be made by amendment to this Contract CITY agrees to
execute any such amendment within thirty (30) days of receipt
CITY is a self-insured public entity for the purpose of professional liability, general liability, and Workers'
wCompensation. CITY warrants that through its program of self-insurance, it has adequate professional liability,
general Iiability, and Workers' Compensation to provide coverage for liabilities ansing out of CITY'S
performance of this agreement Additionally, CITY carries insurance coverage for any potential exposure
beyond the self-insured retention limit.
(continued on next page)
Page 9 of 10
EXHIBIT 1 of 1
COUNTY OF SAN BERNARDINO DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
Project/Activity Title 2003-2006 CDBG City/County
Delegate Agency Agreements
Case Number
Name/Address of Contractor Agency Date of Issue
City of Redlands
P 0 Box 3005 Ongmal Beginning
Redlands, CA 92373-1505 Amendment #
INSURANCE INVENTORY
WORKERS' COMPENSATION/EMPLOYERS' LIABILITY INSURANCE
Name of Insurance Company
Effective Dates
Employer's Liability Limit $
Certificate of Insurance Attached Yes No On File w/ ECD
COMPREHENSIVE GENERAL AND AUTOMOBILE LIABILITY INSURANCE
Name of Contractor's General Insurance Company
Limits of Liability
Per Occurrence $
Effective Dates
Additional Insured Endorsement Attached Yes No On File w/ ECD
Annual Aggregate $ Certificate of Insurance Attached
Name of Contractor's Automobile Liability Insurance Company
Limits of Liability Effective Dates.
Per Person $ Per Accident $
Yes No On File w/ ECD
Damage Liability $ Combated Single Limit $
ERRORS AND OMISSIONS LIABILITY INSURANCE
Name of Contractor's Insurance Company
Limits of Liability Effective Dates.
Per Occurrence $ Additional Insured Endorsement Attached Yes No On File w/ ECD
Annual Aggregate $ Certificate of Insurance Attached Yes No On File w/ ECD
PROFESSIONAL LIABILITY INSURANCE
Name of Contractor's Insurance Company.
Limits of Liability
Per Occurrence $
Annual Aggregate $
Effective Dates
Additional Insured Endorsement Attached Yes No On File w/ ECD
Certificate of Insurance Attached Yes No On File w/ ECD
ATTACHMENT A - REQUEST TO INITIATE PROTECT/ACTIVITY
PROJECT NUMBER DATE OF ORIGINAL ISSUE*
CASE NUMBER ORIGINAL REVISION #:
TARGET AREA DATE OF REVISION
Pursuant to the terms of the Delegate Agency Agreement between the Department of Econormc and Community Development (ECD)
and the City , dated , ECD hereby requests that the following project/activity be initiated There
will be no changes m Project/Activity Title, Activity Budget (Attachment A) or in the Activity Description (Attachment B) without
written approval of the Director of the Department of Economic and Community Development.
PROJECT/ACTIVITY TITLE
ACTIVITY LOCATION
DATE OF RELEASE OF FUNDS
TOTAL PROJECT FUNDING $
CITY CDBG ALLOCATION
RELEASED. $
CITY CDBG FUNDS EXPENDED
AS OF $
BALANCE OF FUNDS AVAILABLE: $
SCHEDULE OF CITY CDBG ALLOCATION
Years 1-25 Year 26 Year 27 Year 28 Year 29 Year 30 Year 31 TOTAL OF
(75-2000) (2000-01) (2001-02) (2002-03) (2003-04) (2004-05) (2005-06) 31 YEARS
$ $ $ $ $ $ $ $
MAINTENANCE AND OPERATION BUDGET/AGREEMENT.
OTHER PERTINENT INFORMATION
ACCEPTANCE OF REQUEST TO INITIATE PROTECT/ACTIVITY
I hereby acknowledge the receipt of the Request to Initiate the above Project/Activity and agree to implement the activity described
m Attachment B (Project/Activity Descnption) 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 EOUIPMENT. $
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
, DIRECTOR DATE
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT/
ECONOMIC DEVELOPMENT AND PUBLIC SERVICES GROUP
Delegate Agency -NB
5/07/03
ATTACHMENT B - PROJECT/ACTIVITY DESCRIPTION
PROJECT NUMBER DATE OF ORIGINAL ISSUE.
CASE NUMBER ORIGINAL REVISION #
TARGET AREA: DATE OF REVISION•
PROJECT/ACTIVITY TITLE
ACTIVITY LOCATION
ACTIVITY DESCRIPTION.
IMPLEMENTING CITY
DATE
SIGNATURE TITLE
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT/
ECONOMIC DEVELOPMENT AND PUBLIC SERVICES GROUP
DIRECTOR
Delegate Agency -NB
517/03
DATE
Attachment C
COUNTY OF SAN BERNARDINO
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
DELEGATE AGENCY
COORDINATION PROCEDURES
I. Introduction
The following procedures identify the actions, responsibilities, and sequence of events for CDBG funded
projects being implemented by a coordinated effort between the San Bernardino County Department of
Economic and Community Development, hereinafter referred to as "ECD," 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
Authonzation to Proceed
The Delegate Agency is not authorized to expend funds or to initiate CDBG projects until authorized to do so
in writing by ECD Continued authorization is contingent upon adequate progress and timely submission of
Monthly Project Status Reports covermg all current AUTHORIZED PROJECTS See Attachment "D" for blank
Monthly Status Report form Contract procurement shall be governed by all Federal regulations and statutes,
as amended, listed in Section IV of the Attachment ECD payments of DA Requests for Reimbursement will
be subject to DA submittal of a complete reimbursement report package as listed in Section III, D-22
A Project/Activity Budget
Each project activity is initiated by an Attachment "A" The Attachment "A" is released when the
project/activity is ready to be implemented and subsequent to environmental clearance and release of
funds from HUD. It specifies the total fundmg allocation for the project/activity, the portions currently
released and available to expend, the budget categones the allocation will be expended under, and the
entity responsible for maintenance and operation of the completed project
In accepting the Attachment "A' the DA is to complete an estimated budget showing the allocation
distribution to design costs, staff costs, construction costs, etc This breakdown may also include a
contingency or inflation factor not to exceed 10% of the total activity allocation
B Activity Descnption
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 ECD Community Development
Division.
The Description should be specific enough for use as the scope of work funded by CDBG money in an
RFP for architectural or engineering services or for a vendor in preparing a bid It will contain, but is
not limited to the following.
1 Title of Project/Activity
2 Activity Number
3 Specific site description
4 On -and off-site improvement description
5 Size of building
6 Fixtures list (such as stove, built-in equipment)
7. Water and sewer requirements
8. Utilities
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 ECD m the form of a revised
Attachment "B" (and correspondmg Attachment "A", if appropriate)
ECD 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 ECD for the Director's signature A copy
of each will be returned to DA signifying authorization to proceed with actions outhned m the following
section.
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 General Services Group Real Estate Services
Department, hereinafter referred to as "RES", to handle the acquisition and/or relocation If relocation
is required, initiate 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 nnplements the Uniform Relocation
Assistance and Real Property Acquisition regulations mcludmg 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
c DA
d DA.
e DA.
f ECD
g DA
h DA
2 If DA desires to
this procedure.
a DA
b ECD
c RES
Obtains required appraisals.
Reviews required appraisals and/or leases to determine if property can be
acquired within the project allocation
Sends all lease documents to ECD for approval
Sends any requests for adjustments of funds for property acquisition and/or
relocation to the ECD Director for approval
Issues approvals in relation to "d" above and sends them to DA.
Initiates lease or purchase.
Sends Request for Advance of Funds to ECD 10 working days pnor to
expected close of escrow, with all appropriate documentation attached
have RES handle Acquisition and/or relocation activities, the DA should follow
Submits a letter to ECD requesting that RES handle the project/activity,
descnbmg m detail what property is to be acquired, giving all pertment
information, and identifying who the DA contact person is to be If relocation
is required, inmate 90 -day notice to occupant(s)
Initiates appraisal process
Obtains required appraisals.
9
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 ECD
f. ECD Reviews request from DA, and forwards Authorization to Proceed to RES
(note all leases and all adjustments m project allocations must be requested
and approved by the ECD Director)
RES Initiates purchase or lease of property If relocation is required, the appropnate
notices will be issued in accordance with the "Timely Notices" (49CFR
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 m relation to the
activity
g.
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 engmeermg or other consultant services
b DA Submits, pnor to release all RFD's to ECD for review for contract compliance
and consistency with Federal Title 24CFR, Part 85 Section 85 36,
(Procurement Standards)
c DA Reviews RFP's for compliance with State, Federal, Local and ECD regulations.
Requests ECD for "Approval to Proceed to Issue RFP"
d ECD Issues to DA an "Approval to Proceed to Issue an RFP"
e DA Advertises RFP, receives responses, interviews, requests ECD representation
on selection comrmttee and makes selection
f DA Notifies ECD of selection Sends back-up documentation and draft contract
to ECD Requests ECD for "Approval to Proceed to Award a Consultant
Services Contract"
g ECD Reviews final contract for contract compliance and issues an "Approval to
Proceed to Award a Consultant Services Contract"
h. DA Awards Consultant Services Contract
2 Architectural and Engineering Services may also be negotiated under certain situations, i e ,
obtained through a sole source procurement This is an eligible alternative requiring the
following steps
a DA Determines that the situation warrants sole source procurement and that such
procurement will comply with requirements and cntena specified m Federal
Title 24CFR Part 85 36, (Procurement Standards)
b. DA Selects architect, engineer or other consultant
c DA. Sends "Request for Approval to Proceed to Award a Sole Source Consultant
Services Contract" to ECD explaining why the DA has chosen the consultant
and why the competitive RFP procedure is not being used
3
d. ECD Reviews the request and approves or demes sole source procurement request
based on explanation and backup
e ECD 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 ECD of all public meetings with architect five working days before event
3 ECD/
DA. Reviews and approves preliminary design
4 DA Secures all required permits and regulatory approvals.
5 DA. Reviews and approves plans and specifications, and obtains current Federal Wage
Decision to include m the bid package ECD keeps current copies that are available
by request
6 DA Forwards construction bid package to ECD for review and approval along with request
for "Approval to Proceed to Issue an Invitation to Bid for Construction Services" See
(Attachment D) "Construction Contract Boilerplate", for the forms used in preparing
bid packages.
7 ECD Reviews and approves construction bid package for compliance with Federal and local
regulations and forwards authorization to proceed with changes (if any) to DA
8 DA Secures plans, check of plans and specifications from the appropnate Building and
Safety Authority
D. Construction Phase
1 DA. Determines bid solicitation process pernutted by CDBG requirements under Federal
Title 24CFR Part 85.36 (Procurement Standards), and County contracting regulations
Advertises invitation to bid and receives bids.
2 DA Ten days prior to bid opening, DA makes telephone contact with ECD and requests
updated Federal Wage Decision ECD will send to DA the latest Wage Decision If
they are m any way different from those issued in the original bid package, DA will
immediately forward latest wage decision to all bidding contractors who, in turn,
submit revised bids prior to the bid opening
3. DA. Conducts bid openmg and sends to ECD a copy of the contract bid specifications
including copies of the wage decisions m effect at bid openmg.
4 DA Reviews bid documents submitted by the low bidder to assure comphance with County
Policy 15-01, if applicable, and 24C1q( 85 36(e) regardmg the participation of
minority, disadvantaged and women business enterprises (MWBE's) in the proposed
construction contract If DA has its own plan that meets the aforementioned
requirements, it may use this plan for bid document reviews
4
5 DA Subnuts the low -bidder information and list of subcontractors to ECD and requests
ECD for "Approval to Proceed to Award a Construction Services Contract" If
adjustment of funds or project description is needed, the wntten request for
reallocation of funds (revision of Attachment "A") or change in project description
(revision of Attachment "B") should be sent at this time Requests over 25% of project
allocation, require approval by DA governing body in a public hearing.
6 ECD Prepares revisions to Attachment "A" and/or "B" as requested.
7 ECD Reviews Contractor/Subcontractor's eligibility to receive Federal contracts.
8 ECD• Issues "Approval to Proceed" to DA
9. DA Approves the Affirmative Action Plan for contractors who. 1) have contracts with the
DA durmg current fiscal year, or 2) employ ten (10) or more employees, or 3) bid work
for more than $10,000
10. DA Insures completeness of contract documents pnor to award of contract Construction
contracts must contain a copy of Federal Labor Standards, applicable Federal Wage
Determination, and a copy of restrictions on public buildings and public works projects
provisions.
11 DA Awards Contract
12 DA Notifies ECD of pre -construction conference at least 12 days prior to event
13 ECD Notifies HUD of pre -construction conference at least 10 days prior to event
14 DA Conducts pre -construction conference (ECD attendance mandatory) ECD forwards
Contract Compliance Instructions to prime contractor
15 DA Provides ECD with a copy of signed contract pnor to start of construction DA ensures
completion of bonds and obtains contractor/subcontractor certifications concerning
labor standards and prevailing wage requirements, regarding Equal Employment
Opportunity, and restnctions on public buildings and public works projects before
signing contract
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. ECD/
DA Ongoing observation and monitoring of projects
18 DA Conducts on-site interviews with employees regarding their wages Sends copy of
mterviews to ECD
19 DA• Receives from contractor, requests for progress payments accompanied by Weekly
Certified Payroll, form WH -347, and any other documentation of expenditures and
work accomplished See Attachment "D-6" for form WH -347
20 ECD Receives from contractor, duplicate copies of Weekly Certified Payroll forms WITH
ORIGINAL SIGNATURES
21 ECD. 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 ECD. Checks contractor's compliance with the approved Affirmative Action Plan
23 DA Submits to ECD once each month durmg the term of the construction contract, a report
package containing
a Request for Reimbursement and accompanying documentation. Payments on said
requests that are subject to complete compliance with Federal Labor Standards.
24 DA Notifies ECD of all meetings regardmg ECD projects, such as Design Conferences,
Public Meetmgs, meetings with Community Development Advisory Commission, and
DA at Ieast five (5) working days before event occurs
25 DA Processes change orders and sends copy(ies) of change order(s) along with "Request
for Approval of a Contract Change Order" to ECD Notifies ECD of proposed changes
in the list of subcontractor(s) and submits "Request For Approval to Proceed" to add
or delete subcontractor(s) from the approved list
26 DA Must obtain approval from ECD regarding all change orders prior to authorizing the
contractor to proceed with said changes.
27 DA Requests revisions to Attachment "A" or Attachment "B" as needed
28 ECD Revises Attachments "A" or "B" and issues "Approval to Proceed to Issue Change
Order(s)" to DA.
29 DA Notifies ECD of final inspections at least five (5) working days before inspection date
30 DA Attends final inspections (ECD attendance optional)
31 DA Secures its governing body's acceptance of completed project and fling of Notice of
Completion.
32 ECD. Monitors project progress and contract compliance and issues, as necessary, "Notice
of Non -Receipt of Monthly Status Report" or "Notice to Submit Final Activity Costs"
notices to DA
33 DA. Takes necessary actions to comply with said notices.
34 DA Prepares and submits "Notice of Completion" to ECD.
35 ECD• 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 (24CFR 570)
6
B Applicable Uniform Administrative Requirements
1) Office of Management and Budget Circular A-87
2) Office of Management and Budget Circular A-128
3) 24CFR 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) 24CFR 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 (40CFR 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
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 24CFR, Part 135 (12
USC 1701u)
N Title VI of the Civil Rights Act of 1964, as amended (42 U S C 2000d et seq.)
O Fair Housing Act (42 U S C 3601-20)
P Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (42
USC 4601-4655)
Q Hatch Act
R Lead Based Paint Poisoning Prevention Act (42 U S C 4831(b))
7
ATTACHMENT E
SAN BERNARDINO COUNTY
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
DELEGATE AGENCY
MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE PARTICIPATION
This form is designed to assist the County of San Bernardino m complying with HUD regulations by reporting the amounts
of contracts and subcontracts awarded to Minority and Women Owned Business Enterprises (M/WBE'S) for the project
named below Include information on all subcontractors and suppliers if the total bid amount exceeds $10,000
"Minonty owned or controlled" means that 51% or more of the company's ownership or controlling interest m the company
is held by one or more African Ainencans, Native Americans (including American Indians, Eskimos, Aleuts, and Native
Hawaiians), Hispanic/Latmo Amencans, or Asian/Pacific Americans (including persons whose ongins are from Japan,
China, the Philippines, Vietnam, Korea, Samoa, Guam, the United States Trust Temtones of the Pacific, Northern Marianas,
Laos, Cambodia, and Taiwan), or any other group of natural persons identified as mmonties in the project specifications by
the County
"Female owned or controlled" means that 51% or more of the company's ownership or controlling interest in the company
is held by one or more female persons
PROJECT
Project Name
Total Bid Amount
CONTRACTOR/SUPPLIER
Contractor Name
Federal I D Number
$_
Portion of bid amount to be
performed by contractor
SUBCONTRACTORS/SUPPLIER
1)
Subcontractor Name
Federal I D Number
Subcontract Amount
Project Number
Address
Zip
Phone Number
Minority owned or controlled? [ ] Yes [ ] No
If yes, which minonty?
Female owned or controlled? [ ] Yes [ ] No
Address
Zip
Phone Number
If yes, which mmonty?
Which Minority's
Female owned or controlled? [ ] Yes [ ] No
8
i
Minonty and Women Owned Business Enterprises Participation (continued)
2)
Subcontractor Name Address Zip
Federal 1 D Number
$
Subcontract Amount
Phone Number
Mmonty owned or controlled? [ ] Yes [ ] No
If yes, which minority?
Female owned or controlled? [ ] Yes [ ] No
3)
Subcontractor Name Address Zip
Federal I.D Number Phone Number
$ Mmonty owned or controlled? [ ] Yes [ ] No
Subcontract Amount If yes, which minority?
Female owned or controlled? [ ] Yes [ ] No
4)
Subcontractor Name Address Zip
Federal 1 D Number
$
Subcontract Amount
Phone Number
Minority owned or controlled? ( 1 Yes 1 1 No
If yes, which minority?
Female owned or controlled? [ ] Yes 1 1 No
5)
Subcontractor Name Address Zip
Federal 1 D Number Phone Number
$ Mmonty owned or controlled? [ ] Yes [ ] No
Subcontract Amount If yes, which mmonty?
Female owned or controlled? 1 1 Yes [ ] No
6)
Subcontractor Name Address Zip
Federal I D Number
$
Subcontract Amount
Phone Number
Minority owned or controlled? [ ] Yes [ ] No
If yes, which mmonty?
Female owned or controlled? [ ] Yes [ ] No
7)
Subcontractor Name Address Zip
Federal ID Number
$
Subcontract Amount
Phone Number
Minority owned or controlled? [ ] Yes [ ] No
If yes, which minority?
Female owned or controlled? [ ] Yes [ ] No
(Use additional copies of this form if needed to provide information on all subcontractors)
9
ATTACHMENT "D"
ECD CONSTRUCTION CONTRACT
PROVISIONS
ATTACHMENT "D"
TABLE OF CONTENTS
Preface
Notice Inviting Bids/Instructions to Bidders
Required Documents Checklist
Construction Contract Provisions pages 1-2
Federal Labor Standards Provisions... .pages 3-6
Insert Davis -Bacon Wage Determination... page 7
Affirmative Action Compliance Guidelines Construction/Non-Construction pages 8-16
Section "3" page 17
Certification of Compliance with Air & Water Acts .page 18
Documents Required Pnor to Pre -Construction page 19
Instructions for Completing Contract Compliance Qualifying Report pages 20-23
Affirmative Action Policy for Contractors, Subcontractors and Vendors pages 24-27
Minority and Women Owned Business Enterprise Participation pages 28-29
Certification of Bidder page 30
Certification of Subcontractor Regarding Equal Employment Opportunity page 31
Contractor's Certification of Compliance with Davis -Bacon & Related Acts page 32
Contractor's Certification Concerning Labor Standards & Prevailing Wage pages 33-36
Example Documents ... .. pages 37-50
The following statement is recommended in "Notice Inviting Bids" Section of Bid Package
NOTICE INVITING BIDS
COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS*
Bidders are advised that this project is funded with Community Development Block Grant Funds The
requirements of the Davis -Bacon Act will apply to this project and those requirements will be enforced The
prime contractor and all subcontractors are required to pay their laborers and mechanics employed under
this Contract, a wage not less than minimum wage classification, as specified in both the Federal and State
Wage Decision when the Contract amount for the Prime Contract exceeds $2,000 The higher of the two
applicable wage classifications, either State Prevailing Wage or Davis -Bacon Federal Prevailing
Wage, will be enforced for all work under this Contract. The prime contractor is responsible for ensuring
subcontractor compliance with Davis -Bacon and related Act Requirements The Federal Labor Standards
Provisions (HUD 4010) apply to this project
A copy of the Davis -Bacon Federal Prevailing Wage, the date of which reflects the latest applicable
modification at the time of this advertisement, is included in the Contract Documents & Specifications
Bidders shall be notified, via Addendum, of modifications, if any, which supercede that included herein, up
until a minimum of ten (10) days prior to the actual Bid Opening
The following statement is recommended in "Instruction To Bidders" Section of Bid Package
INSTRUCTIONS TO BIDDERS
COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS
Bidders are advised that this project is funded with Community Development Block Grant Funds The
requirements of the Davis -Bacon Act will apply to this project and those requirements will be enforced The
prime contractor and all subcontractors are required to pay their laborers and mechanics employed under
this Contract, a wage not less than minimum wage classification, as specified in both the Federal and State
Wage Decision when the Contract amount for the Prime Contract exceeds $2,000 The higher of the two
applicable wage classifications, either State Prevailing Wage or Davis -Bacon Prevailing Wage, will be
enforced for all work under this Contract. The Prime Contractor is responsible for ensuring Subcontractor
compliance with Davis -Bacon and Related Act Requirements The Federal Labor Standards Provisions
(HUD 4010) apply to this project.
A copy of the Davis -Bacon Federal Prevailing Wage, the date of which reflects the latest applicable
modification, is included in the Contract Documents & Specifications Bidders shall be notified, via
Addendum, of modifications, if any, which supercede that included herein, up until a minimum of ten (10)
days prior to the actual Bid Opening
CDBG — PAYMENT* The following requirement of the Department of Economic and Community
Development (ECD), as administrators of the Community Development Block Grant (CDBG) funds, shall be
strictly enforced
"A weekly certified payroll is required during the term of construction Payment of invoice may be
delayed when certified payrolls are not submitted weekly The C/TY/COUNTY shall make progress
payments on any properly completed payment request submitted by the Contractor. The payment
request shall not be deemed properly completed unless certified payroll form WH 347 has been properly
completed and submitted on a weekly basis for each week worked during the time penod covered by said
payment request "
REQUIRED DOCUMENTS CHECKLIST
The below fisted documentation is required by ECD prior to the pre -construction meeting
[ ] 1
Executed Contract/Purchase Order containing (HUD form 4010) signed by implementing
entity and contractor
[ ] 2 Bid Package signed by contractor or letter stating that the project specifications document is
part of the contract
[ ] 3
Signed Partnership Agreement Of applicable)
[ ] 4 Applicable Bonds (performance, payment, material bonds)
[ ] 5. Current Federal Wage Determination (provided by ECD)
[ ] 6 Contract Compliance Qualifying Report
[ ] 7 Affirmative Action Policy for Contractors, Subcontractors and Vendors
[ ] 8 Completed Attachment "E" Minority and Women Owned Business Enterprise
Participation
[ ] 9
Bidder/Subcontractor's Certification regarding Equal Employment
[ ] 10 Signed Contractor's Certification of Compliance with Davis -Bacon and Related Act
Requirements
[ ] 11 Contractor's Certification concerning Labor Standards and Prevailing Wage
Requirements
[ ] 12 Subcontractor's Certification concerning Labor Standards and Prevailing Wage
Requirements
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
CONSTRUCTION CONTRACT PROVISIONS
The following certifications, standards, and Instructions are provided to ensure compliance with Federal and
State contracting requirements for Federal Community Development Block Grant funded construction
projects Documents requiring completion, signature and submittal are indicated
1. LABOR STANDARDS AND PROVISIONS
This section contains Federal and State labor regulations regarding construction contracts
a. Contractor's Certification concerning Labor Standards and Prevailing Wage Requirements
This certification is to be completed by the prime contractor and submitted with the bid when
the contract amount exceeds $2,000.
b Subcontractor's Certification concerning Labor Standards and Prevailing Wage Requirements
This certification is to be completed by the subcontractor and submitted with the bid when the
contract amount for the prime contractor exceeds $2,000
c Federal Labor Standard Provisions
The prime contractor and all subcontractors are required to abide by the Federal Labor
Standards when the contract amount for the prime contractor exceeds $2,000 The prime
contractor is responsible for including these provisions in all subcontracts
d Prevailing Wage Decisions
The prime contractor and all subcontractors are required to pay their laborers and mechanics
employed under this contract a wage not less than the highest wage for the work classification
specified in both the Federal and State Wage Decisions when the contract amount for the
prime contractor exceeds $2,000
e. Contractor's Certification of Compliance with Davis -Bacon and Related Acts Requirement
This certification must be submitted, upon request, by the CITY and/or COUNTY prior to
contract award
II EQUAL EMPLOYMENT REGULATIONS
This section contains Federal Equal Opportunity requirements regarding construction and non -
construction contracts
a. Certification of Bidder Regarding Equal Employment Opportunity
This certification is to be completed by the prime contractor and submitted upon request by
the CITY and/or COUNTY prior to contract award
b Certification by Proposed Subcontractor Regarding Equal Employment Opportunity
This certification is to be completed by the prime contractor's subcontractor(s) and submitted
upon request by the CITY and/or COUNTY pnor to contract award
c Affirmative Action Compliance Guidelines For Construction or Non -Construction Contractors
Prior to being awarded the contract, the selected contractor and subcontractor(s) who meet
the guideline criteria for filing must complete and submit the Affirmative Action Plan as
required by the CITY and the COUNTY prior to contract award. These provisions generally
apply to contracts and subcontracts in excess of $10,000
d "Section 3"
To the greatest extent feasible, the contractor and subcontractor(s) must comply with this
provision as it relates to the training and employment opportunities of lower income persons
residing within the County of San Bernardino
1
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
CONSTRUCTION CONTRACT PROVISIONS
(Continued)
III. BONDING AND INSURANCE REQUIREMENTS
This section contains the minimum bonding requirements for construction service contracts CITY
forms may be provided or examples of bonding documents, which are included in this package, on
pages 45, 47 and 49
a Form of Bid Bond
This is an example of the bid guarantee required from each bidder The Bid Bond must be at
least ten percent (10% of the contract price and must be submitted with the Bid
b Form of Performance Bond
This is an example of the Performance Bond required from the prime contractor The
Performance Bond must be at least one hundred percent (100%) of the contract price and
must be submitted upon execution of the contract.
c Form of Labor and Materials Bond
This is an example of the Payment Bond (Labor & Materials) required from the prime
contractor. The Labor & Materials Bond must be at least one hundred percent (100%) of the
contract price and must be submitted upon execution of the contract
d. Certificate of Owner's Attorney
This certificate is to be completed by the owner's attorney when applicable.
IV SUPPLEMENTAL GENERAL CONDITIONS
This section contains special federal requirements
a. 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
b Certification of bidder regarding restrictions on public buildings and public works projects.
2
Federal Labor Standards Provisions
Applicability
The Project or Program to which the construction work covered by
this contract pertains is being assisted by the United States of America
and the following Federal Labor Standards Provisions are included m
this Contract pursuant to the provisions applicable to such Federal
assistance
A 1 (i) Minimum Wages All laborers and mechanics employed
or working upon the site of the work (or under the United States
Housing Act of 1937 or under the Housing Act of 1949 in the
construction or development of the project), will be paid
unconditionally and not less often than once a week, an without
subsequent deduction or re bate on any account (except such payroll
deductions as are permitted by regulations issued by the Secretary of
Labor under the Copeland Act (29 CFR Part 3), the full amount of
wages and bona fide fringe benefits (or cash equivalents thereof) due
at tune of payment computed at rates not less than those contained m
the wage determination of the Secretary of Labor which is attached
hereto and made a part hereof, regardless of any contractual
relationship which may be alleged to exist between the contractor and
such laborers and mechanics Contributions made or costs reasonably
anticipated for bona fide fringe benefits under Section 1(b)(2) of the
Davis -Bacon Act on behalf of laborers or mechanics are considered
wages paid to such laborers or mechanics, subject to the provisions of
29 CFR -5 5(a)(I)(iv), also, regular contributions made or costs
incurred for more than a weekly period (but not less often than
quarterly) under plans, funds, or programs, which cover the particular
weekly period, are deemed to be constructively made or incurred
during such weekly period
Such laborers and mechanics shall be paid the appropriate wage rate
and fringe benefits on the wage determination for the classification of
work actually performed, without regard to dull, except as provided in
29 CFR Part 5 5(a)(1)(4) Laborers or mechanics performing work in
more than one classification may be compensated at the rate specified
for each classification for the time actually worked therein Provided,
That the employer's payroll records accurately set forth the time spent
m each classification in which work is performed The wage
determination (including any additional classification and wage rates
conformed under 29 CFR Part 5 5(a)(1)(ii) and the Davis -Bacon
poster (WH -1321) shall be posted at all times by the contractor and its
subcontractors at the site of the work in a prominent and accessible
place where it can be easily seen by the workers
(ii) (a) Any class of laborers or mechanics which is not hsted in the
wage determination and which is to be employed under the contract
shall be classified in conformance with the wage determination HUD
shall approve an additional classification and wage rate and fringe
benefits therefore only when the following criteria have been met
(1) The work to be performed by the classification requested is not
performed by a classification in the wage determination, and
(2) The classification is utilized in the area by the construction
industry, and
(3) The proposed wage rate, including any bona fide fringe benefits,
bears a reasonable relationship to the wage rates contained m the wage
determination
(b) If the contractor and the laborers and mechanics to be employed
in the classification (if known), or their representatives, and HUD or
its designee agree on the classification and wage rate (including the
amount
U S Department of Housing
and Urban Development
designated for fringe benefits where appropriate), a report of the
action taken shall be sent by HUD or its designee to the Administrator
of the Wage and Hour Division, Employment Standards
Admuustration, U S Department of Labor Washington D C 20210
The Administrator, or an authorized representative, will approve
modify, or disapprove every additional classification action within 30
days of receipt and so advise HUD or its designee or will notify HUD
or its designee within the 30 -day period that additional time is
necessary (Approved by the Office of Management and Budget
under OMB control number 1215 0140)
(c) In the event the contractor, the laborers or mechanics to be
employed in the classification or their representatives, and HUD or its
designee do not agree on the proposed classification and wage rate
(including the amount designated for fnnge benefits, where
appropriate), HUD or its designee shall refer the questions, including
the views of all interested parties and the recommendation of HUD or
its designee, to the Administrator for determination The
Administrator, or an authorized representative, will issue a
determination within 30 days of receipt and so advise JUD or its
designee or will notify HUD or its designee with the 30 day penod
that additional time is necessary (Approved by the Office of
Management and Budget under OMB Control Number 1215-0140)
(d) The wage rate (including fringe benefits where appropriate)
determined pursuant to subparagraphs (1)(b) or (c) of this paragraph
shall be paid to all workers performing work m the classification under
this contract from the first day on which work is performed in the
classification
(iii) Whenever the n-iinimum wage rate prescribed in the contract for
a class of laborers or mechanics includes a fringe benefit which is not
expressed as an hourly rate, the contractor shall either pay the benefit
as stated in the wage deternunation or shall pay another bona fide
fringe benefit or an hourly cash equivalent thereof
(iv) If the contractor does not make payments to a trustee or other
third person, the contractor may consider as part of the wages of any
laborer or mechanic the amount of any costs reasonably anticipated in
providing bona fide fringe benefits under a plan or program, Provided,
That the Secretary of Labor has found, upon the written request of the
contractor that the apphcable standards of the Davis -Bacon Act have
been met The Secretary of Labor may require the contractor to set
aside in a separate account assets for the meeting of obligations under
the plan or program (Approved by the Office of Management and
Budget under OMB Control Number 1215-0140)
2 Withholding 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 the
contractor under this contract or any other Federal contract with the
same prime contractor, or any other Federally -assisted contract subject
to Davis -Bacon prevailing wage requirements, which is held by the
same prime contractor so much of the accrued payments or advances
as may be considered necessary to pay laborers and mechanics,
including apprentices, trainees and helpers, employed by the
contractor or any subcontractor for the full amount of wages required
by the contract In the event of failure to pay any laborer or
mechanic, including any apprentices, trainees and helper, employed or
working on the site of the work (or under the United States Housmg
Act of 1937 or under the Housing Act of 1949 in the construction or
Previous edition is obsolete
3
form HUD 9010 (2/84)
ref Handbook 13441
development of the project), all or part of the wages required by the
contract, HUD or its designee may, after written notice to the contractor,
sponsor applicant, or owner, take such action as may be necessary to
cause the suspension of any further payment, advance, or guarantee of
funds until such violations have ceased HUD or its designee may, after
written nonce to the contractor, disburse such amounts withheld for and
on account of the contractor or subcontractor to the respective
employees to whom they are due The Comptroller General shall make
such disbursements m the case of direct Davis Bacon contracts
3. (i) Payrolls and basic records Payrolls and basic records relating
thereto shall be maintained by the contractor during the course of the
work preserved for a period of three years thereafter for all laborers and
mechanics working at the site of the work (or under the United States
Housing Act of 1937, or under the Housing Act of 1949, m the
construction or development of the project) Such records shall contain
the name address and social security number of each such worker his or
her correct classification, hourly rates of wages paid (including rates of
contributions or costs anticipated for bona fide fringe benefits or cash
equivalents thereof of the types described in Section 1b)(2)(B) of the
Davis Bacon Act), daily and weekly number of hours worked, deductions
made and actual wages paid Whenever the Secretary of Labor has found
under 29 CFR 5 5 (a)(1)(iv) that the wages of any laborer or mechanic
include the amount of any costs reasonably anticipated m providing
benefits under a plan or program described in Section 1(b)(2)(B) of the
Davis -Bacon Act, the contractor shall maintain records which show that
the commitment to provide such benefits is enforceable, that the plan or
program is financially responsible, and that the plan or program has been
conunumcated in writing to the laborers or mechanics affected, and
records which show the costs anticipated or the actual cost mcurred in
providing such benefits Contractors employing apprentices or trainees
under approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of trainee
programs, the registration of the apprentices and trainees, and the ratios
and wage rates prescribed in the applicable programs (Approved by the
Office of Management and Budget under OMB Control Numbers 1215
0140 and 1215 0017)
(n) (a) The contractor shall submit weekly for each week in which any
contract work is performed a copy of all payrolls to HUD or its designee
if the agency is a party to the contract, but if the agency is not such a
party, the contractor will submit the payrolls to the applicant sponsor, or
owner, as the case may be, for transmission to HUD or its designee The
payrolls submitted shall set out accurately and completely all of the
information required to be maintained under 29 CFR Part 5.5(a)(3)(i)
This information may be submitted in any form desired Optional Form
WH -347 is available for this purpose and may be purchased from the
Superintendent of Documents (Federal Stock Number 029 005-00014-1),
U S Government Printing Office, Washington, D.0 20402 The pnme
contractor is responsible for the submission of copies of payrolls by all
subcontractors (Approved by the Office of Management and Budget
under OMB Control Number 1215-0149)
(b) Each payroll submitted shall be accompanied by a `Statement of
Compliance," signed by the contractor or subcontractor or his or her
agent who pays or supervises the payment of the persons employed
under the contract and shall certify the following
(1) That the payroll for the payroll penod contains the information
required to be maintained under 29 CFR Part 5 5(a)(3)® and that such
information is correct and complete,
(2) That each laborer or mechanic (including each helper, apprentice
and trainee) employed on the contract during the payroll period has been
indirectly, and that no deductions have been made either directly or
indirectly form the full wages earned, other than permissible deductions
as set forth in 29 CFR Part 3,
(3) That each laborer or mechanic has been paid not less than the
applicable wage rates and fringe benefits or cash equivalents for the
classification of work performed, as specified in the apphcable wage
determination incorporated mto the contract
(c) The weekly submission of a properly executed certification set forth
on the reverse side of Optional Form WH -347 shall satisfy the
requirement for subnussion of the "Statement of Compliance" required
by paragraph A.3 (it)(b) of this section
(d) The falsification of any of the above certifications may subject the
contractor or subcontractor to civil or criminal prosecution under
Section 1001 of Title 18 and Section 231 of Title 31 of the United States
Code
(cit) The contractor or subcontractor shall ma eth records required
under paragraph A.3 (i) of this section available for inspection, copying,
or transcription by authorized representatives of HUD or its designee or
the Department of Labor, and shall permit such representatives to
interview employees during working hours on the job If the contractor
or subcontractor fails to submit the required records or to make them
available, HUD or its designee may, after written notice to the contractor
sponsor, applicant or owner, take such action as may be necessary to
cause the suspension of any further payment advance, or guarantee of
funds Furthermore, failure to submit the required records upon request
or to make such records available may be grounds for debarment action
pursuant to 29 CFR Part 512
4. Apprentices and Trainees
(i) Apprentices Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are employed
pursuant to and individually registered in a bona fide apprenticeship
program registered with the U S Department of Labor, Employment
and Trammg Administration, Bureau of Apprenticeship and Training, or
with a State Apprenticeship Agency recognized by the Bureau, or if a
person is employed in his or her first 90 days of probationary
employment as an apprentice in such an apprenticeship program, who is
not individually registered in the program, but who has been certified by
the Bureau of Apprenticeship and Training or a State Apprenticeship
Agency (where appropriate) to be eligible for probationary employment
as an apprentice The allowable ratio of apprentices to journeymen on
the job site in any craft classification shall not be greater than the ratio
permitted to the contractor as to the entire work force under the
registered program Any worker listed on a payroll at an apprentice wage
rate, who is not registered or otherwise employed as stated above shall
be paid not Tess than the applicable wage rate on the wage determination
for the classification of work actually performed In addition, any
apprentice performing work on the job site in excess of the ratio
permitted under the registered program shall be paid not less than the
apphcable wage rate on the wage determination for the work actually
performed Where a contractor is performing construction on a project
in a locahty other than that in which its program is registered, the ratios
and wage rates (expressed in percentages of the journeyman's hourly rate)
specified in the contractor's or subcontractor's registered program shall
be observed Every apprentice must be paid at not less than the rate
specified m the registered program for the apprentice's level of progress,
expressed as a percentage of the journeymen hourly rate specified in the
applicable wage determination Apprentices shall be paid fringe benefits
in accordance with the provisions of the apprenticeship program If the
apprenticeship program does not specify fringe benefits, apprentices
must be paid the full amount of fringe benefits fisted on the wage
fors HUD 4010 (2/84)
Previous edition is obsolete ref Handbook 1344.1
4
' determination for the applicable classification If the Administrator
determines that a different practice prevails for the applicable apprentice
classification, fringes shall be paid m accordance with that determination
In the event the Bureau of Apprenticeship and Training, or a State
Apprenticeship Agency recognized by the Bureau, withdraws approval of
an apprenticeship program, the contractor will no longer be permitted to
utilize apprentices at less than the applicable predetermined rate for the
work performed until and acceptable program is approved
(n) Trainees Except as provided in 29 CFR 5 16, trainees will not be
permitted to work at less than the predetermined rate for the work
performed unless they are employed pursuant to and individually
registered m a program which has received prior approval, evidenced by
formal certification by the U W Department of Labor, Employment and
Training Admuustratton The ratio of trainees to journeymen on the job
site shall not be greater than permitted under the plan approved by the
Employment and Training Admuustration Every trainee must be paid at
not less than the rate specified in the approved program for the trainee's
level of progress, expressed as a percentage of the journeyman hourly
rate specified m the applicable wage determination Trainees shall be
paid fringe benefits in accordance with the provisions of the trainee
program If the trainee program does not mention fringe benefits,
trainees shall be paid the full amount of fringe benefits listed on the wage
determination unless the Administrator of the Wage and Hour Division
determines that there is an apprenticeship program associated with the
corresponding journeyman wage rate on the wage determination which
provides for less than full fringe benefits for apprentices Any employee
listed on the payroll at a trainee rate who is not registered and
participating m a training plan approved by the Employment and
Training Administration shall be paid not less than the applicable wage
rate on the wage determination for the work actually performed In
addition, any trainee perfornung work on the job site in excess of the
ratio pernutted under the registered program shall be paid not less than
the applicable wage rate on the wage determination for the work actually
performed In the event the Employment and Training Adinuustration
withdraws approval of a training program, the contractor will no longer
be pernutted to utilize trainees at less than the applicable predetermined
rate for the work performed until an acceptable program is approved
(ni) EquaI employment opportunity The utilization of apprentices,
trainees and journeymen under this part shall be in conformity with the
equal employment opportunity requirements of Executive Order 11246,
as amended, and 29 CFR Part 30
5. Compliance with Copeland Act requirements The contractor
shall comply with the requirements of 29 CFR Part 3 which are
incorporated by reference m this contract
6 Subcontracts The contractor or subcontractor will insert in any
subcontracts the clauses contained in 29 CFR 5 5(a)(1) through (10) and
such other clauses as HUD or its designee may by appropriate
instructions require, and also a clause requiring the subcontractors to
include these clauses m any lower ter subcontracts The prime
contractor shall be responsible for the compliance by any subcontractor
or lower tier subcontractor with all the contract clauses in 29 CFR Part
55
7 Contract termination, debarment. A breach of the contract clauses
m 29 CFR 5.5 may be grounds for termmation of the contract and for
debarment as a contractor and a subcontractor as provided in 29 CFR
5 12
8 Comphance with Davis -Bacon and Related Act Requirements
All rulings and interpretations of the Davis Bacon and Related Acts
contained m 29 CFR Parts 1, 3, and 5 are herein incorporated by
reference in this contract
9 Disputes concerning labor standards Disputes ansmg out of the
labor standards provisions of this contract shall not be subject to the
general disputes clause of this contract. Such disputes shall be resolved
in accordance with the procedures of the Department of Labor set forth
m 29 CFR Parts 5, 6 and 7 Disputes within the meaning of this clause
include disputes between the contractor (or any of its subcontractors)
and HUD or its designee the U S Department of Labor, or the
employees or their representatives
10 (i) Certification of Eligibility By entering into this contract the
contractor certifies that neither it (nor he or she) nor any person or firm
who has an interest in the contractor's firm is a person or firm mehgible
to be awarded Government contracts by virtue of Section 3(a) of the
Davis Bacon Act or 29 CFR 5 12(a)(1) or to be awarded HUD contracts
or participate in HUD programs pursuant to 24CFR Part 24
(n) No part of this contract shall be subcontracted to any person or firm
ineligible for award of a Government contract by virtue of Section 3(a) of
the Davis -Bacon Act or 29 CFR 5 12(a)(1) or to be awarded HUD
contracts or participate in HUD programs pursuant to 24CFR Part 24
(iii) The penalty for making false statements is prescribed in the U S
Criminal Code, 18 U S.0 1001 Additionally, U S Criminal Code,
Section 1 01 0, Title 18, U S C., "Federal Housing Administration
transactions", provides in parr "Whoever, for the purpose of
influencing in any way the action of such Adrnuustration makes,
utters or publishes any statement knowing the same to be false shall
be fined not more than $5,000 or impnsoned not more than two years, or
both "
11. Complaints, Proceedings, or Testimony by Employees No
laborer or mechanic to whom the wage salary or other labor standards
provisions of this contract are apphcable shall be discharged or m any
other manner discriminated against by the contractor or any
subcontractor because such employee has filed any complaint or
instituted or caused to be instituted any proceeding under or relating to
the labor standards apphcable under this contract to his employer
B Contract Work Hours and Safety Standards Act As used in this
paragraph, the terms `laborers' and "mechanics" include watchmen and
guards
(1) Overtime requirements No contractor or subcontractor
contracting for any part of the contract work which may require or
involve the employment of laborers or mechanics shall require or permit
any such laborer or mechanic m any workweek in which he or she is
employed on such work to work in excess of eight hours in any calendar
day or in excess of forty hours iii 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 m excess of eight hours
in any calendar day or in excess of forty hours in such workweek
whichever is greater
(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
terntory, to such District or to such territory for liquidated damages
form HUD 4010 (2/84)
Previous edition is obsolete ref Handbook 1344 1
5
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, m the sum of $10 for each calendar day on which such
individual was required or permitted to work m excess of eight hours or
in excess of the standard workweek of forty hours without payment of
the overtime wages required by the clause set forth in subparagraph (1)
of this paragraph
(3) Withholding for unpaid wages and hquidated 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 pnme contractor, or any other Federally
assisted contract subject to the Contract Work Hours and Safety
Standards Act which is held by the same prime contractor such sums as
may be determined to be necessary to satisfy any liabibues of such
contractor or subcontractor for unpaid wages and hquidated damages as
provided m 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 prune 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
(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 (formerly part 1518)
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)
(3) The contractor shall include the provisions of this Article 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
form HUD 4010 (2/84)
Previous edition is obsolete ref Handbook 1344 1
6
Insert Davis -Bacon Wage Determination
AFFIRMATIVE ACTION COMPLIANCE
GUIDELINES FOR CONSTRUCTION AND
NON -CONSTRUCTION CONTRACTORS
IMPLEMENTING ENTITIES
AFFIRMATIVE ACTION COMPLIANCE GUIDELINES FOR
CONSTRUCTION AND NON -CONSTRUCTION CONTRACTORS
These Affirmative Action Compliance Guidelines have been
designed to provide the implementing Entity with information
pertaining to the contractor's work force It is the intent of
these guidelines to insure that equal opportunity for
employment is practiced by the contractor without regard to
race, age, color, sex, religion, ancestry, national origin,
marital status, or handicap These guidelines provide the
minimum information necessary to prepare an Affirmative
Action Plan that will comply with Federal regulations
regarding Affirmative Action for federally assisted projects In
the event that the Affirmative Action Compliance Program of
the implementing entity address these minimum guidelines,
that program may be utilized Contractors are urged to
contact the Affirmative Action Officer of the implementing
entity for any necessary technical assistance in preparing
their Affirmative Action Plan if they are considenng bidding
under this contract
I AFFIRMATIVE ACTION COMPLIANCE PROGRAM
A The Affirmative Action program embodies the
following principals
1 Discrimination because of race color, age, sex,
religion ancestry national origin marital status,
or handicapped status is insistent with the
constitution, laws, and policies of the United
States, State of California and County of San
Bernardino
2 In accordance with Executive Order 11246, the
implementing entity is committed to insuring that
there be no discrimination by vendors, contractors
(including professional services and consultants),
lessors, or lessees doing business with the
implementing entity
B Contractors required to file an Affirmative Action
Plan
1 All contractors who are submitting to the
implementing entity a bid or offer on a
CONSTRUCTION CONTRACT and who are
doing business in the amount of $10,000 or more
with the implementing entity in any one fiscal year
or employ ten (10) or more employees, must have
an approved Affirmative Action Plan unless
exempt, prior to the award of such contract
2 All contractors and vendors who are submitting to
the implementing entity a bid or offer on a
NONCONSTRUCTION CONTRACT in the
amount of $10,000 00 or more must have an
approved Affirmative Action Plan unless exempt,
prior to the award of such contract or business
3 AH subcontractors rendering services or supplies
to the contractor in the amount of $10 000 00 or
more must have an approved Affirmative action
Plan unless exempt, before the subcontractor
commences work
9
C Exemptions
The following persons/contracts (as defined by the
implementing entity's Contract Compliance Officer)
shall be exempt from this program
1 Sole Source
2 Emergency Requisitions
3 Contracts which have been executed by the
4 Churches
Any contractor who feels qualified for an exemption
should contact the Contract Compliance Officer for
verification
II METHOD FOR SATISFYING AFFIRMATIVE ACTION
PLAN
A Affirmative
contractors
methods
1
Action Plan for CONSTRUCTION
can be met by one of the following
Prior to being awarded the contract, the contractor
must have both of the following documents
approved by the implementing entity Contract
Compliance Officer
a A statement of the contractor's Affirmative
Action Policy including methods of recruiting
minorities and women If the contractor does
not have an Affirmative action Policy, the
attached model policy may be adopted by the
contractor
b The "Contract Compliance Qualifying Report
for Construction Contractor" (attached)
2 Evidence of a currently approved Federal or State
of California Affirmative Action Plan
3 Certificate of Annual prequalification issued by the
implementing entity Contract Compliance Officer
a To receive "Annual Prequalification" a
contractor must.
Complete the implementing entity Affirmative
Action "Contract Compliance Qualifying
Report" with employment goals for the next
three years, and submit to the Contract
Compliance Officer for approval an Affirmative
Action Policy including methods of recruiting
minorities and women The contractor is
required to submit an Affirmative Action
Compliance Plan annually for subsequent
prequalification
Subcontractors desiring to act as subcontractors may
receive annual prequalification and be placed upon a
list of annually pre -qualified subcontractors which will
be made available by the Contract Compliance Officer
to prime contractors to facilitate their choice of
subcontractors
B Affirmative Action Plan For Non -Construction Contractors
can be met as follows
1 Prior to being awarded the contract, the contractor
must have the "Contract Compliance Qualifying
Report for Non -Construction Contractors and
Vendors" (attached), approved by the implementing
entity contract compliance officer In addition, the
contractor or vendor may be requested to submit to
the Contract Compliance Officer additional information
concerning the contractor's Affirmative Action policies
C Affirmative Action Plan for Subcontractors can be met as
follows.
1 Pnor to a subcontractor starting work for a contractor,
the subcontractor must comply with Part II, Section A
above for construction subcontracts and Part 11,
Section B above for non -construction subcontracts.
The contractor is responsible to ensure that all of his
subcontractors are in compliance
2 Contractors are encouraged to use subcontractors
who have been approved for annual prequalification (if
available)
III INTERACTION WITH THE CONTRACT COMPLIANCE
OFFICE
A The Contract Compliance Officer will review each
Affirmative Action Program as submitted
If the contractor's Affirmative Action Plan is not approved
by the Contract Compliance Officer, the Contract
Compliance Officer shall notify the contractor of the
reasons for disapproval of the plan, and of the
implementing entity's requirements for an acceptable plan
The contractor shall be allowed ten (10) working days in
which to develop and submit a revised Affirmative Action
Plan for review and approval by the Contract Compliance
Officer
B Appeal Procedure
1 A contractor who has submitted a program which is
not approved by the Contract Compliance Officer may
appeal that determination to the implementing entity's
legislative body through their Administrative Officer
All appeals shall be in writing, signed by the person
appealing or that person's authorized representative
and shall be filed with the Contract Compliance Officer
within ten (10) working days after receiving notice of
disapproval
10
2 The appeal should explain the reason why the action
of the Contract Compliance Officer should not have
been taken Failure of the contractor to appeal within
ten (10) working days of notice of disapproval shall
make the action taken by the Contract Compliance
Officer final
C On-site visits may be conducted to verify the accuracy of
the contractor's Affirmative Action statistical data In
addition, contractors will be required to annotate entries
on their payroll reports with the following codes
A = White (not of Hispanic origin) Ali persons having
origins in any of the original peoples of Europe,
North Africa, the Middle East, or the Indian
subcontinent
B=
C=
D=
E=
M=
F=
H=
V=
Black (not of Hispanic ongin) All persons having
ongins in any of the black racial groups
Hispanic All persons of Mexican Puerto Rican,
Cuban, Central or South American or other
Spanish culture or origin, regardless of race
Asian or Pacific Islanders All persons having
origins in any of the Far East, Southwest Asia or
the Pacific Islands. This area includes, for
example, China, Japan, Korea, the Philippine
Islands and Samoa
American Indian or Alaskan Native All persons
having ongins in or of the original peoples of North
America
MALE EMPLOYEE
FEMALE EMPLOYEE
HANDICAPPED EMPLOYEE
VIETNAM -ERA VETERAN
IV DEFINITIONS
Unless a provision of a contract otherwise requires, certain
words and phrases shall be defined as follows
"Affirmative Action" is a commitment to increase the
number of members of protected classes in the work force
by setting employment goals and timetables, including
action programs to achieve objectives through reform of
the system Affirmative Action seeks to ensure that
discrimination is eliminated in all dealings with employees
or applicants for employment whether the discnmmation is
intentional or unintentional In addition, Affirmative Action
seeks to improve job standards and productivity through
the removal of artificial and unnecessary barriers to
employment and promotion and ensure that all job actions
are related to job performance measures
A "Approved Programs" are those which the Contract
Compliance Office of the implementing entity have
deemed in compliance with this program
"Construction Contract" means a contract which calls
for the construction, rehabilitation alteration,
conversion, extension, demolition or repair of
buildings, highways or other changes or
improvements providing utility services
B "Contract" means a purchase order, offer and
acceptance, lease, agreement or other arrangement
creating an obligation to which the implementing
entity is a party, which would make one of the parties
within the definition a contractor
C "Contractor" means all persons (including general
contractors and prime contractors) who provide, or
offer to provide to the implementing entity, labor or
services of any kind or type pursuant to a construction
contract with the County
D "Implementing Entity" means public funsdiction who is
administering the contract
E "Employee" means one who performs work for
compensation, or a person who is permanently or
regularly employed by the contractor or subcontractor
F "Handicapped Status" means any person who
1 Has a physical or mental impairment which
substantially limits one or more of such person's
major life activities
2 Has a record or such impairment or,
3 is generally regarded as having such an
impairment
G "Local Labor Market" means the entire San
Bernardino, Riverside, Ontano labor market
(Standard Metropolitan Statistical Area )
H "Minorities" means members of the following racial or
ethnic groups Black (not of Hispanic origin),
Hispanic, Asian or Pacific Islander, Amencan India or
Alaskan native
11
1 "Non -construction Contract" means any contract that
does not fall within the definition of "Construction
Contract"
J "Officer" means the Contract Compliance Officer of
the implementing entity
K 'Persons" means any individual, firm, co partnership,
public service, joint venture, association, social club,
fraternal organization, corporation, estate, trust
receiver, syndicate CITY, county, municipal
corporation, district or other political subdivision, or
any other group or combination acting as a unit
L "Protected Class" means those groups of individuals
covered or protected against discrimination by the
various Federal and State civil rights laws as now in
existence or as hereafter amended by Federal or
State law
M "Sole Source" means a contract in which the non -
implementing entity party is in a unique position to
fulfill the implementing entity's needs, as determined
by the Contract Compliance Officer, after
consideration of practical alternative
N "Subcontractor' means any person who agrees with
any contractor who has a contract with the
implementing entity to furnish supplies, goods, or
services to such contractor
O "Underutitization" means having fewer minonttes or
women in a particular job classification than would
reasonably be expected by their availability,
P "Vietnam -Era Veteran" means a person who
1 Served on actual duty for a period of more than
180 days, any part of which occurred between
August 5, 1964, and May 7, 1975, and was
discharged or released therefrom with other than
a dishonorable discharge; or
2 Was discharged or released from active duty for a
service connected disability if any part of such
active duty was performed between August 5,
1984 and May 7, 1975
Q 'Women" means female members of racial and ethnic
minority and non -minority groups
ATTACHMENT 1
1 Contractor agrees to fully comply with the laws and
programs (including regulations issued pursuant thereto)
which are listed following this paragraph 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 to the extent applicable the
provisions of said laws programs and regulations are
deemed to be a part of this contract as if fumy set forth
herein
2 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)
3 Rehabilitation act of 1973, as amended (Handicapped)
Pub 193-112 as amended (29 USCA 701-794)
4 California Fair Employment Practice Act Labor Code
Sec 1410 of seq.
5 Civil Rights Act of 1964, as amended (42 USCA 2000a
to 2000H-6) and Executive Order No 11246, September
24 1965, as amended
In addition, dunng the performance of this contract, the
contractor agrees as follows
Equal Opportunity Clause
This clause is inserted pursuant to Executive Order 11246 of
September 24, 1965, as amended, and Title VII of the Civil
Rights Act of 1964, and is applicable pursuant to 41 C F R
Sec 60 1 4
(1) The Contractor will not discnminate against any
employee or applicant for employment because of
race, color, religion, sex, or national origin The
Contractor will take affirmative action to ensure that
applicants are employed, and that employees are
treated dunng employment without regard to their
race, color, religion, sex, national ongin Such action
shall include, but not be limited to the following
Employment, upgrading, demotion, or transfer,
recruitment or recruitment advertising, layoff or
termination, rates of pay or other forms of
compensation and selection for training including
apprenticeship The Contractor agrees to post in
conspicuous places, available to employees and
applicants for employment, notices to be provided by
the contracting officer setting forth the provisions of
this nondiscrimination clause.
(2) The Contractor will, in all solicitations or
advertisements for employees placed by or on behalf
of the Contractor, state that all qualified applicants will
receive consideration for employment without regard
to race, color, religion, sex, or national origin
(3) The Contractor will send to each labor union or
representative of workers with which he has a
collective bargaining agreement or other contract or
understanding, a notice to be provided by the agency
12
contracting officer, advising the labor union or
workers' representative of the Contractor's
commitments under Section 202 of Executive Order
11246 of September 24, 1965, and shall post copies
of the notice in conspicuous places available to
employees and applicants for employment
(4) The contractor will comply with all provisions of
Executive Order 11246 of September 24, 1965 and
of the rules, regulations and relevant orders of the
Secretary of Labor
(5) The Contractor will furnish all information and reports
required by Executive Order 11246 of September 24,
1965, and of the rules, regulations and relevant
orders of the Secretary of Labor, or pursuant thereto,
and will permit access to his books, records and
accounts by the contracting agency and the Secretary
of Labor for purposes of investigation to ascertain
compliance with such rules, regulations and orders
(6) In the event of the Contractor's noncompliance with
the nondiscnmination clauses of this contract or with
any of such rules, regulations or orders, this contract
may be canceled, terminated or suspended in whole
or in part, and the Contractor may be declared
ineligible for further Government contracts in
accordance with procedures authonzed in Executive
Order 11246 of September 24, 1965, and such other
sanctions may be imposed and remedies invoked as
provided in Executive Order 11246 of September 24,
1965, or by rule, regulation or order of the Secretary
of Labor, or as otherwise provided by law
(7)
The Contractor will include the provisions of
paragraphs (1) through (7) in every subcontract or
purchase order unless exempted by rules, regulations
or orders of the Secretary of Labor issued pursuant to
Section 204 of Executive Order 11246 of September
24, 1965, so that such provisions will be binding upon
each subcontractor or vendor The Contractor will
take such action with respect to any subcontract or
purchase order as the contracting agency may direct
as a means of enforcing such provisions, including
sanctions for noncompliance Provided, however,
that in the event the Contractor becomes involved in,
or is threatened with, litigation with a subcontractor or
vendor as a result of such direction by the contracting
agency, the Contractor may request the United States
to enter into such litigation to protect the interests of
the United states.
The applicant further agrees that it will be bound by
the above equal opportunity clause with respect to its
own employment practices when it participates in
federally assisted construction work, provided, that if
the applicant so participating is a State or local
government, the above equal opportunity clause is
not applicable to any agency, instrumentality or
subdivision of such government which does not
participate in work on or under the contract
The applicant agrees that it will assist and cooperate
actively with the administering agency and the
Secretary of Labor in obtaining the compliance of
contractors and subcontractors with the equal
opportunity clause and the rules, regulations, and
relevant orders of the Secretary of Labor, that it will
furnish the administering agency and the Secretary of
Labor in obtaining the compliance of contractors and
subcontractors with the equal opportunity clause
and the rules, regulations, and relevant orders of the
Secretary of Labor, that it will furnish the
administering agency and the Secretary of Labor such
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
The applicant further agrees that it will refrain from
entenng into any contract or contract modification
subject to Executive Order 1124 of September 24,
1965, with a contractor debarred from, or who has not
demonstrated eligibility for Government contracts and
federally assisted construction contracts pursuant to
the Executive Order and will carry out such sanctions
and penalties for violation of the equal opportunity
clause as may be imposed upon contractors and
subcontractors by the administering agency or the
Secretary of Labor pursuant to Part 11, Subpart D of
the Executive Order In addition, the applicant agrees
that if it fails or refuses to comply with these
undertakings, the administering agency may take any
or all of the following actions Cancel, terminate, or
suspend in whole or in part this grant (contract, loan,
insurance, guarantee), refrain from extending any
further assistance to the applicant under the program
with respect to which the failure or refund occurred
until satisfactory assurances of future compliance has
been received from such applicant, and refer the case
to the Department of Justice for appropnate legal
proceedings
In addition to the above, Contractor will furnish all
information and reports required by Executive Order
No 11246 of September 24, 1965 to the implementing
entity's Contract Compliance Officer
Affirmative Action for Disabled Veterans
and Veterans of the Vietnam Era
This clause is inserted pursuant to Executive Order 11701 of
January 24, 1973 and the Vietnam Era Veterans
Readjustment Assistance Acts of 1972 and 1974 (P L 92-
540, 93 508), and is applicable pursuant to 41 CFR Sec 60-
250
(1) The Contractor will not discnmmate against any
employee or applicant for employment because he
or she is a disabled veteran or veteran of the
Vietnam Era in regard to any position for which the
employee or applicant for employment is qualified
The Contractor agrees to take affirmative action to
employ, advance in employment and otherwise treat
qualified disabled veterans and veterans of the
Vietnam Era without discrimination based upon their
disability or veterans status in all employment
practices such as the following employment,
upgrading, demotion or transfer, recruitment,
13
advertising layoff or termination, rates of pay or
other forms of compensation, and selection for
training, including apprenticeship.
(2) The Contractor agrees that all suitable employment
openings of the Contractor which exist at the time of
the execution of this contract and those which occur
during the performance of this contract, including
those not generated by this contract and including
those occurnng 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 appropnate local office of the State
employment service system wherein the opening
occurs The Contractor further agrees to provide
such reports to such local office regarding
employment openings and hires as may be
required
(3)
Listings of employment openings with the
employment service system pursuant to this clause
shall be made at least concurrently with the use of
any other recruitment source or effort and shall
Involve the normal obligations which attach to the
placing of a bona fide job order, including the
acceptance of referrals of veterans and non -
veterans The listing of employment openings does
not require the hiring of any particular job applicant
or from any particular group of job applicants and
nothing herein is Intended to relieve the Contractor
from any requirements in Executive Orders or
regulations regarding nondiscrimination in
employment.
(4) The reports required by paragraph (2) of this clause
shall include, but not be limited to, periodic reports
which shall be filed at least quarterly with the
appropnate local office or, where the Contractor has
more than one hiring location in a State, with the
central office of that State employment service
Such reports shall indicate for each hiring location,
(a) the number of individuals hired during the
reporting period (b) the number of non -disabled
veterans of the Vietnam Era hired, (c) the number of
disabled veterans of the Vietnam Era hired, and (d)
the total number of disable veterans hired. The
reports shall include covered veterans hired for on
the -job training under 38 USC Sec 1787 The
Contractor shall submit a report within thirty (30)
days after the end of each reporting period wherein
any performance is made on this contract identifying
data for each hiring location The Contractor shall
maintain at each hinng location, copies of the
reports submitted until the expiration of one year
after final payment under the contract during which
time these reports and related documentation shall
be made available, upon request, for examination
by any authorized representatives of the contracting
officer or of the Secretary of Labor Documentation
would include personnel records respecting job
openings, recruitment and placement
(5)
Whenever the Contractor becomes contractually
bound to the listing provisions of this clause, it shall
advise the employment service system in each
State where it has establishments of the name and
location of each hiring location in the State As long
as the Contractor is contractually bound to these
provisions and has so advised the State system,
there is no need to advise the State system of
subsequent contracts The Contractor may advise
the State system when it is no longer bound by this
contract clause
(6) This clause does not apply to the listing of
employment openings which occur and are filled
outside of the 50 States, the District of Columbia,
Puerto Rico, Guam and the Virgin Islands
(7) The provisions of paragraphs (2), (3), (4) and (5) of
this clause do not apply to openings which the
Contractor proposes to fill from within his own
14
(8)
organization or to fill pursuant to a customary and
traditional employer - union hiring arrangement
This exclusion does not apply to a particular
opening once an employer decides to consider
applicants outside of his own organization or
employer - union arrangement for that opening
As used in this clause
a "All suitable employment openings" includes, but is
not limited to, openings which occur in the following
job categories production and non -production, plant
and office, laborers and mechanics, supervisory and
non -supervisory, technical, and executive,
administrative and professional openings as are
compensated on a salary basis of less than $25,000
per year The term includes full-time employment,
temporary employment of more than three (3) days
duration, and part-time employment It does not
include openings which the Contractor proposes to
fill from within his own organization or to fill pursuant
to a customary and traditional employer - union
hinng arrangement nor openings in an educational
institution which are restncted to students of that
institution Under the most compelling
circumstances an employment opening may not be
suitable for listing, including such situations where
the needs of the Government cannot reasonably be
otherwise supplied, where listing would be contrary
to national security, or where the requirement of
listing would otherwise not be for the best interest of
the Government
b "Appropnate office of the State employment service
system" means the local office of the Federal - State
national system of public employment offices with
assigned responsibility for serving the area where
the employment opening is to be filled, including the
District of Colombia, Guam, Puerto Rico and the
Virgin Islands
c "Openings which the Contractor proposes to fill from
within his own organization" means employment
openings for which no consideration will be given to
persons outside the Contractor's organization
(including any affiliates, subsidianes and the parent
companies) and includes any openings which the
Contractor proposes to fill from regularly established
"recall" lists.
d "Openings which the Contractor proposes to fill
pursuant to a customary and traditional employer -
union hinng arrangement" means employment
openings which the Contractor 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
(9)
The Contractor agrees to comply with the rules,
regulations and relevant orders of the Secretary of
Labor issued pursuant to the Act
(10) In the event of the Contractor's noncompliance with
the requirements of this clause, actions for
noncompliance may be taken in accordance with
the rules, regulations and relevant orders of the
Secretary of Labor issued pursuant to the Act
(11) The Contractor agrees to post in conspicuous
places, available to employees and applicants for
employment, notices in a form to be prescribed by
the Director, provided by or through the contracting
officer Such notices shall state the Contractor's
obligation under the law to take affirmative action to
employ and advance in employment qualified
disabled veterans and veterans of the Vietnam Era
for employment, and the nghts of applicants and
employees
(12) The Contractor will notify each labor union or
representative of workers with which it has a
collective bargaining agreement or other contract
understanding, that the Contractor is bound by the
terms of the Vietnam Era Veterans' Readjustment
Assistance Act, and is committed to take affirmative
action to employ and advance in employment
qualified disabled veterans and veterans of the
Vietnam Era.
(13) The Contractor will include the provisions of this
clause in every subcontract or purchase order of
$10,000 or more unless exempted by rules,
regulations or orders of the Secretary issued
pursuant to the Act, so that such provisions will be
binding upon each subcontractor or vendor The
Contractor will take such action with respect to any
subcontract or purchase order as the Director of the
Office of Federal Contract Compliance Programs
may direct to enforce such provisions, including
action far noncompliance
Affirmative Action for Handicapped Workers
This clause is inserted pursuant to the Rehabilitation Act of 1973
(P L 93-112) and 41 CFR Sec 60-741-4
(1) The Contractor will not discriminate against any
employee or applicant for employment because of
physical or mental handicap in regard to any position for
which the employee or applicant for employment is
qualified The Contractor agrees to take affirmative
action to employ, advance in employment and otherwise
treat qualified handicapped individuals without
discrimination based upon their physical or mental
handicap in all employment practices such as the
following employment, upgrading, demotion or transfer,
recruitment, advertising, Layoff or termination, rates of
pay or other forms of compensation, and selection for
training, including apprenticeship
(2) The Contractor agrees to comply with the rules,
regulations and relevant orders of the Secretary of
Labor issued pursuant to the Act
(3)
In the event of the Contractor's non-compliance with the
requirements of this clause, actions for noncompliance
may be taken in accordance with the rules, regulations
and relevant orders of the Secretary of Labor issued
pursuant to the Act.
(4) The Contractor agrees to post in conspicuous places,
available to employees and applicants for employment,
notices in a form to be prescribed by the Director,
15
provided by or through the contracting officer
(5) Such notices shall state the Contractor's obligation
under the taw to take affirmative action to employ and
advance in employment qualified handicapped
employees and applicants for employment, and the
rights of applicants and employees
(6) The Contractor will notify each labor union or
representative of workers with which it has a collective
bargaining agreement or other contract understanding,
that the Contractor is bound by the terms of Section 503
of the Rehabilitation Act of 1973, and is committed to
take affirmative action to employ and advance in
employment physically and mentally handicapped
individuals
(7) The Contractor will include the provisions of this clause
in every subcontract or purchase order of $2,500 00 or
more unless exempted by rules, regulations or orders of
the Secretary issued pursuant to Section 503 of the Act,
so that such provisions will be binding upon each
Subcontractor or vendor The Contractor will take such
action with respect to any subcontract or purchase order
as the Director of the Office of Federal Contract
Compliance Programs may direct to enforce such
provisions, including action for noncompliance
1
Category
Contractors except
construction
Contractors except
construction
SMSA
Contractors except
construction
Contractors except
construction
Contractors except
construction
Construction
Contractors
APPENDIX I
Principal Business Location
San Bernardino County
Within Los Angeles, Long Beach,
Orange and San Diego
Within California, but not
San Bernardino, Orange, Los
Angeles, San Diego S M S A.
then parity same as Number 2 above
Outside California
N/A
N/A
Goal = Parity With
Riverside - San Bernardino - Ontario
SMSA
Local SMSA
Area business located, unless have
offices in Riverside - San Bernardino -
Ontario SMSA --
Principal place of business
Local staff parity with Riverside -
San Bernardino - Ontario S M.S A
Riverside - San Bernardino - Ontario
S M S.A
GOALS FOR WOMEN IN CONSTRUCTION
On April 17, 1978, the Department of Labor, Office of Federal Contract Compliance Programs established goals for the
participation of women in the construction industry These goals, which shall apply to all work force levels, categories,
crafts, skills, and apprenticeships, are the following
Time Frame
April 1, 1978 -
April 1, 1979 —
April 1, 1980 -
- March 31, 1979
March 31, 1980
- March 31, 1981
Goals (in Percents
3 1%
5 0%
6 9%
"SECTION 3"
3-2 2 Employment opportunities for business and lower income persons in connection with assisted
projects
Assurance of compliance with regulations
(A) Every contract or agreement for a grant, loan, subsidy or other direct financial assistance in aid of
housing, urban planning, development, redevelopment, or renewal, public or community facilities and
new community facilities and new community development, entered into by the Department of Housing
and Urban Development with respect to a Section 3 covered project shall contain provisions requiring
the applicant or recipient to carry out the provisions of Section 3, the regulations set forth in this part,
and any applicable rules and orders of the Department issued thereunder prior to approval of its
application for assistance for a Section 3 covered project
(B) Every applicant, recipient, contracting party, contractor and subcontractor shall incorporate, or cause to
be incorporated, in all contracts for work in connection with a Section 3 covered project, the following
clause (referred to as Section 3 clause)
a The work to be performed under this contract is on a project assisted under a program providing
direct Federal financial assistance from the Department of Housing and Urban Development as is
subject to the requirements of Section 3 of the Housing and Urban Development and is subject to
the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12
U S C 1701u 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 24CFR
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 24CFR 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 24CFR 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 24CFR
135
17
CERTIFICATION OF COMPLIANCE
WITH AIR AND WATER ACTS
(Applicable to Federally assisted construction contracts
and related subcontracts exceeding $100,000 00)
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 that he will include, or cause to be included, the criteria and
requirements in paragraph (1) through (4) 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.
The following documents are required prior to
Pre -Construction
19
INSTRUCTIONS FOR COMPLETING CONTRACT COMPLIANCE
QUALIFYING REPORT
I JOB CATEGORY
Data is to be completed for all listed job categories of employees
Definitions
Administrators Occupations which require that employees set
broad policies, exercise overall responsibility for execution of
these policies, direct individual departments or a special phase
of the contractor's operations or provide specialized consultation
on a regional district or area basis
Includes directors deputy directors, department heads
controllers, foremen supervisors, inspectors, and kindred
workers
Professional. Occupations which require specialized and
theoretical knowledge which is usually acquired through college
training or through work experience and other training which
provides comparable knowledge
Includes personnel and labor relations workers, social workers,
doctors psychologists registered nurses, economists, dietitians,
lawyers, system analysis accountants, engineers, employment
and vocational rehabilitation counselors teachers or instructors,
and kindred workers
Technical Occupations which require a combination of basic
scientific or technical knowledge and manual skill which can be
obtained through specialized post -secondary school education or
through equivalent on the job training
Includes computer programmers and operators, draftsmen,
surveyors, licensed practical nurses, photographers, radio
operators, technical illustrators, highway technicians, technicians
(medical, dental, electronic, physical sciences) assessors
inspectors, and kindred workers
Sales' Occupations in which the act of selling takes place
exchange of property of any kind or of services for an agreed
sum of money or other valuable consideration One employed
as a traveling agent or representative to sell goods or services
Office and Clerical' Occupations in which workers are
responsible for internal and external communication, recording
and retrieval of data and/or information and other paperwork
required in an office
Includes bookkeepers, secretanes, office machine operators,
clerk typists, stenographers, statistical clerks, dispatchers,
payroll clerks, messengers, and kindred workers
Skilled Occupations in which workers perform jobs which
require special manual skill, a thorough and comprehensive
knowledge of the processes involved in the work which is
acquired through on the job training experience, through
apprenticeship or other formal training programs
Includes mechanics and repairmen electricians heavy
equipment operators, stationary engineers, skilled machinist
occupations carpenters and compositors and typesetters, and
kindred workers
Operative (Semiskilled) Occupations in which workers are
partly skilled or doing manual work that requires only limited
training expenence or knowledge
Laborers (Unskilled) Occupations in which a worker performs
a vanety of manual work in the maintenance repair or
construction of highways buildings, and other facilities unskilled
worker who brings matenals to and does preparation work for,
skilted workers in a trade
Service Workers Occupations in which workers perform duties
which result in or contnbute to the comfort convenience,
upkeep and care of buildings, facilities or grounds of public
property Workers in this category may operate machinery
Includes chauffeurs, laundry and dry cleaning operators truck
drivers, bus dnvers, garage laborers, custodial persons,
gardeners and groundskeepers, refuse collectors, construction
laborers
II CURRENT WORK FORCE
This category is to establish the contractor's current employee
status
A Total number of employees The contractor is to fill out the
total number of persons currently employed in each job
category
B Black The contractor is to place the current number of
Black employees in each box in this column for each job
category
C Hispanic The contractor is to place the current number of
employees of Hispanic ongin in each box in this column for
each job category
D Asian or Pacific Islanders The contractor is to place
current number of employees of Asian or Pacific Island
ongin in each box in this column for each job category
E Amencan Indian or Alaskan Native The contractor is to
place the current number of Amencan Indian or Alaskan
Native employees in each box in this column for each job
category
F Total Minonty The number to be placed in each box in the
column can be reached by adding the current number of
Black, Hispanic, Asian Pacific Islander Amencan Indian
and Alaskan Native employees written in the four previous
columns
G. Total Females In each box in this column the contractor
shall place the total number of white and minonty females
employed in each job category
I11 UNDERUTILIZATION
To establish whether under utilization exists, a contractor must
determine whether the total minority" percentages and "total
female percentages" in each job classification are lower than
would reasonably be expected by their availability
After making this comparison, the contractor should place a
check mark in the box that applies ('yes" or "no") for each
category
IV ANTICIPATED HIRING
The contractor should state the number of employees the
contractor plans to hire both as additional employees and
replacements for each lob category
CONTRACT COMPLIANCE QUALIFYING REPORT
A 1 Name of Contractor s Business B
2 Address . .
3 City State Zip Code
4 Telephone Number
(Area Code)
5 Type of Business
6 The contractor has appointed
as its Equal Employment Opportunity Officer This person has been given the authonty to
establish, disseminate and enforce the Equal Employment and Affirmative Action policies of this
contractor, and may be contacted at (Address)
(Telephone Number) concerning matters relating to Affirmative
Actions taken by this contractor
7 Do you presently employ any Vietnam era veterans? ❑Yes ❑No How many?
8 Do you presently employ any handicapped persons? ❑Yes ❑No How many?
Contractors agrees to comply with the provisions of the Affirmative Action Compliance Program of
the implementing entity and rules and regulations adopted pursuant thereto, Executive Order 11246
and 11375, Title VII of the Civil Rights Act of 1964, the California Fair Employment Practice Act,
and other applicable Federal and State laws and regulations relating to equal employment
opportunity, including laws and regulations hereafter enacted
Attached is the statement of contractor's Affirmative Action Policy The contractor agrees to make
a good faith effort to meet the goals of the plan as part of these contract obligations
Contractor understands that this plan will become a part of contractor's comprehensive
management policy
Contractor agrees to insert in all subcontracts on the project bid herewith a provision that said
subcontractors will comply with the provisions of the implementing entity Affirmative Action
Compliance Program and rules and regulations adopted pursuant thereto, Executive Order 11246
and 11375 Title VII of the Civil Rights Act of 1964, the California Fair Employment Practice Act,
and other applicable Federal and State laws and regulations relating to equal employment
opportunity, including laws and regulations hereafter enacted
Contractor agrees to furnish to the Contract Compliance Office, the name of each subcontractor
who furnished supplies goods or services in excess of $10 000 on the project bid herewith Said
names shall be furnished prior to the time the subcontractor commences work
Contractor also hereby agrees to provide the implementing entity Contract Compliance Office any
access and information that they may request to assist in determining compliance with the Program
I declare under penalty of perjury that the following is true and correct
Date
CURRENT WORK FORCE
Signature
Title
OCCUPATIONAL
CATEGORY
ALL EMPLOYEES
MINORITY EMPLOYEES
TOTAL
MINORITIES
UNDERUTILIZATION
ANTICIPATED
TIRING GOALS CT
TERM OF PROJEECT
TOTAL
MALE
FEMALE
MALE
FEMALE
MINORITY
FEMALE
Black
Hispanic
Aslan or
Pacific
Islander
American
Indian or
Alaskan
Native
Black
Hispanic
Asian or
Pacific
islander
American
Indian or
Alaskan
Native
YES
NO
YES
NO
Minority
Total New
Hires
M
F
M
F
Administrators
Professional
Technical
Sales
Clerical
Skilled
Operatives
(Semiskilled)
Laborer (Unskilled)
Service Workers
TOTAL
21
THIS SIDE FOR CONTRACT COMPLIANCE USE ONLY
Percent Minorities of Total
SMSA Percent Does Contractor Meet SMSA Percentages?
Yes
No
Warning Letter Issued Reviewed By
Date Contract Compliance Officer
Annual Qualifications Dates
From to
CONTRACTS PROCESSED
Date Project
Contract Compliance
Qualifying Report
For
Construction
Contractors
and
Vendors
Dollar Amount
Comments
THIS SIDE FOR CONTRACT COMPLIANCE USE ONLY
Percent Minorities of Total SMSA Percent
Warning Letter Issued
Does Contractor Meet SMSA Percentages'? 1 Yes
No
Reviewed By
Date Contract Compliance Officer
CONTRACTS PROCESSED
Annual Qualifications Dates Date Project Dollar Amount
From to
Contract Compliance
Qualifying Report
For
Non -construction
Contractors
and
Vendors
Comments
AFFIRMATIVE ACTION POLICY
FOR CONTRACTORS, SUBCONTRACTORS AND VENDORS
Name of Contractor, Subcontractor or Vendor
Adopts this plan to affirm its support of a program of equal employment opportunity, and to assure
compliance with Executive Orders 11246 and 11375, Title VII of the Civil Rights Act of 1964, Section
503 of the Rehabilitation Act of 1973; the California Fair Employment Practice Act, and the
implementing entity's Affirmative Action Compliance Program This contractor (or Subcontractor or
Vendor) agrees to assert leadership within the community and to put forth good faith efforts to
achieve full employment and utilization of the capabilities and the productivity of all our citizens
without regard to race, age, color, sex, religion, ancestry, national origin, marital status, or handicap
This contractor (or Subcontractor or Vendor) further recognizes that the effective application of a
policy of equal employment opportunity involves more than just a policy statement and will, therefore,
undertake affirmative action to make known that equal opportunities are available on the basis of
individual merit, and to encourage advancement on this basis
The following Affirmative Action Program is hereby established as the policy and practices of our
company
INSTRUCTIONS Please answer each question by marking an "X" beside "A", "B", or "C"
If "C" is marked, explain reason, use a separate sheet if additional
space is needed
1 Our company shall recruit and hire all employees without regard to race, age, color, sex, religion,
ancestry, national origin, marital status or handicap, and will treat all employees equally in respect
to compensation and opportunities for advancement, including upgrading and promotion
❑ A This is now a practice of our Company
❑ B Our Company will adopt this policy
[IC. Our Company cannot or will not adopt this policy Explain "C"
2 Our company will actively use recruitment sources such as employment agencies, unions, and
schools that have a policy of referring applicants on a nondiscnminatory basis
D
▪ B
❑ C.
This is now a practice of our Company
Our Company will adopt this policy
Our Company cannot or will not adopt this policy
Explain "C"
3 Our company will disseminate its affirmative action policy externally by informing and discussing it
with all recruitment sources, by advertising in news media, specifically including minority news
media, and by notifying and discussing policy with all local minority, handicapped and women's
organizations and subcontractors and shall maintain records of the organizations responses
❑ A. This is now a practice of our Company
C B. Our Company will adopt this policy.
❑ C Our Company cannot or will not adopt this policy. Explain "C"
24
AFFIRMATIVE ACTION POLICY
FOR CONTRACTORS, SUBCONTRACTORS AND VENDORS
(Conttnued)
4 Our company shall make specific and constant personal, written, and oral recruitment efforts
directed at all local minority, handicapped and women's organizations, including schools,
recruitment and training organizations
D
CB
D
This is now a practice of our Company
Our Company will adopt this policy
Our Company cannot or will not adopt this policy Explain "C"
5 Our company shall make specific efforts to encourage present minority, handicapped and women
employees to recruit their friends and relatives who status also comes under that of minority,
handicapped or women
❑ A This is now a practice of our Company
❑ B. Our Company will adopt this policy
❑ C. Our Company cannot or will not adopt this policy Explain "C
6 Our company will maintain a file of the names and addresses of each minority applicant and
female applicant referred to the company for hiring, and if the applicant is not considered for
employment or was not employed, the company's file should document this and the reason
therefor
❑ A This is now a practice of our Company
❑ B Our Company will adopt this policy
❑ C Our Company cannot or will not adopt this policy Explain "C"
7 Our company shall notify the implementing entity Contract Compliance Officer when the union or
unions with whom our company has a collective bargaining agreement have not referred to the
company a minority, handicapped, or female worker sent for by the company or the company has
other information that the union referral process has impeded the company's effort to meet the
established goals of affirmative action
❑ A This is now a practice of our Company
❑ B Our Company will adopt this policy
❑ C Our Company cannot or will not adopt this policy Explain "C"
8 Our company will actively take steps to integrate any positions, departments or plant location
which have no women or minorities or are almost staffed with one particular group
❑ A This is now a practice of our Company
❑ B Our Company will adopt this policy
❑ C Our Company cannot or will not adopt this policy Explain "C"
9 Our company shall insure that all employee specifications, selection requirements, tests, and
other employee recruitment or evaluation procedures do not discriminate against minorities,
handicapped, or women
❑ A This is now a practice of our Company
❑ B Our Company will adopt this policy
❑ C. Our Company cannot or will not adopt this policy. Explain "C"
25
AFFIRMATIVE ACTION POLICY
FOR CONTRACTORS, SUBCONTRACTORS AND VENDORS
(Continued)
10 Where reasonable, our company shall develop or finance on-the-job training opportunities and
participate and assist in any association or employee group training programs relevant to the
company's employee needs
10
D
El
This is now a practice of our Company
Our Company will adopt this policy
Our Company cannot or will not adopt this policy Explain "C"
11 Our company shall continually inventory and evaluate all minority, handicapped, and female
personnel for promotion opportunities and encourage minority and female employees to see such
opportunities.
❑ A This is now a practice of our Company.
❑ B. Our Company will adopt this policy
❑ C Our Company cannot or will not adopt this policy Explain "C"
12 Our company shall make sure that seniority practices, job classifications, rates of pay, and other
forms of compensation and other employee practices and classifications do not have an
unlawfully discriminatory effect on handicapped, minority or female employees
❑ A. This is now a practice of our Company
O B. Our Company will adopt this policy
❑ C Our Company cannot or will not adopt this policy Explain "C"
13 Our company will make certain that all facilities normally used concurrently by all company
activities are non -segregated
❑ A This is now a practice of our Company
El B Our Company will adopt this policy.
❑ C Our Company cannot or will not adopt this policy Explain "C"
14 Our company shall make certain that all subcontractors are in compliance with the Affirmative
Action Compliance Plan of the implementing entity, and that all project subcontractors have an
approved Affirmative Action Plan
0 A This is now a practice of our Company.
❑ B Our Company will adopt this policy
❑ C Our Company cannot or will not adopt this policy Explain "C"
15 Our Company shall solicit bids for subcontracts from minority subcontractors and female
subcontractors subject to availability
❑ A This is now a practice of our Company
E B Our Company will adopt this policy
O C Our Company cannot or will not adopt this policy Explain "C"
26
AFFIRMATIVE ACTION POLICY
FOR CONTRACTORS, SUBCONTRACTORS AND VENDORS
(Continued)
16 Our company shall make every effort to provide after school, summer and vacation employment
to minority youths.
El A This is now a practice of our Company
El B Our Company will adopt this policy
❑ C Our Company cannot or will not adopt this policy Explain "C"
17 Our company shall continually monitor all personnel activities to insure that the implementing
entity's Affirmative Action Policy for Contractors and Vendors is carried out
D
D
D
This is now a practice of our Company
Our Company will adopt this policy
Our Company cannot or will not adopt this policy
Explain "C"
Date Signature
Title
27
SAN BERNARDINO COUNTY
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE PARTICIPATION
This form is designed to assist the County of San Bernardino in assessing and reporting the
proposition and amounts of contracts and subcontracts awarded to Minority and Women Owned
Business Enterprises (WMBE'S) for the project named below Include information on all
subcontractors and suppliers if the total bid amount exceeds $10,000
"Minority owned or controlled" means that 51 % or more of the company's ownership or controlled
interest in the company is held by one or more Black Americans, Native Americans (including
American Indians, Eskimos, Aleuts, and Native Hawaiians), Hispanic Americans, or Asian/Pacific
Americans (including persons whose origins are from Japan, China, the Philippines, Vietnam, Korea,
Samoa, Guam, the United States Trust Territories of the Pacific, Northern Marianas, Laos, Cambodia
and Taiwan), or any other group of natural persons identified as minorities in the project
specifications by the County
"Female owned or controlled" means that 51% or more of the company's ownership or controlled
interest in the company is held by one or more female persons
PROJECT
Project Name
Total Bid Amount
CONTRACTOR
Contractor's Name
Federal I D Number
Portion of Bid Amount to be
performed by Contractor
Project Number
Federally funded or assisted?
[ ]Yes [ ] No
Address
CITY
Minority owned/controlled?
Female owned/controlled?
State Zip Code
[]Yes []No
[ ]Yes [ ]No
SUBCONTRACTORS
I)_
Subcontractor's Name
Federal 1 D Number
$
Address
CITY
Minority owned/controlled?
Subcontract Bid Amount Female owned/controlled?
28
State Zip Code
[ ] Yes [ ] No
[ ]Yes [ ]No
2)
MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE PARTICIPATION (Continued)
Subcontractor's Name Address
Federal 1 D Number
$
Subcontract Bid Amount
CITY State Zip Code
Minority owned/controlled? [ ] Yes [ ] No
Female owned/controlled? [ ] Yes [ ] No
3)
Subcontractor's Name Address
Federal 1 D Number CITY State Zip Code
$ Minority owned/controlled? [ ] Yes [ ] No
Subcontract Bid Amount Female owned/controlled? [ ] Yes [ ] No
4)
Subcontractor's Name Address
Federal I D Number CITY State Zip Code
$ Minority owned/controlled? [ ] Yes [ ] No
Subcontract Bid Amount Female owned/controlled? [ ] Yes [ ] No
5)
Subcontractor's Name Address
Federal 1 D Number CITY State Zip Code
$ Minority owned/controlled? [ ] Yes [ ] No
Subcontract Bid Amount Female owned/controlled? [ ] Yes [ ] No
6)
Subcontractor s Name Address
Federal 1 D Number
$
Subcontract Bid Amount
CITY State Zip Code
Minority owned/controlled? [ ] Yes [ ] No
Female owned/controlled? [ ] Yes [ ] No
7)
Subcontractor's Name Address
Federal LD Number CITY State Zip Code
$ Minority owned/controlled? [ ] Yes [ ] No
Subcontract Bid Amount Female owned/controlled? [ ] Yes [ ] No
8)
Subcontractor's Name Address
Federal 1 D Number CITY State Zip Code
$ Minority owned/controlled? [ ] Yes [ ] No
Subcontract Bid Amount Female owned/controlled? [ ] Yes [ ] No
(Use additional copies of this form if needed to provide information on all subcontractors)
29
CERTIFICATION OF BIDDER REGARDING
EQUAL EMPLOYMENT OPPORTUNITY
Project Name
INSTRUCTIONS
This certification is required pursuant to Executive Order 11246 (30 F R 12319-25) The implementing rules and
regulations provide that any bidder or prospective contractor, or any of their proposed subcontractors, shall state as an
initial part of the bid or negotiations of the contract whether it has participated in any previous contract or subcontract
subject to the equal opportunity clause, and, if so, whether it has filed all compliance reports due under applicable
instructions
Where the certification indicates that the bidder has not filed a compliance report due under applicable instructions, such
bidder shall be required to submit a compliance report within seven calendar days after bid opening No contract shall be
awarded unless such report is submitted
CERTIFICATION BY BIDDER
Bidder's Name
Address & Zip Code
Bidder has participated in a previous contract or subcontract subject to the Equal Opportunity Clause
Yes ❑ No ❑ (If answer is yes, identify the most recent contract )
2 Compliance reports were required to be filed in connection with such contract or subcontract
Yes ❑ No ❑ (If answer is yes, identify the most recent contract )
3. Bidder has filed all compliance reports due under applicable instructions, Including SF -100
Yes ❑ No ❑ None required ❑
4 If answer to item 3 is "No", please explain in detail on reverse side of this certification
Certification The information above is true and complete to the best of my knowledge and belief
Name and Title of Signer (Please Type)
Signature Date
30
CERTIFICATION BY PROPOSED SUBCONTRACTOR
REGARDING EQUAL EMPLOYMENT OPPORTUNITY
Name of Prime Contractor
Project Name
INSTRUCTIONS
This certification is required pursuant to Executive Order 11246 (30 F R 12319-25) The
implementing rules and regulations provide that any bidder or prospective contractor, or any of their
proposed subcontractors, shall state as an initial part of the bid or negotiations of the contract
whether it has participated in any previous contract or subcontract subject to the equal opportunity
clause, and, if so, whether it has filed all compliance reports due under applicable instructions
Where the certification indicates that the subcontractor has not filed a compliance report due under
applicable instructions, such subcontractor shall be required to submit a compliance report before the
owner approves the subcontract or permits work to begin under the subcontract
SUBCONTRACTOR'S CERTIFICATION
Subcontractor's Name
Address & Zip Code
1 Bidder has participated in a previous contract or subcontract subject to the Equal Opportunity Clause
Yes D No ❑
2 Compliance reports were required to be filed in connection with such contract or subcontract
Yes ❑ No
3 Bidder has filed all compliance reports due under applicable instructions, Including SF -100
Yes ❑ No ❑ None required 0
4 If answer to item 3 is "No", please explain in detail on reverse side of this certification
Certification The information above is true and complete to the best of my knowledge and belief
Name and Title of Signer (Please Type)
Signature Date
• NOTE THIS FORM MUST BE FILLED OUT BY EACH OF THE BIDDER'S SUBCONTRACTORS.
31
CONTRACTOR'S CERTIFICATION OF COMPLIANCE
WITH DAVIS-BACON AND RELATED ACTS REQUIREMENTS
, as Prime Contractor for
Project
hereby make the following certification and acknowledgment with respect to the applicability of Davis -
Bacon and Related Acts Requirements:
1) By entering into this Contract, I certify that I acknowledge that the above referenced project is
federally funded and I am solely responsible for complying with the Davis -Bacon and Related
Acts Requirements, and,
2) The Prime contractor and all subcontractors are required to pay their laborers and mechanics
employed under this contract, a wage not less than the highest wage applicable to their work
classifications, as specified by the current and applicable Federal Wage Determination If no
Federal work classification appears to apply, prime contractor shall make written request to
County to obtain applicable work classifications and wage rates prior to start of construction
When the same classification appears in both the Federal and State wage decisions, the higher
wage must be paid for that classification. The Prime Contractor is responsible for ensuring
subcontractor compliance with Davis -Bacon and Related Acts Requirements
Signature, Prime Contractor
Title (Owner or President)
Date
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CONTRACTOR'S CERTIFICATION CONCERNING
LABOR STANDARDS AND PREVAILING WAGE REQUIREMENTS
TO (Appropriate Recipient)
CIO
DATE
PROJECT NUMBER (If any)
Project Name
1 The undersigned, having executed a Contract with the for the construction
of the above -identified project acknowledges that
(a) The Labor Standards provisions are included in the aforesaid Contract
(b) Correction of any infractions of the aforesaid conditions, including infractions by any of his
subcontractors and any lower tier subcontractors is his responsibility
2 He certifies that
(a)
Neither he nor any firm, partnership or association in which he has substantial interest is designated
as an ineligible contractor by the Comptroller General of the United States pursuant to Section 5 6(b)
of the Regulations of the Secretary of Labor, Part 5 (29 CFR, Part 5) or pursuant to Section 3(a) of
the Davis -Bacon Act, as amended (40 U S C 276a -2(a))
(b) No part of the aforementioned Contract has been or will be subcontracted to any subcontractor if
such subcontractor or any firm, corporation, partnership or association in which such subcontractor
has a substantial interest is designated as an ineligible contractor pursuant to any of the
aforementioned regulatory or statutory provisions
3 He agrees to obtain and forward to the aforementioned recipient within ten days after the execution of any
subcontract, including those executed by his subcontractors and any lower tier subcontractors, a
Subcontractor's Certification Concerning Labor Standards and Prevailing Wage Requirements executed
by the subcontractors
4 He certifies that
(a) The legal name and the business address of the undersigned are
(b) The undersigned is
(1) A SINGLE PROPRIETORSHIP
(2) A PARTNERSHIP
(3) A CORPORATION ORGANIZED IN THE STATE OF
(4) OTHER ORGANIZATION (Describe)
33
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CONTRACTOR'S CERTIFICATION CONCERNING
LABOR STANDARDS AND PREVAILING WAGE REQUIREMENTS
(Continued)
(c) The name, title and address of the owner, partners or officers of the undersigned are
NAME TITLE ADDRESS
(d) The names and addresses of all other persons, both natural and corporate having a substantial
interest in the undersigned, and the nature or the interest are Of none, so state)
NAME ADDRESS NATURE OF INTEREST
(e) The names, addresses and trade classifications of all other building construction contractors in
which the undersigned as a substantial interest are (If none, so state)
NAME ADDRESS TRADE CLASSIFICATION
(Contractor)
BY
DATE
WARNING
U S Criminal Code, Section 1010, Title 18, U S C, provides in part Whoever makes, passes, utters or publishes any
statement, knowing the same to be false shall be fined not more than $5,000 or imprisoned not more than two years, or
both
r,A
Y
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
SUBCONTRACTOR'S CERTIFICATION CONCERNING
LABOR STANDARDS AND PREVAILING WAGE REQUIREMENTS
To
c/o
Date
Project Number
Project Name
1 The undersigned, having executed a Contract with
for
Contractor Nature of Work
2 in the amount of $ in the construction of the above -identified project, certifies that
(a) The Labor Standards Provisions of the Contract for Construction are included in the aforesaid
Contract
(b) Neither he nor any firm, corporation, partnership or association in which he has a substantial interest
is designated as an ineligible contractor by the Comptroller General of the united States pursuant to
Section 5 60(b) of the Regulations of the Secretary of Labor, Part 5 (29 CFR, Part 5), or pursuant to
Section 3(a) of the Davis -Bacon Act, as amended (40 U S C 276-2(a))
(c) No part of the aforementioned Contract has been or will be subcontracted to any subcontractor if
such subcontractor or any firm, corporation, partnership or association in which such subcontractor
has a substantial interest is designated as an ineligible contractor pursuant to the aforesaid regulatory
or statutory provisions
3 He agrees to obtain and forward to the contractor, for transmittal to the recipient, within ten (10) days after
the execution of any lower subcontract, a Subcontractor's Certification Concerning Labor Standards and
Prevailing Wage Requirements, executed by the lower tier subcontractor, in duplicate
(a) The workmen will report on or about
Date
4 He certifies that
(a) The legal name and the business address of the undersigned are
(b) The undersigned is
(1) A SINGLE PROPRIETORSHIP
(2) A PARTNERSHIP
(3) A CORPORATION ORGANIZED IN THE STATE OF
(4) OTHER ORGANIZATION (Describe)
35
DEPARTMENT OF ECONOMIC AND COMMUNITY DEVELOPMENT
COMMUN1TY DEVELOPMENT BLOCK GR,4NT PROGRAM
SUBCONTRACTOR'S CERTIFICATION CONCERNING
LABOR STANDARDS AND PREVAILING WAGE REQUIREMENTS
(continued)
(c) The name, title and address of the owner, partners or officers of the undersigned are
NAME TITLE ADDRESS
(d) The names and addresses of all other persons, both natural and corporate, having a substantial
interest in the undersigned, and the nature of the interest are (If none, so state)
NAME ADDRESS NATURE OF INTEREST
(e) The names, addresses and trade classifications of all other building construction contractor in
which the undersigned has a substantial interest are (!f none, so state)
NAME ADDRESS TRADE CLASSIFICATION
(Subcontractor)
By
(Signature)
(Typed Name and Title)
WARNING
U S Criminal Code, Section 1010, Title 18, U S C, provides in part 'Whoever makes, passes, utters orpubhshes
any statement, knowing the same to be false shall be fined not more than $5 000 or imprisoned not more than two
years, or both
14
THE FOLLOWING DOCUMENTS ARE
EXAMPLES
CERTIFICATE OF OWNER'S ATTORNEY
We, the undersigned, the duly authorized
and acting legal representative of do hereby certify as
follows'
I have examined the attached Contract(s) and surety bonds and the manner of
execution thereof, and l am of the opinion that each of the aforesaid agreements
has been duly executed by the proper parties thereto acting through their duly
authorized representatives, that said representatives have full power and authority
to execute said agreements on behalf of the respective parties named thereon,
and that the foregoing agreements constitute valid and legally binding obligations
upon the parties executing the same in accordance with terms, conditions and
provisions thereof
Signed
Date
Record of '
Employee Interview
U S Department of Housing
and Urban Development
Office of Labor Relations
OMB Approval No 2501 0009
(exp 1/31/2000)
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including the time for reviewing instructions, searching existing
data sources gathering and maintaining the data needed and completing and review the collection of information This agency may not collect this information, and you
are not required to complete this form unless it displays a currently valid OMB control number
The information is collected to ensure compliance with the Davis Bacon Act by recording interviews with construction workers The information collected will assist HUD in
the conduct of labor standards investigations in case there were falsifying of payroll records in underpayment of wages The information collection is voluntary
Sensitive Information The information collected on this farm is considered sensitive and is protected by the Pnvacy Act The Pnvacy Act requires that these records be
maintained with appropriate administrative, technical, and physical safeguards to ensure their secunty and confidentiality In addition, these records should be protected
against any anticipated threats or hazards to their security or integnty which could result in substantial harm, embarrassment, inconvenience, or unfairness to any
individual on whom the information is maintained
Project Number
Contractor or Subcontractor (Employer)
Project Name
1 Name of Employee
2 Home Address and Zip Code
3a Last date you worked on project before today
3b Number of hours worked on project on that date
4 Your hourly pay rate
$
5 Your job classification(s) (list all) (continue any answers on a separate sheet if necessary) Apprentice?
Yes
No
6 Your duties
7 Tools or equipment used
8 Paid at lease time and one half for all hours worked in excess of 40 in a week?
(If overtime premium pay is not required, check "inapplicable")
Inapplicable
Yes
No
9 Ever threatened intimidated, or coerced into giving up any part of pay?
Yes
No
10 Duties observed by Interviewer Conform to Classification?
Yes
No
11 Remarks (Continue on a separate sheet if needed)
12 Signature of interviewer
Date of interview
Payroll Examination
13 Remarks (Continue on a separate sheet if needed)
14 Signature of Payroll Examiner
Date
Previous editions are obsolete form HUD 11 (5193)
39
PROJECT NAME.
*Complete ONLY if Fringe Benefits are paid to plan or program and not directly to employee
CERTIFICATION FOR APPLICABLE FRINGE BENEFIT PAYMENTS
PROJECT NUMBER
Classification/ Name, Address, and Telephone Number
Fringe Benefits Provided of Plan/Fund Program
1)
2)
3)
Health and Welfare
Pension
Vacation
Apprenticeship/Training
Health and Welfare
Pension
Vacation
Apprenticeship/Training
Health and Welfare
Pension
Vacation
Apprenticeship/Training
Oft (Check if applicable)
I certify that I do not make payments to approved fringe benefit plans, funds, or programs.
by
(Contractor/Subcontractor) (Signature)
40
*Complete this form if person other than owner is signing certified payroll/compliance documentation
CERTIFICATION OF UNDERSTANDING
AND AUTHORIZATION
PROJECT NAME
PROJECT NUMBER
This is to certify that the principals and the authorized payroll officer, below, have read and
understand the Minutes of the Pre -construction Conference and the labor standards clauses
pertaining to the subject project
The following person(s) is designated as the payroll officer for the undersigned and is authorized to
sign the Statement of Compliance, which will accompany our weekly, certified payroll reports for this
project
Payroll Officer (Name)
Payroll Officer (Signature)
(Contractor/Subcontractor)
by
(Signature)
(Title)
(Date)
(Contractor/Subcontractor License No )
41
(Date)
U.S DEPARTMENT OF LABOR
WAGE AND HOUR AND PUBLIC
CONTRACT DIVISION
(Title)
PAYROLL
(For Contractor's Optional Use See Instruction, Form WH -347 Inst.)
Fon, Approved
8u1pN Durant No+IAR1093
NAME OF CONTRACTOR OR SUBCONTRACTOR
PAYROLL NO.
ADDRESS
FOR WEEK ENDING
PROJECT ANO LOCATION
PROJECT OF CONTRACT NO
(1)
NAME ADDRESS AND
SOCIAL SECURITY NUMBER
OF EMPLOYEE
(2)
NO
OF
WPri
EXEM
(3)
WORK
CLASSIFICATION
OT
or
ST
4) DAY AND DATE
(5)
(6)
RATE
OF PAY
C7)
GROSS
AMOUNT
EARNED
(8
DEDUCTIONS
(5)
TOTAL
HOURS
FICA
WITH-
HOLDING
TAX
SWT
SDI
OTHER
TOTAL,
LEDUC-
TIONS
NET
WAGES
PAID
FOR WEEK
HOURS WORKED EACH DAY
0
5
0
5
0
S
0
S S
1-
0
S
0
5
0
5
0
5
0
S
0
S
0
5
0
5
42
INSTRUCTIONS FOR PREPARATION OF
STATEMENT OF COMPLIANCE
This statement of compliance meets needs resulting from the amendment of the Davis -Bacon Act to
include fringe benefits provisions Under this amended law, the contractor is required to pay fringe
benefits as predetermined by the Department of Labor, in addition to payment of minimum rates The
contractor's obligation to pay fringe benefits may be met by payment of the fringes to the various plans,
funds, or programs, or by making these payments to the employees as cash in lieu of fringes.
The contractor should show on the face of his payroll all monies paid to the employees whether as
basic rates or as cash in lieu of fringes The contractor shall represent in the statement of compliance
that he is paying to others fringes required by the contract and not paid as cash in lieu of fringes
Detailed instructions follow.
Contractors who pay all required fringe benefits
A contractor who pays fringe benefits to approved plans, funds, or programs in amounts not Tess than
were determined in the applicable wage decision of the Secretary of Labor shall continue to show on
the face of his payroll the basic cash hourly rate and overtime rate paid to his employees, just as he
has always done Such a contractor shall check paragraph 4(a) of the statement to indicate that he is
also paying to approved plans, funds, or programs not Tess than the amount predetermined as fringe
benefits for each craft Any exception shall be noted in Section 4(c)
Contractors who pay no fringe benefits
A contractor who pays no fringe benefits shall pay to the employee and insert in the straight time hourly
rate column of his payroll an amount not less than the predetermined rate for each classification plus
the amount of fringe benefits determined for each classification in the applicable wage decision
Inasmuch as it is not necessary to pay time and a half on cash paid in lieu of fringes, the overtime rate
shall be not less than the sum of the basic predetermined rate, plus the half-time premium on the basic
or regular rate plus the required cash in lieu of fringes at the straight time rate To simplify computation
of overtime, it is suggested that the straight time basic rate and cash in lieu of fringes be separately
stated in the hourly rate column In addition, the contractor shall check paragraph 4(b) of the statement
to indicate that he is paying fringe benefits in cash directly to his employees Any exceptions shall be
noted in Section 4(c)
Use of Section 4(c) Exceptions
Any contractor who is making payment to approved plans, funds, or programs in amounts less than the
wage determination requires is obliged to pay the deficiency directly to the employees as cash in lieu of
fringes. Any exceptions to Section 4(a) or 4(b), whichever the contractor may check, shall be entered
in Section 4(c) Enter in the Exception column the craft, and enter in the Explanation column the hourly
amount paid the employees as cash in lieu of fringes, and the hourly amount paid to plans, funds, or
programs as fringes
43
Department of Labor
Wage and Hour Division
STATEMENT OF COMPLIANCE
Date
Foran Approved
Budget Bureau No 41-R1003
1, do hereby state
(Name of signatory party) (Title)
(1) That I pay or supervise the payment of the persons employed by (Contractor or Subcontractor) on the
(Project) that dunng the payroll period commencing on the
day of , 2 , and ending on the day of , 2 , all persons employed on
said project have been paid the full weekly wages earned, that no rebates have been or will be made either directly or indirectly to or on behalf
of said from the full weekly wages eamed by any person, and (Contractor or
Subcontractor) that no deductions have been made either directly or
indirectly from the full wages earned by any person other than permissible deductions as defined in Regulations Part 3 (29 CFR Subtitle A),
issued by the Secretary of Labor under the Copeland Act as amended (48 Stat. 948 63 Stat 108, 72 Stat 967, 76 Stat 357, 40 U S C
276c), and described below
(2) That any payrolls otherwise under this contract required to be submitted for the above period are correct and complete, that the wage
rates for laborers or mechanics contained therein are not less than the applicable wage rates contained in any wage determination
incorporated into the contract, that the classifications set forth therein for each laborer or mechanic confirm with the work performed
(3) That any apprentices employed in the above period are duly registered in a bona fide apprenticeship program registered with a State
apprenticeship agency recognized by the Bureau of Apprenticeship and Training United States Department of Labor, or if no such recognized
agency exists in a State, are registered with the Bureau of Apprenticeship and Training United States Department of Labor
(4) That.
(a) WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS OR PROGRAMS
In addition to the basic hourly wage rates paid to each laborer or mechanic listed En the above referenced payroll
payments of fringe benefits as listed in the contract have been or will be made to appropriate programs for the
benefit of such employees except as noted in Section 4(c) below
(b) WHERE FRINGE BENEFITS ARE PAID IN CASH
0 Each laborer or mechanic listed in the above referenced payroll has been paid as indicated on the payroll, an
amount not less than the sum of the applicable basic hourly wage rate plus the amount of the required fringe
benefits as listed in the contract, except as noted in Section 4(c) below
(c) EXCEPTIONS
EXCEPTIONSjCRAFT)
—
Remarks
Name and Title
Signature
The willful falsification of any of the above statements may subject the contractor or subcontractor to civil or cnminal prosecution
and Section 231 of Title 31 of the Unites States Code
Fnrtn WN.RIR f1MR1 PI .+....A N.:. i......,.....4,., 1,,-....11.... C,.. .4 fl.....,.....,.
See Section 1001 of Title 18
AA
FORM OF BID BOND
KNOW ALL MEN BY THESE PRESENTS, that we, the undersigned,
as Principal, and
as Surety, are hereby and firmly bound unto
as owner in the penal sum of
for the payment of which, well and truly to be made, we hereby jointly and severally bind ourselves, our
heirs, executors, administrators, successors and assigns
Signed this day of
, 20
The condition of the above obligation is such that whereas the Pnncipal has submitted to
a certain Bid, attached hereto and hereby made a part hereof to enter into a contract in wntzng, for the
NOW, THEREFORE,
a If said Bid shall be rejected, or in the alternate,
b If said Bid shall be accepted and the Principal shall execute and deliver a contract m the
form of a contract attached hereto (properly completed in accordance with said Bid) and
shall furnish a bond for his faithful performance of said contract, and shall in all other
respects perform the agreement created by the acceptance of said Bid, then this obligation
shall be void, otherwise, the same shall remain in force and effect, it bemg expressly
understood and agreed that the liability of the Surety for any and all claims hereunder
shall, in no event, exceed the penal amount of this obligation as herein stated
The Surety, for value received, hereby stipulates and agrees that the obligations of said
Surety and its bond shall be in no way impaired or affected by any extension of the time
within which the Owner may accept such Bid; and said Surety hereby waive notice of
any such extension
45
IN WITNESS WHEREOF, the Pnncipal and the Surety have hereunto set their hands and seals, and
such of them as are corporations have caused their corporate seals to be hereto affixed and these presents
to be signed by their proper officers, the day and year first mentioned.
SEAL
(L S)
Pnncipal
By
/14
FORM OF PERFORMANCE BOND
KNOW ALL MEN BY THESE PRESENTS That we
a
hereinafter called "Pnncipal" and
of , hereinafter called "Owner" in the penal sum of
dollars ($ ) in lawful money of these United States, for the
payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators
and successors, jointly and severally, firmly by these presents
THE CONDITION OF THIS OBLIGATION is such that, Whereas, the Pnncipal entered into a certain
contract with the Owner, dated the day of , 20 , a copy of
which is hereto attached and made a part hereof for the construction of
NOW, THEREFORE, if the Pnncipal shall well, truly and faithfully perform its duties, all the
undertakings, covenants, terms, conditions, and agreements of said contract dunng the onginal term
thereof, and any extensions thereof which may be granted by the Owner, with or without notice to the
Surety, and if he shall satisfy all claims and demands incurred under such contract, and shall fully
indemnify and save harmless the Owner from all costs and damages which it may suffer by reason of
failure to do so, and shall reimburse and repay the Owner all outlay and expense which the Owner may
incur in making good any default, then this obhgation shall be void• otherwise, to remain m full force
and effect.
PROVIDED, FURTHER that the said Surety, for value received hereby stipulates and agrees that no
change, extension of time, alteration or addition to the terms of the contract or to the work to be
performed thereunder or the specifications accompanying the same shall in anywise affect its obhgation
on this bond, and it does hereby waive notice of any such change, extension of time, alteration or
addition to the teens of the contract or to the work or to the specifications.
47
a F
PROVIDED, FURTHER, that no final settlement between the Owner and the Contractor shall abndge
the nght of any beneficiary hereunder, whose claim may be unsatisfied
IN WITNESS WHEREOF, this instrument is executed m six (6) counterparts, each one of which shall
be deemed an onginal, this the day of 20
ATTEST
Pnncipal
(Principal) Secretary
(SEAL) By
Witness as to Principal
ATTEST.
(Surety) Secretary
(SEAL)
(Address)
Surety
By
Attomey-m-fact
Witness as to Surety (Address)
(Address)
NOTE Date of Bond must not be prior to date of Contract.
FORM OF LABOR AND MATERIALS BOND
KNOW ALL MEN BY THESE PRESENTS That we
a hereinafter called "Pnncipal" and
State of hereinafter called the "Surety", are held
and firmly bound unto , hereinafter called "Owner", in the
penal sum of dollars ($ ) in lawful money of these United
States, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors,
administrators and successors, jointly and severally, firmly by these presents
THE CONDITION OF THIS OBLIGATION is such that, Whereas, the principal entered into a certain
contract with the Owner, dated the
day of , 20 a
copy of which is hereto attached and made a part hereof for the construction of
NOW, THEREFORE, if the Pnncipal shall promptly make payment to all persons, firms,
subcontractors, and corporations furnishing materials for or performing labor in the prosecution of the
work provided for in such contract, and any authorized extension or modification thereof, including all
amounts due for materials, lubricants, oil, gasoline, coal and coke, repairs on machines, equipment and
tools, consumed or used in connection with the construction of such work, and all insurance premiums
on said work, and for all labor, performed in such work whether by subcontractor or otherwise, then this
obligation shall be void, otherwise to remain in full force and effect
PROVIDED, FURTHER, that the said surety, for value received hereby stipulates and agrees that no
change, extension of time, alteration or addition to the terms of the contract or to the work to be
performed thereunder or the specifications accompanying the same shall in anywise affect its obligation
on this bond, and it does hereby waive notice of any such change, extension of time, alteration or
addition to the terms of the contract or to the work or to the specifications
PROVIDED, FURTHER, that no final settlement between the Owner and Contractor shall abndge the
right of any beneficiary hereunder, whose claim may be unsatisfied
49
IN WITNESS WHEREOF, this instrument is executed in six (6) counterparts, each one of which shall
be deemed an original, this the day of 20
ATTEST
Principal
(Pnncipal) Secretary
(SEAL) By.
Witness as to Pnncipal
ATTEST
(Surety) Secretary
(SEAL)
Witness as to Surety
(Address)
(Address)
Surety
By.
Attorney-in-fact
co
(Address)