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Home My WebLink AboutQuality Fence Company Inc; 1997-11-21; 030c CITY OF CARLSBAD San Diego County California C OPEN MARKET CONTRACT DOCUMENTS AND SPECIAL PROVISIONS FOR PINE FIELD FENCING/BACKSTOPS PROJECT CONTRACT NO. 030 3/1/96 TABLE OF CONTENTS Item Page NOTICE INVITING BIDS 1 CONTRACTOR'S PROPOSAL 4 DESIGNATION OF SUBCONTRACTORS 8 BIDDER'S STATEMENT OF FINANCIAL RESPONSIBILITY 10 BIDDER'S STATEMENT OF TECHNICAL ABILITY AND EXPERIENCE 11 BIDDER'S CERTIFICATE OF INSURANCE 12 BIDDER'S STATEMENT RE: DEBARMENT 13 NON-COLLUSION AFFIDAVIT TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID. 14 OPEN MARKET CONTRACT - PUBLIC WORKS 15 REPRESENTATION AND CERTIFICATION 22 ESCROW AGREEMENT FOR SURETY DEPOSITS IN LIEU OF RETENTION 23 RELEASE FORM 26 SPECIAL PROVISIONS I. SUPPLEMENTARY GENERAL PROVISIONS TO STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION 28 II SUPPLEMENTARY SPECIFICATIONS FOR FENCING/BACKSTOP, INSTALLATION AND REPLACEMENT 36 • 3/1/96 CITY OF CARLSBAD, CALIFORNIA NOTICE INVITING BIDS Sealed bids will be received at the Office of the Purchasing Officer, City Hall, 1200 Carlsbad Village Drive (formerly Elm Avenue), Carlsbad, California, until 5:00 P.M. on the 16th day of October, 1997, for performing the work as follows: PINE FIELD FENCING/BACKSTOPS PROJECT OPEN MARKET CONTRACT NO. 030 The work shall be performed in strict conformity with the specifications on file with the Community Services Department. The specifications for the work include the Standard Specifications of Public Works Construction. (SSPWC), 1994 Edition, and the latest supplement, hereinafter designated "SSPWC", as issued by the Southern California Chapter of the American Public Works Association and as amended by the special provisions sections of this contract. Reference is hereby made to the specifications for full particulars and description of the work. The City of Carlsbad encourages the participation of minority and women-owned businesses. The City of Carlsbad encourages all bidders, suppliers, manufacturers, fabricators and contractors to utilize recycled and recyclable materials when available and where appropriate. The City of Carlsbad may disqualify a contractor or subcontractor from participating in bidding, when a contractor or subcontractor has been debarred by another jurisdiction in California as an irresponsible bidder. No bid will be received unless it is made on a proposal form furnished by the Purchasing Department. The documents which must be completed, properly executed, and notarized are: 1. Contractor's Proposal 6. Bidder's Statement of Technical Ability and 2. Non-Collusion Affidavit Experience 3. Designation of Subcontractors 7. The Open Market Contract-Public Works 4. Amount of Subcontractors Bids 8. Purchasing Department Representation and 5. Bidder's Statement of Financial Certification Responsibility 9. Escrow Agreement for Security Deposits (optional) All bids will be compared on the basis of the Engineer's Estimate. The estimated quantities are approximate and serve solely as a basis for the comparison of bids. The City's Estimate is $ 19.500 No bid shall be accepted from a contractor who is not licensed in accordance with the provisions of California state law. The contractor shall state their license number, expiration date and classification in the proposal, under penalty of perjury. The following classifications are acceptable for this contract A. C-13 in accordance with the provisions of state law. A City of Carlsbad Business License is required for all contractors and sub contractors. If the Contractor intends to utilize the escrow agreement included in the contract documents in lieu of the usual 10% retention from each payment, these documents must be completed and 1 3/1/96 lieu of the usual 10% retention from each payment, these documents must be completed and submitted with the signed contract. The escrow agreement may not be substituted at a later date. Special provisions, and Contract documents may be obtained at the Purchasing Department, City Hall, 1200 Carlsbad Village Drive (formerly Elm Avenue), Carlsbad, California, for a non- refundable fee of $ 10.00 per set. If plans and specifications are to be mailed, the cost for postage should be added. The City of Carlsbad reserves the right to reject any or all bids and to waive any minor irregularity or informality in such bids. The general prevailing rate of wages for each craft or type of worker needed to execute the Contract shall be those as determined by the Director of Industrial Relations pursuant to the Sections 1770, 1773, and 1773.1 of the Labor Code. Purs'uant to Section 1773.2 of the Labor Code, a current copy of applicable wage rates is on file in the Office of the Community Services Director. The Contractor to whom the Contract is awarded shall not pay less than the said specified prevailing rates of wages to all workers employed by him or her in the execution of the Contract. The Prime Contractor shall be responsible for insuring compliance with provisions of Section 1777.5 of the Labor Code and Section 4100 et seq. of the Public Contracts Code, "Subletting and Subcontracting Fair Practices Act." The Community Service Director is the City's "duly authorized officer" for the purposes of Section 4107 and 4107.5. The provisions of Part 7, Chapter 1, of the Labor Code commencing with Section 1720 shall apply to the Contract for work. A mandatory pre-bid meeting and tour of the project site will _, will not X be held. All bids are to be computed on the basis of the given estimated quantities of work, as indicated in this proposal, times the unit price as submitted by the bidder. In case of a discrepancy between words and figures, the words shall prevail. In case of an error in the extension of a unit price, the corrected extension shall be calculated and the bids will be computed as indicated above and compared on the basis of the corrected totals. All prices must be in ink or typewritten. Changes or corrections may be crossed out and typed or written in with ink and must be initialed in ink by a person authorized to sign for the Contractor. Bidders are advised to verify the issuance of all addenda and receipt thereof one day prior to bidding. Submission of bids without acknowledgment of addenda may be cause of rejection of bid. Insurance is to be placed with insurers that have (1) a rating in the most recent Best's Key Rating Guide of at least A-:V, and (2) are admitted and authorized to transact the business of insurance in the State of California by the Insurance Commissioner. Auto policies offered to meet the specification of this contract must: (1) meet the conditions stated above for all insurance companies and (2) cover any vehicle used in the performance of the contract, used onsite or offsite, whether owned, non-owned or hired, and whether scheduled or non- scheduled. The auto insurance certificate must state the coverage is for "any auto" and cannot be limited in any manner. Workers' compensation insurance required under this contract must be offered by a company 2 3/1/96 meeting the above standards with the exception that the Best's rating condition is waived. The City does accept policies issued by the State Compensation Fund meeting the requirement for workers' compensation insurance. The Contractor shall be required to maintain insurance as specified in the Contract. Any additional cost of said insurance shall be included in the bid price. The award of the contract is contingent upon the Contractor submitting the required insurance as described in the contract, within twenty days. If the contractor fails to comply with these requirements, the City may award the contract to the second or third lowest bidder. The prime contractor and subcontractors are required to have and maintain a valid City of Carlsbad Business License for the duration of the contract. BY SUBMITTING A BID YOU ARE INDICATING THAT YOU ARE CAPABLE OF- AND WILLING TO OBTAIN INSURANCE THAT MEETS THESE REQUIREMENTS. WORK ON THIS PROJECT WILL NOT BEGIN UNTIL THE SUCCESSFUL BIDDER HAS SUBMITTED PROOF THAT THE PROPER INSURANCE HAS BEEN OBTAINED. PROOF OF PROPER INSURANCE MUST BE RECEIVED BY THE CITY WITHIN 20 BUSINESS DAYS OF NOTIFICATION OF AWARD, OR AWARD MAY BE WITHDRAWN. Dat§ Fletcher, Purchasing Officer 3/1/96 CITY OF CARLSBAD OPEN MARKET CONTRACT NO. CONTRACTOR'S PROPOSAL City of Carlsbad 1200 Carlsbad Village Drive Carlsbad, California 92008 The undersigned declares he/she has carefully examined the location of the work, read th'e Notice Inviting Bids, examined the Plans and Specifications, and hereby proposes to furnish all labor, materials, equipment, transportation, and services required to do all the work to complete Open Market Contract No. 025 in accordance with the Plans and Specifications of the City of Carlsbad, and the Special Provisions and that he/she will take in full payment therefor the following unit prices for each item complete, to wit: Approximate Item Quantity Unit No. Description and Unit Price Total 1. Pine Field Fencing/Backstops Total amount of bid in words: fiC&Ttt*1 TKoo-s*u* Mvc iwgrco uiMVy z-^r po>)*»rS. Total amount of bid in numbers: $ \&}cic(^0~ IA/IP* Price(s) given above are firm for 90 days after date of bid opening. i& Addendum(a) No(s). ~" • has/have been received and is/an included in this proposal. The Undersigned has checked carefully all of the above figures and understands that the City will not be responsible for any error or omission on the part of the Undersigned in preparing this bid. The Undersigned agrees that in case of default in executing the required Contract with necessary [ ] Bonds [applicable only if checked] and insurance polices within twenty (20) days from the date of award of contract by the City the City may, administratively authorize the award of the contract to the second or third lowest bidder. The Undersigned bidder declares, under penalty of perjury, that the undersigned is licensed to do business or act in the capacity of a contractor within the State of California, validly licensed under license number 38 37 3£ , classification £-13 which expires on to -^e , and that this statement is true and correct and has the legal effect of an affidavit. A bid submitted to the City by a Contractor who is not licensed as a contractor pursuant to the 4 3/1/96 Business and Professions Code shall be considered nonresponsive and shall be rejected by the City. ' 7028.15(e). In all contracts where federal funds are involved, no bid submitted shall be invalidated by the failure of the bidder to be licensed in accordance with California law. However, at the time the contract is awarded, the contractor shall be properly licensed. Public Contract Code'20104. •C The Undersigned bidder hereby represents as follows: 1. That no Council member, officer agent, or employee of the City of Carlsbad is personally interested, directly or indirectly, in this Contract, or the compensation to be paid hereunder; that no representation, oral or in writing, of the City Council, its officers, agents, or employees has inducted him/her to enter into this Contract, excepting only those contained in this form of Contract and the papers made a part hereof by its terms; and 2. That this bid is made without connection with any person, firm, or corporation making a bid for the same work, and is in all respects fair and without collusion or fraud. The Undersigned is aware of the provisions of Section 3700 of the Labor Code which requires every employer to be insured against liability for workers' compensation or to undertake self- insurance in accordance with the provisions of that code, arid agrees to comply with such provisions before commencing the performance of the work of this Contract and continue to comply until the contract is complete. The Undersigned is aware of the provisions of the Labor Code, Part 7, Chapter 1, Article 2, relative to the general prevailing rate of wages for each craft or type of worker needed to execute the Contract and agrees to comply with its provisions. IF A SOLE OWNER OR SOLE CONTRACTOR SIGN HERE: (1) Name under which business is conducted (2) Signature (given and surname) of proprietor (3) Place of Business (Street and Number) City and State (4) Zip Code Telephone No. 3/1/96 IF A PARTNERSHIP. SIGN HERE: (1) Name under which business is conducted (2) Signature (given and surname and character of partner) (Note: Signature must be made by a general partner) (3) Place of Business City and State (4) Zip Code (Street and Number) Telephone No. IF A CORPORATION. SIGN HERE: (1) Name under which business is conducted PV 1 1 TV _ ^fc^/QCg^ C_ (2)u) C Signature Title Impress Corporate Seal here (3) Incorporated under the laws of the State of. (4) Place of Business City and State. (5) Zip Code (Street and Number) Telephone No. %QO- 3/1/96 G. c Date With respect to work performed in connection with Section 3 covered Indian housing assistance, section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and section 7(b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b). DOROTHY E. BARTON^- COMM.#1135716 <Q NOTAHYPgBUC-CAUFORNIA S tOSANQELESCOUNTY 2 Date Contractor's/Officer's Signature (notary required) ^ ^ Contractor's/Officer's Name and Title Project (Please Type or Print) Note: The person signing must be authorized by owner, developer or contractor to carry out the Contractor's Section 3 Area Economic Opportunity Plan. A:\Sect 3 Plan Revised: March 1997 NOTARIAL ACKNOWLEDGEMENT OF EXECUTION BY ALL SIGNATORIES MUST BE ATTACHED C List below names of president, vice president, secretary and assistant secretary, if a corporation; if a partnership, list names of all general partners, and managing partners: 60 | j \rf g., C . 3/1/96 DESIGNATION OF SUBCONTRACTORS (To Accompany Proposal) The Contractor certifies he/she has used the sub-bids of the following listed Contractors in ma^'n9 UP his/her bid and that the sub-contractors listed will be used for the work for which they bid, subject to the approval of the Community Services Director, and in accordance with applicable provisions of the specifications and Section 4100 et seq. of the Public Contracts CodeC "Subletting and Subcontracting Fair Practices Act." No changes may be made in these subcontractors except upon the prior approval of the Community Services Director of the City of Carlsbad. The following information is required for each sub-contractor. Additional pages can be attached if required: This project does/\ does not have bid items designated as "SPECIALTY ITEMS." Items of Complete Address Phone No. Work Full Company Name with Zip Code & Area Code 8 3/1/96 AMOUNT OF SUBCONTRACTORS' BIDS (To Accompany Proposal) The bidder is to provide the following information on the subbids of all the listed subcontractors as part of the sealed bid submission. Additional pages can be attached, if required. Type of State Contracting Carlsbad Business Amount of Bid Full Company Name License & No. License No.* ($ or %) Licenses are renewable annually. If no valid license, indicate "NONE." Valid license must be obtained prior to submission of signed Contracts. 3/1/96 BIDDER'S STATEMENT OF FINANCIAL RESPONSIBILITY (To Accompany Proposal) Copies of the latest Annual Report, audited financial statements or balance sheets may be submitted under separate cover marked "CONFIDENTIAL." Co * /? S~lQ/>/-e->i 10 3/1/96 BIDDER'S STATEMENT OF TECHNICAL ABILITY AND EXPERIENCE (To Accompany Proposal) The Bidder is required to state what work of a similar character to that included in the proposed Contract he/she has successfully performed and give references, with telephone numbers, which will enable the City to judge his/her responsibility, experience and skill. An attachment can be used. Date Contract Completed Name and Address of the Employer Name and Phone No. of Person to Contract Type of Work Amount of Contract er c*x.hra*J tfil en- Jl 73j ?/?•*? ntr s' C~ fZ«5T5 TV i'ft'Jt JOS'*100,000 fd 7 mi Al Ch HI? IVft "5 je> -\Sooo ac.-rm?JVi j 0,000 HL- 1*17 10,000 11 3/1/96 PRODUCER AOOIUI. CERTIFICATE OF INSURANCE ^NDA 0*5*2 Cooper & Price Drive #200 an Bernardino CA 92404-5544 INSURED UALITY FENCE COMPANY NC 0933 S GARFIELD PLACE OUTH GATE, CA 90280 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. COMPANIES AFFORDING COVERAGE COMPANY A VALLEY FORGE INS CO/CNA LETTER COMPANY B MERCURY CASUALTY COMPANY** LETTER COMPANY CAL COMP INS CO*** COMPANY LETTER COMPANY LETTER TYPEOFWSURAHCE POLICY NUMBER POLICY EFFECTIVE MTE (MM/DO/YY) POUCY EXPIRATION DATE (MM/DO/YY)UNITS GENERAL UABIUTY GENERAL UABIUTY 1043806638 01/09/97 01/09/98 QENERAlAGaREGATE t 2,OQO.OOC PROOUCm^BOMP/OPAGG. S 1,OOQ,OOC PERSONAL* ADV. INJURY OWNEW6 ft CONTRACTOR'S PROT. PER JOB AG EACH OCCURRENCE * 1,000,OOC FIRE DAMAGE (Any on* fire) MED.EXP. (Any one person) 50.00C 5.00C i AUTOMOBILE UABIUTY /^WYAUTO ALL OWNED AUTOS SCHEDULED AUTOS HIRED AUTOS NON-OWNED AUTOS GARAGE UABIUTY AC11016535 01/09/97 01/09/98 COMBINED S9«3UE UMfT 1,000,000 BODILY BWURY Per person) BODILY INJURY (Peracddenr) PROPERTY DAMAGE EXCESS UABIUTY UMBRELLA FORM OTHER THAN UMBRELLA FORM EACH OCCURRENCE AGGREGATE WORKER'S COMPENSATION AND EMPLOYERS' UABIUTY W961132453 01/09/97 01/09/98 I STATUTORY LIMITS EACH ACCIDENT 1,000,OOC DISEASE-POLICY L*HT * 1,000,OOC DISEASE-EACH EMPLOYEE |$ 1,000,001 oTHEpROPERTY 1043806638 01/09/97 01/09/98 SEE BELOW IF APPLICABLE DESCRIPTION OF OPERATIONS/LOCATIONS/VEHICLES/SPECIAL ITEMS \LL OPS PERTAINING TO NAMED INSURED FOR CERT HLDR AS COVERED BY THESE POLICIES 30 DAYS NOTICE OF CANCELLATION EXCEPT 10 DAYS FOR NONPAYMENT OF PREMIUM CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POUCIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL 3SSBSKEXK MAIL 3Q DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE X)8H£K93!KHK!U<5QKX£X3^^ AUTHORIZED REPRESENTATIVE ©ACORD CORPORATION 19* BIDDER'S CERTIFICATE OF INSURANCE FOR GENERAL LIABILITY, EMPLOYERS' LIABILITY, AUTOMOTIVE LIABILITY AND WORKERS' COMPENSATION « (To Accompany Proposal) •W 12 3/1/96 BIDDER'S STATEMENT RE DEBARMENT (To Accompany Proposal) ^ 1. Have you or any of your subcontractors ever been debarred as an irresponsible bidder by !*"* another jurisdiction in the State of California? yes no 2. If yes, what was the name of the agency and what was the period of debarment? party debarred agency period of debarment 13 3/1/96 State of California County of NON-COLLUSION AFFIDAVIT TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID PUBLIC CONTRACT CODE SECTION 7106 ) ) ss. Co (Name of Bidder) and says that he or she is _, being first duly sworn, deposes (Title) Of (Name of Firfn) the party making the foregoing bid that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. I declare under penalty of perjury that the foregoing is true and correct and that this affidavit was executed on the /<3 -^ day of {(J?$"HLi4-s , 19 $7. OJ C Subscribed and sworn to before me on the Signature of Bidder day of (NOTARY SEAL) DOROTHY E. BARTON COMM. #1135716 NOTARY PUBLIC-CALIFORNIA LOSANQELESCOUNTY MyConrnExpimtAptia6.2001 Signature of Nota 14 3/1/96 OPEN MARKET CONTRACT- PUBLIC WORKS This agreement is made this &\ aJC day of //9px>e^v^rv 19J2_Z_. by and between the City of Carlsbad, California, a municipal corporation, (hereinafter called "City"), and Quality Fence Company, Inc. _ whose principal place of business is 10933 Garfield Place, South Gate, CA 90280 _ (hereinafter called "Contractor".) City and Contractor agree as follows: 1. Description of Work. Contractor shall perform all work specified in the Open Market Contract documents for: Backstop fencing replacement and additions per plans. (hereinafter called "project") 2. Provisions of Labor and Materials. Contractor shall provide all labor, materials, tools, equipment, and personnel to perform the work specified by the Open Market Contract Documents. 3. Open Market Contract Documents. The Open Market Contract Documents consist of this Contract, Notice Inviting Bids, Contractor's Proposal, Designation of Subcontractors, Bidder's Statements of Financial Responsibility and Technical Ability, Non-collusion Affidavit, Escrow Agreement, Release Form, the Plans and Specifications, the Special Provisions, and all proper amendments and changes made thereto in accordance with this Contract or the Plans and Specifications, and all bonds for the project; all of which are incorporated herein by this reference. Contractor, her/his subcontractors, and materials suppliers shall provide and install the work as indicated, specified, and implied by the Open Market Contract Documents. Any items of work not indicated or specified, but which are essential to the completion of the work, shall be provided at the Contractor's expense to fulfill the intent of said documents. In all instances through the life of the Contract, the City will be the interpreter of the intent of the Open Market Contract Documents, and the City's decision relative to said intent will be final and binding. Failure of the Contractor to apprise subcontractors and materials suppliers of this condition of the Contract will not relieve responsibility of compliance. 4. Payment. For all compensation for Contractor's performance of work under this Contract, City shall make payment to the Contractor per Section 9-3 of the Standard Specifications for Public Works Construction (SSPWC) 1994 Edition, and the latest supplement, hereinafter designated "SSPWC", as issued by the Southern California Chapter of the American Public Works Association, and as amended by the Special Provisions section of this contract. The closure date for each monthly invoice will be the 30th of each month. Invoices from the Contractor shall be submitted according to the required City format to the City's assigned project manager no later than the 5th day of each month. Payments will be delayed if invoices are received after the 5th of each month. The final retention amount shall not be released until the expiration of thirty-five (35) days following the recording of the Notice of Completion pursuant to California Civil Code Section 3184. 15 3/1/96 Public Contract Code section 20104.50 requires a summary of its contents to be set forth in the terms of the contract. Below is such a summary. However, contractor should refer to Public Contract Code section 20104.50 for a complete statement of the law. The city shall make progress payments within 30 days after receipt of an undisputed and properly submitted payment request from a contractor on a construction contract. If payment is not made within 30 days after receipt of an undisputed and properly submitted payment request, then the city shall pay interest to the contractor equivalent to the legal rate set forth in subdivision (a) of section 685.010 of the Code of Civil Procedure. Upon receipt of a payment request, the city shall, as soon as practicable after receipt, determine whether the payment request is a proper payment request. If the city determines that the payment request is not proper, then the request shall be returned to the contractor as soon as practicable but not later than seven (7) days after receipt. The returned request shall be accompanied by a document setting forth in writing the reasons why the payment request was not proper. If the city fails to return the denied request within the seven (7) day time limit, then the number of days available to the city to make payment without incurring interest shall be reduced by the number of days by which the city exceeds the seven (7) day return requirement. "Progress payment" includes all payments due contractors except that portion of the final payment designated by the contract as "retention earnings". A completed and executed release form in the form described in this contract hereinafter "Release Form," shall be submitted prior to approval of each progress payment. The contractor shall list all disputed claims or potentially disputed claims which arise during the pay period. The purpose of the Release Form is to bring timely attention to areas of dispute or potential dispute between the contractor and the City for the pay period. Failure of the contractor to submit a completed and executed Release Form shall constitute the contractor's acknowledgment that no disputes of any type have arisen that pay period or remain from previous pay periods and the contractor waives all future rights in making claims for disputes arising in those pay periods. All previous and new disputed claims or potentially disputed claims shall be listed on the Release Form until such time as the disputed claims are resolved. The contractor shall not modify the Release Form in any way. 5. Independent Investigation. Contractor has made an independent investigation of the jobsite, the soil conditions at the jobsite, and all other conditions that might affect the progress of the work, and is aware of those conditions. The Contract price includes payment for all work that may be done by Contractor, whether anticipated or not, in order to overcome underground conditions. Any information that may have been furnished to Contractor by City about underground conditions or other job conditions is for Contractor's convenience only, and City does not warrant that the conditions are as thus indicated. Contractor is satisfied with all job conditions, including underground conditions and has not relied on information furnished by City. 6. Contractor Responsible for Unforeseen Conditions. Contractor shall be responsible for all loss or damage arising out of the nature of the work or from the action of the elements or from any unforeseen difficulties which may arise or be encountered in the prosecution of the work until its acceptance by the City. Contractor shall also be responsible for expenses incurred in the suspension or discontinuance of the work. However, Contractor shall not be responsible for reasonable delays in the completion of the work caused by 16 3/1/96 acts of God, stormy weather, extra work, or matters which the specifications expressly stipulate will be borne by City. 7. Hazardous Waste or Other Unusual Conditions. If the contract involves digging trenches or other excavations that extend deeper than four feet below the surface Contractor shall promptly, and before the following conditions are disturbed, notify City, in writing, of any: A. Material that Contractor believes may be material that is hazardous waste, as defined in Section 25117 of the Health and Safety Code, that is required to be removed to a Class I, Class II, or Class III disposal site in accordance with provisions of existing law. B. Subsurface or latent physical conditions at the site differing from those indicated. C. Unknown physical conditions at the site of any unusual nature, different materially from those ordinarily encountered and generally recognized as inherent in work of the character provided for in the contract. City shall promptly investigate the conditions, and if it finds that the conditions do materially so differ, or do involve hazardous waste, and cause a decrease or increase in contractor's costs of, or the time required for, performance of any part of the work shall issue a change order under the procedures described in this contract. In the event that a dispute arises between City and Contractor whether the conditions materially differ, or involve hazardous waste, or cause a decrease or increase in the contractor's cost of, or time required for, performance of any part of the work, contractor shall not be excused from any scheduled completion date provided for by the contract, but shall proceed with all work to be performed under the contract. Contractor shall retain any and all rights provided either by contract or by law which pertain to the resolution of disputes and protests between the contracting parties. 8. Change Orders. City may, without affecting the validity of the Contract, order changes, modifications and extra work by issuance of written change orders. Contractor shall make no change in the work without the issuance of a written change order, and Contractor shall not be entitled to compensation for any extra work performed unless the City has issued a written change order designating in advance the amount of additional compensation to be paid for the work. If a change order deletes any work, the Contract price shall be reduced by a fair and reasonable amount. If the parties are unable to agree on the amount of reduction, the work shall nevertheless proceed and the amount shall be determined by litigation. The only person authorized to order changes or extra work is the Project Manager. The written change order must be executed by the City Manager pursuant to Carlsbad Municipal Code Section 3.28.172. 9. Immigration Reform and Control Act. Contractor certifies he is aware of the requirements of the Immigration Reform and Control Act of 1986 (8 USC Sections 1101-1525) and has complied and will comply with these requirements, including, but not limited to, ve'fving the eligibility for employment of all agents, employees, subcontractors, and consL ^nts that are included in this Contract. 10. Prevailing Wage. Pursuant to the California Labor Code, the director of the Department of Industrial Relations has determined the general prevailing rate of per diem wages in accordance with California Labor Code, Section 1773 and a copy of a schedule of said general prevailing wage rates is on file in the office of the Community Services Director, and is incorporated by reference herein. Pursuant to California Labor Code, Section 1775, Contractor shall pay prevailing wages. Contractor shall post copies of all applicable prevailing wages on the job site. 11. Indemnification. Contractor shall assume the defense of, pay all expenses of defense, 17 3/1/96 and indemnify and hold harmless the City, and its officers and employees, from all claims, loss, damage, injury and liability of every kind, nature and description, directly or indirectly arising from or in connection with the performance of the Contractor or work; or from any failure or alleged failure of Contractor to comply with any applicable law, rules or regulations including those relating to safety and health; except for loss or damage which was caused solely by the active negligence of the City; and from any and all claims, loss, damages, injury and liability, howsoever the same may be caused, resulting directly or indirectly from the nature of the work covered by the Contract, unless the loss or damage was caused solely by the active negligence of the City. The expenses of defense include all costs and expenses including attorneys fees for litigation, arbitration, or other dispute resolution method. Contractor shall also defend and indemnify the City against any challenges to the award of the contract to Contractor, and Contractor will pay all costs, including defense costs for the City. Defense costs include the cost of separate counsel for City, if City requests separate counsel. 12. Insurance. Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damage to property which may arise from or in connection with the performance of the work hereunder by the Contractor, his agents, representatives, employees or subcontractors. . Said insurance shall meet the City's policy for insurance as stated in Resolution No. 91-403. (A) COVERAGES AND LIMIT-: Contractor shall maintain the types of coverages and minimum limits indicted herein: 1. Comprehensive General Liability Insurance: $1,000,000 combined single limit per occurrence for bodily injury and property damage. If the policy has an aggregate limit, a separate aggregate in the amounts specified shall be established for the risks for which the City or its agents, officers or employees are additional insureds. 2. Automobile Liability Insurance: $1,000,000 combined single limit per accident for bodily injury and property damage. In addition, the auto policy must cover any vehicle used in the performance of the contract, used onsite or offsite, whether owned, non-owned or hired, and whether scheduled or non-scheduled. The auto insurance certificate must state the coverage is for "any auto" and cannot be limited in any manner. 3. Workers' Compensation and Employers' Liability Insurance: Workers' compensation limits as required by the Labor Code of the State of California and Employers' Liability limits of $1,000,000 per incident. Workers' compensation offered by the State Compensation Insurance Fund is acceptable to the City. (B) ADDITIONAL PROVISIONS- Contractor shall ensure that the policies of insurance required under this agreement contain, or are endorsed to contain, the following provisions. General Liability and Automobile Liability Coverages: 1. The City, its officials, employees and volunteers are to be covered as additional insureds as respects: liability arising out of activities performed by or on behalf of the Contractor; products and completed operations of the contractor; premises owned, leased, hired or borrowed by the contractor. The coverage shall contain no special limitations on the scope of protection afforded to the City, its officials, employees or volunteers. 18 3/1/96 2. The Contractor's insurance coverage shall be primary insurance as respects the City, its officials, employees and volunteers. Any insurance or self-insurance maintained by the City, its officials, employees or volunteers shall be in excess of the contractor's insurance and shall not contribute with it. 3. Any failure to comply with reporting provisions of the policies shall not affect coverage provided to the City, its officials, employees or volunteers. 4. Coverage shall state that the contractor's insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability. (C) "CLAIMS MADE" POLICIES- If the insurance is provided on a "claims made" basis, coverage shall be maintained for a period of three years following the date of completion of the work. (D) NOTICE OF CANCELLATION- Each insurance policy required by this agreement shall be endorsed to state that coverage shall not be suspended, voided, canceled, or reduced in coverage or limits except after thirty (30) days' prior written notice has been given to the City by certified mail, return receipt requested. (E) DEDUCTIBLES AND SELF-INSURED RETENTION (S.I.R.) LEVELS- Any deductibles or self-insured retention levels must be declared to and approved by the City. At the option of the City, either: the insurer shall reduce or eliminate such deductibles or self-insured retention levels as respects the City, its officials and employees; or the contractor shall procure a bond guaranteeing payment of losses and related investigation, claim administration and defense expenses. (F) WAIVER OF SUBROGATION- All policies of insurance required under this agreement shall contain a waiver of all rights of subrogation the insurer may have or may acquire against the City or any of its officials or employees. (G) SUBCONTRACTORS- Contractor shall include all subcontractors as insured under its policies or shall furnish separate certificates and endorsements for each subcontractor. Coverages for subcontractors shall be subject to all of the requirements stated herein. (H) ACCEPTABILITY OF INSURERS- Insurance is to be placed with insurers that have a rating in Best's Key Rating Guide of at least A-:V, and are authorized to transact the business of insurance by the Insurance Commissioner under the standards specified in by the City Council in Resolution No. 91-403. (I) VERIFICATION OF COVERAGE- Contractor shall furnish the City with certificates of insurance and original endorsements affecting coverage required by this clause. The certificates and endorsements for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificates and endorsements are to be in forms approved by the City and are to be received and approved by the City before work commences. (J) COST OF INSURANCE- The Cost of all insurance required under this agreement shall be included in the Contractor's bid. 13. Claims and Lawsuits. All claims by contractor for $375,000 or less shall be resolved in accordance with the provisions in the Public Contract Code, Division 2, Part 3, Chapter 1, Article 1.5 (commencing with section 20104) which are incorporated by reference. A copy 19 3/1/96 of Article 1.5 is included in the Special Provisions I section. The contractor shall initially submit all claims over $375,000 to the City using the informal dispute resolution process described in Public Contract Code subsections 20104.2(a), (c), (d). Notwithstanding the provisions of this section of the contract, all claims shall comply with the Government Tort Claim Act (section 900 et sea., of the California Government Code) for any claim or cause of action for money or damages prior to filing any lawsuit for breach of this agreement. (A) Contractor hereby agrees that any contract claim submitted to the City must be asserted as part of the contract process as set forth in this agreement and not in anticipation of litigation or in conjunction with litigation. (B) Contractor acknowledges that if a false claim is submitted to the City, it may be considered fraud and the Contractor may be subject to criminal prosecution. (C) Contractor acknowledges that California Government Code sections 12650 et sea.. the False Claims Act, provides for civil penalties where a person knowingly submits a false claim to a public entity. These provisions include false claims made with deliberate ignorance of the false information or in reckless disregard of the truth or falsity of the information. (D) If the City of Carlsbad seeks to recover penalties pursuant to the False Claims Act, it is entitled to recover its litigation costs, including attorney's fees. (E) Contractor hereby acknowledges that the filing of a false claim may subject the Contractor to an administrative debarment proceeding wherein the Contractor may be prevented from further bidding on public contracts for a period of up to five years. (F) The provisions of Carlsbad Municipal Code sections 3.32.025, 3.32.026, 3.32.027 and 3.32.028 pertaining to false claims are incorporated herein by reference. (G) Contractor hereby acknowledges that debarment by another jurisdiction is grounds for the City of Carlsbad to disqualify the Contractor or subcontractor from participating in contract bidding. have read and understand all provisions of Section 13 above. yky^ 14. Maintenance of Records. Contractor shall maintain and make available at no cost to the City, upon request, records in accordance with Sections 1776 and 1812 of Part 7, Chapter 1, Article 2, of the Labor Code. If the Contractor does not maintain the records at Contractor's principal place of business as specified above, Contractor shall so inform the City by certified letter accompanying the return of this Contract. Contractor shall notify the City by certified mail of any change of address of such records. 15. Labor Code Provisions. The provisions of Part 7, Chapter 1, commencing with Section 1720 of the Labor Code are incorporated herein by reference. 16. Security. Securities in the form of cash, cashier's check, or certified check may be substituted for any monies withheld by the City to secure performance of this contract for any obligation established by this contract. Any other security that is mutually agreed to by the Contractor and the City may be substituted for monies withheld to ensure performance under this Contract. 17. Provisions Required bv Law Deemed Inserted. Each and every provision of law and clause required by law to be inserted in this Contract shall be deemed to be inserted herein and included herein, and if, through mistake or otherwise, any such provision is not 20 3/1/96 inserted, or is not correctly inserted, then upon application of either party, the Contract shall forthwith be physically amended to make such insertion or correction. 18. Additional Provisions. Any additional provisions of this agreement are set forth in the "General Provisions" or "Special Provisions" attached hereto and made a part hereof. NOTARIAL ACKNOWLEDGEMENT OF EXECUTION BY ALL SIGNATORIES MUST BE ATTACHED (CORPORATE SEAL) Contractor/ jjjlU /Rsm Print Name of Signatory / Cu.Siqn;ignature of Signatory Print Name of Signatory Signature of Signatory Title CITY OF CARLSBAD, CALIFORNIA __ Assistant City Manager DOROTHY E. BARTON COMM.#1t35716 NOTARY PUBLIC- CALIFORNIA LOS ANGELES COUNTY My Conrn Expire* Apti 26.2001 / 21 3/1/96 ^Stf* CITY OF CARLSBAD Purchasing Department 1200 Carlsbad Village Drive Carlsbad CA 92008 REPRESENTATION AND CERTIFICATION The following representation and certification should be completed, signed and returned to City of Carlsbad. REPRESENTATIONS: Mark all applicable blanks. This offerer represents as part of this offer that the ownership, operation and control of the business, in accordance with the specific definitions listed below is: (Check appropriate Ethnic Ownership Type) ETHNIC CODES Caucasian Black Hispanic Asian-Pacific Native-American Asian-Indian MALE X FEMALE >< Are you currently certified by CALTRANS? YES NO X Certification #: CERTIFICATION OF BUSINESS REPRESENTATIONS: Mark all applicable blanks. This offerer represents as a part of this offer that: This firm is , is not X a minority business. This firm is , is not X a woman-owned business. DEFINITIONS: MINORITY BUSINESS ENTERPRISE: "Minority Busi- nef*""" js defined as a business, at least 51 percent of wrihsn is owned, operated and controlled by minority group members, or in the case of publicly owned businesses, at least 51 percent of which is owned, operated and controlled by minority group members. The Small Business Administration defines the socially and economically disadvantaged (minorities) as Black American, Hispanic American, Native Americans (i.e. American Indian, Eskimos, Aleuts and Native Hawaiians), and Asian-Pacific Americans (i.e., U.S. Citizens whose origins are from Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territories of the Pacific, Northern Marianas, Laos, Cambodia and Taiwan). CERTIFICATION: The information furnished is certified to be factual and correct as of the date submitted. QiUnliTy i^gtfcg, Q? COMPANY'NAME WOMAN-OWNED BUSINESS: A woman-owned busi- ness is a business of which at least 51 percent is owned, controlled and operated by a woman or women. Controlled is defined as exercising the power to make policy decisions. Operation is defined as actually involved in the day-to-day management. FIRM'S PRIMARY PRODUCTS OR SERVICE: CONSTRUCTION CONTRACTOR: CLASSIFICATION(S):. LICENSE NUMBER: TAXPAYERS I.D. NO. PRINTED NAME ADDRESS TITLE Z. CITY, STATE AND ZIP SIGNATURE /£?• TELEPHONE NUMBER DATE 22 3/1/96 AOOItll CERTIFICATE OF INSURANCE LINDA °4582 PRODUCER Austin Cooper & Price 2131 Elks Drive #200 3an Bernardino CA 92404-5544 INSURED 2UALITY FENCE COMPANY INC 10933 S GARFIELD PLACE SOUTH GATE, CA 90280 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. COMPANIES AFFORDING COVERAGE COMPANY A * VALLEY FORGE INS CO/CNA//// LETTER COMPANY B MERCURY CASUALTY COMPANY** LETTER LETTER COMPANY D 30 DAYS N.O.C. EXCEPT 10 DAYS NONPAY LETTER COMPANY LETTER ********* * *REVISED* * *********** COVERAGES THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD TANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS SUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,3ITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE 3ATE (MM/DD/YY) POLICY EXPIRATION DATE (MM/DD/YY)LIMITS GENERAL LI ABILITY IMERCIAL GENERAL LIABILITY IMS MADE | X [OCCUR. 1043806638 01/09/97 01/09/98 iENERAL AGGREGATE s 2.000.0QC PRODUCTS-COMP/OP AGG.» 1,000,000 PERSONALS ADV. INJURY s 1,000,OOC OWNER'S & CONTRACTOR'S PROT. PER JOB AG EACH OCCURRENCE FIRE DAMAGE (Any one fire) MED.EXP. (Any one person) 1,000,000 50,000 5.000 AUTOMOBILE LIABILITY ANY AUTO ALL OWNED AUTOS SCHEDULED AUTOS HIRED AUTOS NON-OWNED AUTOS GARAGE LIABILITY AC11016535 K K K 01/09/97 01/09/98 COMBINED SINGLE LIMIT 1,000,000 BODILY INJURY Per person) BODILY INJURY Per accident) 'ROPERTY DAMAGE EXCESS LIABILITY UMBRELLA FORM OTHER THAN UMBRELLA FORM EACH OCCURRENCE AGGREGATE WORKER'S COMPENSATION AND EMPLOYERS' LIABILITY W971132453 01/09/97 01/09/98 STATUTORY LIMITS EACH ACCIDENT 1.000.000 DISEASE-POLICY LIMIT $ 1,000,OOC DISEASE-EACH EMPLOYEE s l.OOO.OOC OTHEPROPERTY 1043806638 01/09/97 01/09/98 SEE BELOW IF APPLICABLE DESCRIPTION OF OPERATIONS/LOCATIONS/VEHICLES/SPECIAL ITEMS IE: CONTRACT #030=PINE FIELD FENCING/BACKSTOPS PROJ, OPMEN MARKET; CERT HLDR IS D'L INS/PRIMARY WRDG AS RESPECTS GEN'L LIAB & ADD'L INS AS RESPECTS AUTO LIAB *"THIS INFORMATION IS FOR THE BENEFIT OF THE CERTIFICATE HOLDER ONLY." CERTIFICATE HOLDER CITY OF CARLSBAD PURCHASING DEPT 1200 CARLSBAD VILLAGE DR CARLSBAD CA 92008-1989 CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL 33HKJS35XX MAIL 3D DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, ACORD 25-8(7/90) 'ATIVE ©ACORD CORPORATjgNjaaQ NOU-20-1997 17=08 FROM RUST IN,COOPER & PRICE INS TO 17604341987 P.01 AUSTIN, COOPER & PRICE TKSUSMOCE AGENCY, INC 2131 ELKS DRIVE SUITS f 200 F O BOX 3280 SAN BESNAXDINO, CALIFORNIA 92413 I PBONE (909) 886-9861 FAX (909) 886-2013 LICENSE $0546577 FACSIMILE TRANSMISSION COVER SHEET TO f fie? CI TY OF CARLSBAD, i, KSVIti DAVIS I ' ' ' ' QUALITY FENCE CO DATE: November 20, 1997 FAX NO: 760-434-1997 Enclosed f.idcl Certificate of Insurance for the above.!Original willli Jbe put in today's mail. ; ' regards/; Linda Kay i ; ; Certificate;Coordinator OF PAGES INCLUDING COVER StttitiT OPTIONAL ESCROW AGREEMENT FOR SECURITY DEPOSITS IN LIEU OF RETENTION This Escrow Agreement is made and entered into by and between the City of Carlsbad whose address is 1200 Carlsbad Village Drive, Carlsbad, California, 92008, hereinafter called "City" and whose address is: ' hereinafter called "Contractor" and whose address is: , hereinafter called "Escrow Agent." For the consideration hereinafter set forth, the City, Contractor and Escrow Agent agree as follows: 1. Pursuant to Section 22300 of the Public Contract Code of the State of California, the contractor has the option to deposit securities with the Escrow Agent as a substitute for retention earnings required to be withheld by the City pursuant to the Construction Contract entered into between the City and Contractor for in the amount of dated (hereinafter referred to as the "Contract"). Alternatively, on written request of the contractor, the City shall make payments of the retention earnings directly to the escrow agent. When the Contractor deposits the securities as a substitute for Contract earnings, the Escrow Agent shall notify the City within 10 days of the deposit. The market value of the securities at the time of the substitution shall be a least equal to the cash amount then required to be withheld as retention under the terms of the contract between the City and Contractor. Securities shall be held in the name of the , and shall designate the Contractor as the beneficial owner. 2. The City shall make progress payments to the Contractor for such funds which otherwise would be withheld from progress payments pursuant to the Contract provisions, provided that the Escrow Agent holds securities in the form and amount specified above. 3. When the City makes payment of retentions earned directly to the escrow agent, the escrow agent shall hold them for the benefit of the contractor until such time as the escrow created under this contract is terminated. The contractor may direct the investment of the payments into securities. All terms and conditions of this agreement and the rights and responsibilities of the parties shall be equally applicable and binding when the City pays the escrow agent directly. 4. The contractor shall be responsible for paying all fees for the expenses incurred by the Escrow Agent in administering the Escrow Account and all expenses of the City. These expenses and payment terms shall be determined by the City, Contractor and Escrow Agent. 5. The interest earned on the securities or the money market accounts held in escrow and all interest earned on that interest shall be for the sole account of Contractor and shall be subject to withdrawal by Contractor at any time and from time to time without notice to the City. 6. Contractor shall have the right to withdraw all or any part of the principal in the Escrow Account only by written notice to Escrow Agent accompanied by written authorization from City to the Escrow Agent that City consents to the withdrawal of the amount sought to be withdrawn by Contractor. 7. The City shall have a right to draw upon the securities in the event of default by the 23 3/1/96 Contractor. Upon seven days' written notice to the Escrow Agent from the City of the default, the Escrow Agent shall immediately convert the securities to cash and shall distribute the cash as instructed by the City. 8. Upon receipt of written notification from the City certifying that the Contract is final and complete and that the Contractor has complied with all requirements and procedures applicable to the Contract, the Escrow Agent shall release to Contractor all securities and interest on deposit less escrow fees and charges of the Escrow Account. The escrow shall be closed immediately upon disbursement of all moneys and securities on deposit and payments of fees and charges. 9. The Escrow Agent shall rely on the written notifications from the City and the contractor pursuant to Sections (4) to (6), inclusive, of this agreement and the City and Contractor shall hold Escrow Agent harmless from Escrow Agent's release, conversion and disbursement of the securities and interest as set forth above. 10. The names of the persons who are authorized to give written notices or to receive written notice on behalf of the City and on behalf of Contractor in connection with the foregoing, and exemplars of their respective signatures are as follows: For City: Title Name Signature Address For Contractor: Title Name Signature Address _ For Escrow Agent: Title Name Signature Address 24 3/1/96 At the time the Escrow Account is opened, the City and Contractor shall deliver to the Escrow Agent a fully executed counterpart of this Agreement. IN WITNESS WHEREOF, the parties have executed this Agreement by their proper officers on the date first set forth above. For City:Title Name For Contractor: Signature Address _ Title Name Signature Address For Escrow Agent:Title Name Signature Address 25 3/1/96 RELEASE FORM THIS FORM SHALL BE SUBMITTED PRIOR TO APPROVAL OF MONTHLY PROGRESS PAYMENTS. NAME OF CONTRACTOR: PROJECT DESCRIPTION: PERIOD WORK PERFORMED: RETENTION AMOUNT FOR THIS PERIOD: $ DISPUTED WORK/CLAIMS DESCRIPTION OF DISPUTED WORK/CLAIM AMOUNT CLAIMED (OR ESTIMATE) Contractor further expressly waives and releases any claim Contractor may have, of whatever type or nature, for the period specified which is not shown as disputed work/claim on this form. This release and waiver has been made voluntarily by Contractor without any fraud, duress or undue influence by any person or entity. Contractor is referred to paragraph 4 of the Public Works Contract. Contractor acknowledges full cognizance of the California False Claims Act Government Code Sections 12650-12655 and Carlsbad Municipal Code Section 3.32.025 to 3.32.028 implementing the California False Claims Act and certifies that all claims submitted to the City shall be subject to the provisions of said codes and regulations. 26 3/1/96 Contractor further certifies, warrants, and represents that all bills for labor, materials, and work due Subcontractors for the specified period will be paid according to Public Contract Code Section 20104.50 and Business and Professions Code Section 7108.5 and that the parties signing below on behalf of Contractor have express authority to execute this release. DATED: PRINT NAME OF CONTRACTOR DESCRIBE ENTITY (Partnership, Corporation, etc.) By: Title: By: Title: 27 3/1/96 SPECIAL PROVISIONS I. SUPPLEMENTARY GENERAL PROVISIONS TO STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION 1-1 TERMS To Section 1-1, add: A. Reference to Drawings: Where words "shown," "indicated," "detailed," "noted," "scheduled," or words of similar import are used, it shall be understood that reference is made to the plans accompanying these provisions, unless stated otherwise. B. Directions: Where words "directed," "designated," "selected," or words of similar import are used, it shall be understood that the direction, designation or selection of the Engineer is intended, unless stated otherwise. The word "required" and words of similar import shall be understood to mean "as required to properly complete the work as required and as approved by the Community Services Director," unless stated otherwise. C. Equals and Approvals: Where the words "equal," "approved equal," "equivalent," and such words of similar import are used, it shall be understood such words are followed by the expression "in the opinion of the Engineer," unless otherwise stated. Where the words "approved," "approval," "acceptance," or words of similar import are used, it shall be understood that the approval, acceptance, or similar import of the Engineer is intended. D. Perform and Provide: The word "perform" shall be understood to mean that the Contractor, at her/his expense, shall perform all operations, labor, tools and equipment, and further, including the furnishing and installing of materials that are indicated, specified or required to mean that the Contractor, at her/his expense, shall furnish and install the work, complete in place and ready to use, including furnishing of necessary labor, materials, tools, equipment, and transportation. 1-2 DEFINITIONS Modify Section 1-2 as follows: Agency- the City of Carlsbad, California Engineer- the Project Manager for the City of Carlsbad or his approved representative 2-5 PLANS AND SPECIFICATIONS To Section 2-5.1, General, add: 28 3/1/96 The specifications for the work include the Standard Specifications for Public Works Construction. (SSPWC), 1994 Edition, and the latest supplement, hereinafter designated "SSPWC", as issued by the Southern California Chapter of the American Public Works Association, and as amended by the Special Provisions section of this contract. The Construction Plans consist of N/A sheet(s) designated as City of Carlsbad Drawing No. N/A . The standard drawings utilized for this project are the latest edition of the San Diego Area Regional Standard Drawings, hereinafter designated SDRS, as issued by the San Diego County Department of Public Works, together with the City of Carlsbad Supplemental Standard Drawings. Copies of pertinent standard drawings are enclosed with these documents. To Section 2-5.3, Shop Drawings, add: Where installation of work is required in accordance with the product manufacturer's direction, the Contractor shall obtain and distribute the necessary copies of such instruction, including two (2) copies to the City. To Section 2-5, add: 2-5.4 Record Drawings: The Contractor shall provide and keep up-to-date a complete "as-built" record set of transparent sepias, which shall be corrected daily and show every change from the original drawings and specifications and the exact "as-built" locations, sizes and kinds of equipment, underground piping, valves, and all other work not visible at surface grade. Prints for this purpose may be obtained from the City at cost. This set of drawings shall be kept on the job and shall be used only as a record set and shall be delivered to the Engineer upon completion of the work. 3-5 DISPUTED WORK All claims by the contractor for $375,000 or less shall be resolved in accordance with the procedures in the Public Contract Code, Division 2, Part 3, Chapter 1, Article 1.5 (commencing with Section 20104) which is set forth below: Article 1.5 Resolution of Construction Claims 20104. (a)(1) This article applies to all public works claims of three hundred seventy-five thousand dollars ($375,000) or less which arise between a contractor and a local agency. (2) This article shall not apply to any claims resulting from a contract between a contractor and a public agency when the public agency has elected to resolve any disputes pursuant to Article 7.1 (commencing with Section 10240) of Chapter 1 of Part 2. (b)(1) "Public work" has the same meaning as in Sections 3100 and 3106 of the Civil Code, except that "public work" does not include any work or improvement contracted for by the state or the Regents of the University of California. (2) "Claim" means a separate demand by the contractor for (A) a time extension, (B) payment of money or damages arising from work done by, or on behalf of, the contractor pursuant to the contract for a public work and payment of which is not otherwise expressly provided for or the claimant is not otherwise entitled to, or (C) an amount the payment of which is disputed by the local agency. (c) The provisions of this article or a summary thereof shall be set forth in the plans or specifications for any work which may give rise to a claim under this article. (d) This article applies only to contracts entered into on or after January 1,1991. 20104.2 For any claim subject to this article, the following requirements apply: (a) The claim shall be in writing and include the documents necessary to substantiate the claim. Claims must be filed on or before the date of final payment. Nothing in this subdivision is 29 3/1/96 intended to extend the time limit or supersede notice requirements otherwise provided by contract for the filing of claims. (b)(1) For claims of less than fifty thousand dollars ($50,000), the local agency shall respond in writing to any written claim within 45 days of receipt of the claim, or may request, in writing, within 30 days of receipt of the claim, any additional documentation supporting the claim or relating to defenses to the claim the local agency may have against the claimant. (2) If additional information is thereafter required, it shall be requested and provided pursuant to this subdivision, upon mutual agreement of the local agency and the claimant. (3) The local agency's written response to the claim, as further documented, shall be submitted to the claimant within 15 days after receipt of the further documentation or within a period of time no greater than that taken by the claimant in producing the additional information, whichever is greater. (c)(1) For claims of over fifty thousand dollars ($50,000) and less than or equal to three hundred seventy-five thousand dollars ($375,000), the local agency shall respond in writing to all written claims within 60 days of receipt of the claim, or may request, in writing, within 30 days of receipt of the claim, any additional documentation supporting the claim or relating to defenses to the claim the local agency may have against the claimant. (2) If additional information is thereafter required, it shall be requested and provided pursuant to this subdivision, upon mutual agreement of the local agency and the claimant. (3) The local agency's written response to the claim, as further documented, shall be submitted to the claimant within 30 days after receipt of the further documentation, or within a period of time no greater than that taken by the claimant in producing the additional information or requested documentation, whichever is greater. (d) If the claimant disputes the local agency's written response, or the local agency fails to respond within the time prescribed, the claimant may so notify the local agency, in writing, either within 15 days of receipt of the local agency's response or within 15 days of the local agency's failure to respond within the time prescribed, respectively, and demand an informal conference to meet and confer for settlement of the issues in dispute. Upon a demand, the local agency shall schedule a meet and confer conference within 30 days for settlement of the dispute. (e) Following the meet and confer conference, if the claim or any portion remains in dispute, the claimant may file a claim as provided in Chapter 1 (commencing with Section 900) and Chapter 2 (commencing with Section 910) of Part 3 of Division 3.6 of Title 1 of the Government Code. For purposes of those provisions, the running of the period of time within which a claim must be filed shall be tolled from the time the claimant submits his or her written claim pursuant to subdivision (a) until the time that claim is denied as a result of the meet and confer process, including any period of time utilized by the meet and confer process. (f) This article does not apply to tort claims and nothing in this article is intended nor shall be construed to change the time periods for filing tort claims or actions specified by Chapter 1 (commencing with Section 900) and Chapter 2 (commencing with Section 910) of Part 3 of Division 3.6 of Title 1 of the Government Code. 20104.4. The following procedures are established for all civil actions filed to resolve claims subject to this article: (a) Within 60 days, but no earlier than 30 days, following the filing or responsive pleadings, the court shall submit the matter to nonbinding mediation unless waived by mutual stipulation of both parties. The mediation process shall provide for the selection within 15 days by both parties of a disinterested third person as mediator, shall be commenced within 30 days of the submittal, and shall be concluded within 15 days from the commencement of the mediation unless a time requirement is extended upon a good cause showing to the court or by stipulation of both parties. If the parties fail to select a mediator within the 15-day period, any party may petition the court to appoint the mediator. (b)(1) If the matter remains in dispute, the case shall be submitted to judicial arbitration pursuant to Chapter 2.5 (commencing with Section 1141.10) of Title 3 of Part 3 of the Code of Civil Procedure, notwithstanding Section 1141.11 of that code. The Civil Discovery Act of 1986 (Article 3 (commencing with Section 2016) of Chapter 3 of Title 3 of Part 4 of the Code of Civil procedure) shall apply to any proceeding brought under the subdivision consistent with the rules pertaining to judicial arbitration. 30 3/1/96 (2) Notwithstanding any other provision of law, upon stipulation of the parties, arbitrators appointed for purposes of this article shall be experienced in construction law, and, upon stipulation of the parties, mediators and arbitrators shall be paid necessary and reasonable hourly rates of pay not to exceed their customary rate, and such fees and expenses shall be paid equally by the parties, except in the case of arbitration where the arbitrator, for good cause, determines a different division. In no event shall these fees or expenses be paid by state or county funds. (3) In addition to Chapter 2.5 (commencing with Section 1141.10) Title 3 of Part 3 of the Code of Civil Procedure, any party who after receiving an arbitration award requests a trial de novo but does not obtain a more favorable judgment shall, in addition to payment of costs and fees under that chapter, pay the attorney's fees of the other party arising out of the trial de novo. (c) The court may, upon request by any party, order any witnesses to participate in the mediation or arbitration process. 20104.6. (a) No local agency shall fail to pay money as to any portion of a claim which is undisputed except as otherwise provided in the contract. (b) In any suit filed under Section 20104.4, the local agency shall pay interest at the legal rate on any arbitration award or judgment. The interest shall begin to accrue on the date the suit is filed in a court of law. 4-1 MATERIALS AND WORKMANSHIP To Section 4-1.3.1, Inspection Requirements, General, add: All work shall be under the observation of the Community Services Director or his appointed representative. The Community Services Director shall have free access to any or all parts of work at any time. Contractor shall furnish Community Services Director with such information as may be necessary to keep her/him fully informed regarding progress and manner of work and character of materials. Inspection of work shall not relieve Contractor from any obligation to fulfill this Contract. Modify Section 4-1.4, Test of Materials, as follows: Except as specified in these Special Provisions, the Agency will bear the cost of testing materials and/or workmanship where the results of such tests meet or exceed the requirements indicated in the Standard Specifications and the Special Provisions. The cost of all other tests shall be borne by the Contractors. At the option of the Community Services Director, the source of supply of each of he materials shall be approved by him before the delivery is started. All materials proposed for use may be inspected or tested at any time during their preparation and use. If, after trial, it is found that sources of supply which have been approved do not furnish a uniform product, or if the product from any source proves unacceptable at any time, the Contractor shall furnish approved material from other approved sources material that fails to meet specifications after improper storage, handling or any other reason shall be rejected. All backfill and subgrade shall be compacted in accordance with the notes on the plans and the SSPWC. Compaction tests may be made by the City and all costs for tests that meet or exceed the requirements of the specifications shall be borne by the City. Said tests may be made at any place along the work as deemed necessary by the Community Services Director. The costs of any retests made necessary by noncompliance with the specifications shall be borne by the Contractor. 31 3/1/96 Add the following section: 4-1.7 Nonconforminq Work The contractor shall remove and replace any work not conforming to the plans or specifications upon written order by the Community Services Director. Any cost caused by reason of this "*"**" nonconforming work shall be borne by the Contractor. 5-1 LOCATION Add the following: The City of Carlsbad and affected utility companies have, by a search of known records, endeavored to locate and indicate on the Plans, all utilities which exist within the limits of the work. However, the accuracy of completeness of the utilities indicated on the Plans is not guaranteed. 5-4 RELOCATION Add: The temporary or permanent relocation or alteration of utilities, including service connection, desired by the Contractor for his/her own convenience shall be the Contractor's own responsibility, and he/she shall make all arrangements regarding such work at no cost to the City. If delays occur due to utilities relocations which were not shown on the Plans, it will be solely the City's option to extend the completion date. In order to minimize delays to the Contractor caused by the failure of other parties to relocate utilities which interfere with the construction, the Contractor, upon request to the City, may be permitted to temporarily omit the portion of work affected by the utility. The portion thus omitted shall be constructed by the Contractor immediately following the relocation of the utility involved unless otherwise directed by the City. 6-1 CONSTRUCTION SCHEDULE Modify this section as follows: A construction schedule is to be submitted by the Contractor per the following: 1. The prime contractor is required to prepare in advance and submit at the time of the project preconstruction meeting a detailed critical path method (CPM) project schedule. This schedule is subject to the review and approval of the City. 2. The schedule shall show a complete sequence of construction activities, identifying work for the complete project in addition to work requiring separate stages, as well as any other logically grouped activities. The schedule shall indicate the early and late start, early and late finish, 50% and 90% completion, and any other major construction milestones, materials and equipment manufacture and delivery, logic ties, float dates, and duration. 3. The prime contractor shall revise and resubmit for approval the schedule as required by City when progress is not in compliance with the original schedule. The prime contractor shall submit revised project schedules with each and every application for monthly progress payment identifying changes since the previous version of the schedule. 32 3/1/96 4. The schedule shall indicate estimated percentage of completion for each item of work at each and every submission. 5. The failure of the prime contractor to submit, maintain, or revise the aforementioned schedule (s) shall enable City, at its sole election, to withhold up to 10% of the monthly progress payment otherwise due and payable to the contractor until the schedule has been submitted by the prime contractor and approved by City as to completeness and conformance with the aforementioned provisions. No changes shall be made to the construction schedule without the prior written approval of the Engineer. Any progress payments made after the scheduled completion date shall not constitute a waiver of this paragraph or any damages. Coordination with the respective utility company for removal or relocation of conflicting utilities shall be requirements prior to commencement of work by the Contractor. 6-5 TERMINATION OF CONTRACT Grounds for termination of the contract by the City include failure of the City or Contractor to obtain necessary permits from other governmental agencies, or unreasonable delay caused by enforcement of laws and regulations by other public agencies, including but not limited to, enforcement of the Endangered Species Act and other similar laws. 6-6.3 PAYMENT FOR DELAYS TO CONTRACTOR The City shall not be liable for delay caused by the enforcement of laws and regulations by other public agencies, including but not limited to, enforcement of the Endangered Species Act and other similar laws. 6-7 TIME OF COMPLETION The Contractor shall begin work within 10 calendar days after receipt of the "Notice to Proceed" and shall diligently prosecute the work to completion within 30 consecutive days after the date of the Notice to Proceed. To Section 6-7.2, Working Day, add: Hours of work- All work shall normally be performed between the hours of 7:00 a.m. and sunset, from Mondays through Fridays. The contractor shall obtain the approval of the Community Services Director if he/she desires to work outside the hours state herein. Contractor may work during Saturdays and holidays only with the written permission of the Community Services Director. This written permission must be obtained at least 48 hours prior to such work. The Contractor shall pay the inspection costs of such work. 6-8 COMPLETION AND ACCEPTANCE Add the following: All work shall be guaranteed for one (1) year after the filing of a "Notice of Completion" and any faulty work or materials discovered during the guarantee period shall be repaired or replaced by the Contractor, at his expense. Twenty-five percent of the faithful performance bond shall be retained as a warranty bond for the one year warranty period. 33 3/1/96 6-9 LIQUIDATED DAMAGES Modify this section as follows: If the completion date is not met, the contractor will be assessed the sum of $ 100 per day for each day beyond the completion date as liquidated damages for the delay. Any progress payments made after the specified completion date shall not constitute a waiver of this paragraph or of any damages. 7-3 LIABILITY INSURANCE Add the following: All insurance is to be placed with insurers that have a rating in Best's Key Rating Guide of at least A-:V and are admitted and authorized to conduct business in the state of California and are listed in the official publication of the Department of Insurance of the State of California. 7-4 WORKERS' COMPENSATION INSURANCE Add the following: All insurance is to be placed with insurers that are admitted and authorized to conduct business in the state of California and are listed in the official publication of the Department of Insurance of the State of California. Policies issued by the State Compensation Fund meet the requirement for workers' compensation insurance. 7-5 PERMITS Modify the first sentence to read: The agency will obtain, at no cost to the Contractor, all encroachment, right-of-way, grading, and building permits necessary to perform work for this contract on City property, in streets, highways (except State highway right-of-way), railways or other rights-of-way. Add the following: Contractor shall not begin work until all permits incidental to the work are obtained. 7-8 PROJECT AND SITE MANAGEMENT To Section 7-8.1, Cleanup and Dust Control, add: Cleanup and dust control shall be executed even on weekends and other non-working days at the City's request. Add the following to Section 7-8: 7-8.8 Noise Control All internal combustion engines used in the construction shall be equipped with mufflers in good repair when in use on the project with special attention to City Noise Control Ordinance No. 3109, Carlsbad Municipal Code, Chapter 8.48. 7-10 PUBLIC CONVENIENCE AND SAFETY Add the following to Section 7-10.4, Public Safety: 7-10.4.4 Safety and Protection of Workers and Public 34 3/1/96 The Contractor shall take all necessary precautions for the safety of employees on the work and shall comply with all applicable provisions of Federal, State and Municipal safety laws and building codes to prevent accidents or injury to persons on, about, or adjacent to the premises where the work is being performed. He/she shall erect and properly maintain at all time, as required by the conditions and progress of the work, all necessary safeguards for the protection of workers and public, and shall use danger signs warning against hazards created by such features of construction as protruding nails, hoists, well holes, and falling materials. 7-13 LAWS TO BE OBSERVED Add the following: Municipal ordinances which affect this work include Chapter 11.06. Excavation and Grading. If this notice specifies locations or possible materials, such as borrow pits or gravel beds, for use in the proposed construction project which would be subject to Section 1601 or Section 1603 of the Fish and Game Code, such conditions or modifications established pursuant to Section 1601 of the Fish and Game Code shall become conditions of the contract. 8 FACILITIES FOR AGENCY PERSONNEL Delete this section. 9-3 PAYMENT Modify Section 9-3.2, Partial and Final Payment, as follows: Delete the second sentence of the third paragraph having to do with reductions in amount of retention. 11 WATER FOR CONSTRUCTION The Contractor shall obtain a construction meter for water utilized during the construction under this contract. The Contractor shall contact the appropriate water agency for requirements. The contractor shall include the cost of water and meter rental within appropriate items of the proposal. No separate payment will be made. 35 3/1/96 SPECIFICATIONS FOR BACKSTOP/FENCING REHABILITATION BRIERLY FIELD - PINE SCHOOL 1. Provide all materials and labor to install new fabric, fencing, bottom rails, bracing, and top rails as designated on plans. 2. All chain link fabric on backstop (below 12'), dugouts, infield fencing (7' high) and foul line fencing to be 6 gauge, 2" mesh. 3. Outfield chainlink fencing fabric and top portion of backstop to be 9 gauge, 2" mesh. 4. New fencing with posts to be installed in right field area, approximately 150' with 2 3/8" O.D. line posts and 2 7/8" O.D. terminal posts. 5. A 4' x 6' chain link gate to be installed as noted in right/center area of outfield fence. 6. All chainlink fabric to be placed on inside of posts toward playing field. 7. Backstop to have a 4' high, wood (2" x 10's) backboard 20' in length placed directly behind home plate area, as per plans. 8. Reinstall existing fence fabric on backstop hood. Place it on playing side. 9. Bracing material, 1 5/8" O.D. galvanized pipe, shall be installed (welded in place) at a height of 4' on the backstop, infield fencing and around the dugouts. The bracing shall be installed in all areas where the height of fence/backstop exceeds 6'. 36 3/1/96 CITY OF CARLSBAD COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM CONSTRUCTION AND CONSTRUCTION RELATED PROJECTS Information for Bid Documents. Specifications, and Contracts 1. Federal Labor Standards Provisions, HUD 4010 2. Labor Stand Provisions and Related Matters 3. Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246) 4. Section 3 Implementation Plan 5. Applicable Federal Wage Determination 6. Certificatipn by Proposed Subcontractor Regarding Equal Employment Opportunity 7. Certification of Bidder Regarding Equal Employment Opportunity 8. Payroll Forms & Instructions for Completing Payroll Forms 9. Record of Employee Interview, HUD 11 10. "Notice to Employees" Poster A:\Info Bid-List Revised: March 1997 Federal Labor Standards Provisions U.S. Department of Housing and Urban Development 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 in this Contract pursuant to the provisions applicable to such Federal assistance. A. 1. (I) Minimum Wage*. All laborers and mechanics employed or work- ing 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, and without subsequent deduction or rebate 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 time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractural 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(bX2) 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(aX1Xiv); 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 skill, except as provided in 29 CFR Part 5.5{aX4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classifica- tion for the time actually worked therein: Provided, That the employer's pay- roll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under 29 CFR Part 5.5(aX1Xii) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the con- . tractor and its subcontractors at the site of the work in a prominent and accessible, place where it can be easily seen by the workers. (H) (a) Any class of laborers or mechanics which is not listed 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 bene- fits, bears a reasonable relationship to the wage rates contained in 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 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 Administration, U.S. Department of Labor, Washington. D.C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classifi- cation 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 fringe 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 repre- sentative, will issue a determination 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 Man- agement 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 in the classification under this con- tract from the first day on which work is performed in the classification. (Ill) Whenever the minimum 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 determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (rv) 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 cr 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 applicable 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 the full amount of wages required by the contract In the event of failure to pay any laborer or mechanic, including any apprentice, trainee or helper, employed or working on 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), all or part of the wages required by the contract HUD or its desig- nee 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 notice to the contractor, dis- burse such amounts withheld for and on account of the contractor or sub- contractor to the respective employees to whom they are due. The Comp- troller General shall make such disbursements in the case of direct Davis-Bacon Act 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, in 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 cor- rect classification, hourly rates of wages paid (including rates of contribu- tions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in Section 1(bX2XB) of the Oavis-bocon 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 (aXIXiv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or pro- gram described in Section 1(bX2XB) of the Davis-Bacon Act the contractor shall maintain records which show that the commitment to provide such Previous Edition is Obsolete HUD-4010 (2-84) (HB 1344.1) benefits is enforceable, that trie plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs antici- pated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence ol the registration of apprenticeship programs and certifi- cation 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.) (If) (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)(3Ki). 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 Docu- ments (Federal Stock Number 029-005-00014-1), U.S. Government Printing Office, Washington, DC. 20402. The prime 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 period contains the information required to be maintained under 29 CFR Part 5.5 (a)(3XO and that such information is correct and oemplete; (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indi- rectly from the full wages earned, other than permissable 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 clas- sication of work performed, as specified in the applicable wage determina- tion incorporated into 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 submission of the "Statement of Compliance" required by paragraph A.3.(ii'Xb) 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. (Hi) The contractor or subcontractor shall make the records required under paragraph A3.(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 subcon- tractor fails to submit the required records or to make them available, HUD or its designee may, after written notice to the contractor, sponsor, appli- cant or owner, take such action as may be necessary to cause the sus- pension of any further payment advance, or guarantee of funds. Further- more, 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 5.1Z 4. (I) Apprentices and Trainees. Apprentice*. Apprentices will be per- mitted to work at less than the predetermined rate for the work they per- formed 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 Training 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 (wftere appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job aft 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 less 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 applicable wage rate on the wage determi- nation for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the jour- neyman's hourly rate) specified in the contractor's or subcontractor's regis- tered program shall be observed. Every apprenctice must be paid at not less than the rate specified in 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 listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State Appren- ticeship 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 an acceptable program is approved. (U) Trainee*. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work per- formed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certifi- cation by the U.S. Department of Labor, Employment and Training Admini- stration. 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 Administration. 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 in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee pro- gram 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 in 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 performing work on the job site in excess of the ratio permitted 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 Admin- istration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predeter- mined rate for the work performed until an acceptable program is approved. (lii) Equal 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 Copland Act requirements. The contractor shall comply with the requirements of 29 CFR Part 3 which are incorporated by reference in this contract 6. Subcontracts. The contractor or subcontractor will insert in any sub- contracts the clauses contained in 29 CFR 5.5<aX1) 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 in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcon- tractor with all the contract clauses in 29 CFR Part 5.5. HUD-4010 (2-34) 7. Contracts termination; debarmenL A breach of the contract clauses in 29 CFR 5.5 may be grounds 'or termination of the contract and tor debar- ment as a contractor and a subcontractor as provided in 29 CFR 5.12. 8. Compliance with Davis-Bacon and Related Act Requirement*. All rul- ings and interpretations ot the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3..and 5 are herein incorporated by reference in this contract 9. Disputes concerning labor standards. Disputes arising 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 accor- dance with the procedures of the Department of Labor set forth in 29 CFR Parts 5. 6. and 7. Disputes within the meaning of this clause include dis- putes 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 con- tractor 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 ineligible 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 partici- pate in HUD programs pursuant to 24 CFR Part 24. (II) 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(aX1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24. (III) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. Additionally, U.S. Crimnal Code, Section 1010, Title 18 , U.S.C, "Federal Housing Administration transactions", pro- vides in part "Whoever, for the purpose of. . .influencing in any way the action of such Administration. . . makes, 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." 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 applicable shall be discharged or in 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 or has testified or is about to testify in any proceeding under or relating to the labor standards applicable under this Contract to his employer. B Contract Work Hours and Safety Standards Act As used in this para- graph, 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 employ- ment of laborers or mechanics shall require or permit any such laborer or mechanic in 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 in such workweek unless such laborer or mechanic receives com- pensation at a rate not !ess *ian one and one-half times the basic rate of pay for all hours worked in 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 therefor shall be liable for the unpaid wages. In addition, such contractor and subcon- tractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be com- puted with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in sub- paragraph (1) of this paragraph, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of eight hours or in excess of the standard workweek of forty hours without pay- ment of the overtime wages required by the clause set forth in subpara- graph (1) of this paragraph. (3) Withholding for unpaid wages and liquidated damages. HUD or its designee shall upon its own action or upon written request of an autho- rized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contract or any other Federally-assisted con- tract subject to the Contract Work Hours and Safety Standards Act which is held by the same prime contractor such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in subparagraph (2) of this paragraph. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in subparagraph (1) through (4) of this paragraph and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontrac- tor with the clauses set forth in subparagraphs (1) through (4) of this paragraph. C. Hearth and Safety (1) No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or danger- ous 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 Con- tract 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 Unban Development or the Secretary of Labor shall direct as a means of enforcing such provisions. HUD-4010 (2-84) STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246) 1. As used in these specifications: a. "Covered area" means the geographical area described in the solicitation from which this contract resulted: b. "Director" means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority; c. "Employer identification number" means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasure Department Form 941. d. "Minority" includes: i (i) Black (all persons having origins in any of the Black African racial groups, not of Hispanic origin); (ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race); (iii) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (iv) American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification). 2. Whenever the Contractor, or any Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted. 3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plants individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor's or Subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables. 4. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. The Contractor is expected to make substantially uniform process toward its goals in each craft during the period specified. 5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor's obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto. 6. In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor. 7. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following: a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor's employees are assigned to work. The Contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other onsite supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organization when the Contractor or its union have employment opportunities available, and maintain record of the organization's responses. c. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and employed by the Contractor, this shall be documented in the file with the reason therefor, along with whatever additional actions the Contractor may have taken. d. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement ha not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations. e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources complied under 7b above. f. Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed. g. Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with onsite supervisory personnel such as Superintendents, General Foreman, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed and disposition of the subject matter. h. Disseminate the Contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor's EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business. i. Direct its recruitment efforts, both oral and written to minority, female and community organizations, to schools with minority and female students and to minority and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notifications to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process. j. Encourage present minority and female employees to recruit other minority '**•*" persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor's workforce. k. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3. 1. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. m. Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor's obligations under these specifications are being carried out. n. Ensure that all facilities and company activities are nonsegregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes. o. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractor and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. p. Conduct a review, at least annually, of all supervisors' adherence to and performance under the Contractor's EEO policies and affirmative action obligations. 8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through 7p). The efforts of a contractor association, join contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these Specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, makes good faith effort to meet its individual goals and timetables, and can provide on behalf of the Contractor. The Obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligation shall not be a defense for the Contractor's noncompliance. 9. A single goal for minorities and a seperate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized). 10. The Contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin. 11. The Contractor shall not enter into any Subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any Contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended. i 13. The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of thee specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contactor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8. 14. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g. mechanic, apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations, at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirements, contractors shall not be required to maintain separate records. 15. Nothing herein provided shall be construed as a limitation upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Bock Grant Program). CITY OF CARLSBAD Section 3 Implementation Plan 24 CFR Part 135, Revised Introduction: In 1968 the U.S. Department of Housing and Urban Development (HUD) adopted regulations to ensure that, whenever possible, low income residents and local businesses are hired to perform work paid for by HUD funds. These regulations, referred to as "Section 3", were revised in 1994. to direct work created by HUD funds to low and to local businesses that employ low income persons. For Section 3, low income means a family (including single persons) whose combined income does not exceed 80% of the median income for the area, as defined by HUD. Under Section 3 the term "low income" also includes "very low income" households. (See income information table on Form 1).~ Under Section 3, certain low income residents should be given preference when hiring for work created by HUD funds. The HUD priorities are low income, individuals who (1) live in the project area; or (2) are participants in a Youthbuild program; or (3) are residents in HUD assisted housing. A Section 3 business is a business that (1) is 51% or more owned by Section 3 residents; or (2) has at least 30% employees who were Section 3 eligible during their first 3 years of employment; or (3) has formally committed to award 25% or more of the money from the contract to subcontractors that meet (1) or (2) above. HUD's intent is for preference to be given first to businesses in the project area, second to businesses within the City of Carlsbad, and finally to businesses in San Diego County. The City of Carlsbad is required to comply with the revised Section 3 regulations to the greatest extent feasible. These regulations are consistent with the goals of the City. The City of Carlsbad is invested in improving economic conditions in our community and fostering citizen participation in neighborhood revitalization. Under the regulations, the City is required to submit a written HUD Section 3 Economic Opportunity Plan. The City of Carlsbad has developed a plan to actively implement the provisions of the Section 3 regulations. This Implementation Plan applies the Section 3 regulations in a manner designed to stimulate economic opportunities to low income residents and businesses in Carlsbad. The plan also employs customized Section 3 activities to maximize these opportunities in neighborhood revitalization areas. Section 3 Policy Statement: The City of Carlsbad is committed to developing and maintaining a diverse and health economic base which provides employment to the residents of Carlsbad, economic vitality to the community, and the necessary revenues to support City services. The City will actively A:\Sect 3 Plan 1 Revised: March 1997 implement Section 3 regulations to direct work paid for by HUD funds to low and local businesses that employ low income persons. Section 3 Annual Goals: Section 3 Hiring Goal: The City's goal is to fill 30% of all new positions created with HUD funds with Section 3 eligible residents. Section 3 Business Goal: The goal is to utilize Section 3 eligible businesses to acquire 15% of the materials, supplies, and services required by projects receiving more than $100,000 in HUD funds. Implementation Guidelines/Requirements: To achieve the Section 3 goals established for the current year, the City of Carlsbad will require the following: A. All contractors, subcontractors, and subrecipients will: 1. Make a good faith effort to target, recruit, and hire Section 3 eligible residents for work supported by HUD funds. 2. Make a good faith effort to utilize Section 3 eligible businesses for projects supported by HUD funds. 3. Submit a report of Section 3 certified individuals hired with HUD funds received from the City of Carlsbad. 4. Post a notice of participation in Section 3 hiring preference and equal opportunity practices. B. Contractors, subcontractors, and subrecipients who receive $100,000 or more for projects financed in whole or in part with HUD funds will: 1. Submit Section 3 forms as required by Section 3, the contract agreement and the City of Carlsbad. 2. Submit a written Section 3 Good Faith Action Plan in accordance with the instructions/forms in the contract documents. 3. Identify the sites where they will advertise, recruit and whenever possible hire, Section 3 eligible employees. 4. Identify eligible Section 3 businesses that will be used in the project. A:\Sect 3 Plan 2 Revised: March 1997 I Section 3 Identified Contact Sites Under Section 3 regulations, when hiring a person or company to do work that is financed in whole or in part by HUD funds, preference must be given to low income residents and to local, qualifying businesses. (See Introduction on page 1 for preference requirements) As part of the City of Carlsbad's Implementation Plan, contractors, subcontractors, and subrecipients for projects receiving $100,000 or more in HUD funds must identify sites where they will advertise, recruit, and hire Section 3 eligible employees. To assist contractors, subcontractors, and subrecipients with this requirement, the Housing and Redevelopment Department of the City has identified advertising and recruiting sites where you are likely to find individuals who qualify for Section 3 preference. Below is a partial list of potential sites. 1. North County Career Center 5315 Avenida Encinas #140 Carlsbad, CA 92008 930-2400 Hours: 8:30 a.m.-4:30 p.m. The North County"Career Center (NCCC) is a "one-stop shop" for employment services. The center houses a variety of services for employment development and training. Co-located in the facility are: State of California, Employment Development Department Outstation (EDO) Often called the "unemployment office", EDO offers job development, screening, and referral services to individuals who are currently unemployed or under- employed. A lead EDO staff member, located at the INCCC can help locate casual laborers, and temporary or permanent employees. Upon request, EDO can help identify individuals who reside in the project zip code. SEP. Youthbuild Office (Youthbuild) Participants in Youthbuild programs receive priority for hiring under the Section 3 regulations. The Youthbuild staff at INCCC can help to locate current trainees and graduates of Youthbuild for temporary or permanent positions. San Diego Consortium/ Private Industry Council Job Training Programs (JTPA) JTPA offers a wide variety of employment related services. Some programs offer both employers and employees financial support for participating in the programs. Many JTPA participants have been assessed for residency, income status and job skills for specific occupations. Upon request, JTPA staff can help identify individuals who reside in the project zipcode. 2. City of Carlsbad Hiring Center 5958 El Camino Real Carlsbad CA 92008 929-8121 A:\Sect 3 Plan - 3 Revised: March 1997 3. Community Resource Center 3138-H Roosevelt Street Carlsbad, CA 92008 747-6281 4. City of Carlsbad Housing Authority * 2965 Roosevelt Street, Suite B Carlsbad, CA 92008 434-2810 5. La Posada de Guadalupe Homeless Shelter * 2472-2476 Impala Drive Carlsbad, CA 92008 929-2322 (after 3:00 p.m.) 6. Brother Benno's Day Shelter * 3260 Production Avenue Oceanside CA 92054 439-1244 - 'Residents living in housing built or supported by HUD funds are eligible for Section 3 certification and are given priority by the regulations. These agencies sponsor housing programs using HUD funds and may be able to help you find temporary or permanent employees who qualify for Section 3 preference. A:\Sect 3 Plan 4 Revised: March 1997 CITY OF CARLSBAD HOUSING AND REDEVELOPMENT DEPARTMENT SECTION 3 REQUIREMENTS 12 USC 1701 u (Section 3) During the performance of this contract the contractor, subcontractor, or subrecipient must certify and represent that they will adhere to Section 3 provisions of the Housing and Urban Development (HUD) Act of 1968 as described in 24 CFR Part 135, Revised June 30, 1994. All contractors, subcontractors, and subrecipients are required to submit a written HUD Section 3 Economic Opportunity Plan (forms are attached). The contractor, subcontractor, or subrecipient certify that they will provide to the greatest extent feasible, opportunities for employment to lower income Carlsbad residents. Further, to the greatest extent feasible, contracts in connection with these projects are to be awarded to local businesses. Minimum goals for each project are 30 percent employment opportunity level for City of Carlsbad residents and 15 percent economic opportunity level for City of Carlsbad business concerns. The City of Carlsbad will implement a specific plan for achieving this goal. Part of the Section 3 Implementation Plan requires contractors, subcontractors, and subrecipients to make good faith efforts to target, recruit, and hire Section 3 area residents for available positions. All contractors, subcontractors, and subrecipients participating in contracts of $100,000 or more in HUD assistance must advertise and actively recruit eligible Section 3 participants in accordance with the City of Carlsbad Section 3 Implementation Plan. Additionally, all Section 3 required forms must be completed in full and signed prior to release of funds. When there is an item on the form that is not applicable to your business, please indicate with "N/A." All contractors, subcontractors, and subrecipients are required to fill in all information. If there are any questions, please call the CDBG Administrator in the Housing and Redevelopment Department at (619) 434-2811. A:\Sect 3 Plan 5 Revised: March 1997 CERTIFICATION FOR CONTRACTS HUD SECTION 3 REGULATIONS THE CONTRACTOR, SUBCONTRACTOR, SUBRECIPIENT, OWNER, DEVELOPER NONPROFIT, OR SERVICE PROVIDER BY HIS/HER SIGNATURE(S) AFFIXED HERETO DECLARES UNDER PENALTY OF PERJURY OR NON-COMPLIANCE ENFORCEMENT THAT: A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701(u) (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include this Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR part 135. E. The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR part 135. F. Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. A:\Sect 3 Plan 6 Revised: March 1997 G. With respect to work performed in connection with Section 3 covered Indian housing ,^- assistance, section 7(b) of the Indian Self-Determination and Education Assistance Act Si*- (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and section 7(b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b). Date Contractor's/Officer's Signature (notary required) Date Contractor's/Officer's Name and Title Project (Please Type or Print) Note: The person signing must be authorized by owner, developer or contractor to carry out the Contractor's Section 3 Area Economic Opportunity Plan. A:\Sect 3 Plan 7 Revised: March 1997 CITY OF CARLSBAD HOUSING AND REDEVELOPMENT DEPARTMENT 2965 ROOSEVELT STREET, SUITE B o CARLSBAD, CA 92008 (619)434-2811 FAX (619) 720-2037 SECTIONS DOCUMENTS During the performance of this contract, the contractor certifies and represents that the contractor and each subcontractor will adhere to Section 3 provisions of the Housing and Urban Development Act of 1968 and will comply with the City of Carlsbad Section 3 Implementation Plan. All contractors are required to submit a written HUD Section 3 Economic/Employment Opportunity Plan for these efforts (forms are attached). Date: Name/Org. Project Name: Address: Contact Person:. Address:General Contractor (construction projects): HUD SECTION 3 ECONOMIC/EMPLOYMENT OPPORTUNITY PLAN A. Planned Section 3 hires: In columns 1 & 2 indicate, by trade, the number of new positions created by the project. Enter the number of planned Section 3 hires in column 3. ALL TRADES/CRAFTS TOTAL NO. OF NEW POSITIONS NO. OF PLANNED SECTION 3 AREA HIRES A:\Sect 3 Plan 8 Revised: March 1997 SECTION 3 PLAN (continued) (Attach additional pages if necessary) B. Outreach Plan 1. Indicate sites that will be used to advertise, recruit and hire Section 3 employees for this project: 2. List any sources or methods of recruitment of Section 3 potential employees that will be used in addition to the Carlsbad Section 3 Implementation Plan. (See sample of Good Faith Effort - attached). 3. List State approved apprenticeship programs to be utilized, if any. 4. List Job Training Partnership Act or Youthbuild programs to be utilized, if any. 5. List of Section 3 eligible suppliers, subcontractors, vendors and service providers to be utilized. Name Amount $ Address Phone Name Amount $ Phone Name Amount $ Address ' . Phone A:\Sect 3 Plan b) Revised: March 1997 EXAMPLES OF GOOD-FAITH EFFORTS Priorities: In making good faith efforts to award contracts to Section 3 businesses and hire Section 3 qualified residents, priority should be given, to the greatest extent feasible, to: 1. Section 3 businesses which provide economic opportunities for low-income persons residing in the project area. 2. HUD Youthbuild program agencies serving the project area. 3. Residents of housing developments in the project area. 4. Homeless persons living in the project area. Our company will actively participate in Section 3 efforts by: (examples)i a. Advertising the training and employment positions by distributing flyers (which identify the positions to be filled, the qualifications required, and where to obtain additional information about the application process) to dwelling units in the neighborhood in which the Section 3 covered project is located. b. Advertising the training and employment positions at the site or proposed project site, and at public and private agencies within the neighborhood such as grocery stores, shopping centers, schools, homeless shelters, and churches. c. Contacting neighborhood organizations, where they exist, in the Section 3 project areas, and requesting the assistance of these organizations in notifying neighborhood residents of the training and employment positions to be filled. d. Scheduling and advertising a job informational and recruiting meeting in the neighborhood. e. Contacting HUD Youthbuild programs and requesting their assistance in recruiting Youthbuild pre-apprentice program participants. f. Consulting with community leaders, community organizations, resident councils and resident management groups to assist in recruiting. g. Consult with local public Housing Authority projects for resident participants in a "Step- Up" pre-apprenticeship program. h. Contact local JTPA funded nonprofit job training agencies. A:\Sect 3 Plan 10 Revised: March 1997 CITY OF CARLSBAD HOUSING AND REDEVELOPMENT DEPARTMENT SECTIONS REPORTS 1. SECTION 3 EMPLOYEE INFORMATION Form 1 2. PART1: EMPLOYMENT AND TRAINING Form 2 CONTRACTOR'S/SUBCONTRACTOR'S SECTION 3 COMPLIANCE REPORT 3. PART II: CONTRACTS AWARDED Form 3 CONTRACTOR'S/SUBCONTRACTORS SECTION 3 COMPLIANCE REPORT 4. SECTION 3 RESIDENT INCOME CERTIFICATION FORM Form 4 5. SECTION 3 BUSINESS CERTIFICATION FORM Form 5 MAIL REPORTS TO: CITY OF CARLSBAD HOUSING AND REDEVELOPMENT DEPARTMENT ATTENTION: CDBG ADMINISTRATOR 2965 ROOSEVELT STREET, SUITE B o CARLSBAD, CA 92008 Please note that all Section 3 required forms must be completed in full and signed. Forms must be submitted prior to release of funds. When there is an item on the form that is not applicable to your business, please indicate with "N/A." All contractors, sub-contractors, and subrecipients are required to fill in all information. It is the responsibility of the contractor, subcontractor, or subrecipient to ensure that these forms are completed by all parties involved in the project. If there are any questions regarding these forms, please contact the CDBG Administrator in the Housing and Redevelopment Department at (Stfl) 434-2811. A:\Sect 3 Plan 11 Revised: March 1997 CITY OF CARLSBAD HOUSING AND REDEVELOPMENT DEPARTMENT SECTION 3 COMPLAINT PROCEDURE A complaint, formally called a grievance, may be filed alleging a violation of Section 3 require- ments. Grievances may be filed by Section 3 residents and Section 3 business concerns. Grievances are investigated by HUD and where appropriate, voluntary resolutions are sought. Those grievances that are not resolved voluntarily can result in an administrative hearing. A grievance should be in writing and include the following: - name and address of individual issuing complaint - name and address of recipient/contractor - description of acts or omissions - corrective action sought Time of Filing: A complaint must be received not later than 180 days from the date of the action or omission upon which the complaint is based, unless the time for filing is extended by the Assistant Secre- tary for good cause shown. A complaint may provide information to be contained in a complaint by telephone to HUD or any HUD Field Office, and HUD will summarize the information provided by telephone in writing on the proper form for signature by complainant. Federal HUD Office: Assistant Secretary for Fair Housing and Equal Opportunity U.S. Department of Housing and Urban Development-Section 3 Compliance 451 Seventh Street, SW Washington, DC 20410-20000 Region IX HUD Office: Labor Relations Specialist U.S. Department of Housing and Urban Development 1615 West Olympic Boulevard Los Angeles, CA. 90015 Citv of Carlsbad: City of Carlsbad Attn: CDBG Administrator 2965 Roosevelt Street, Suite B Carlsbad, CA. 92008 A:\Sect 3 Plan 12 Revised: March 1997 NOTICE REGARDING EQUAL OPPORTUNITY and SECTION 3 PREFERENCE During the performance of this contract, the contractor has agreed to adhere to Section 3 of the Housing and Urban Development Act of 1968. Section 3 encourages hiring low income, local residents and businesses to perform work that results from the funds invested by the U.S. Department of Housing and Urban Development (HUD). The contractor also agrees to conform to equal employment practices. The contractor and each subcontractor will take affirmative action to ensure that in all employment practices persons are employed and employers are treated equally and without regard to or because of race, religion, ancestry, national origin, sex, sexual orientation, age or physical handicap. For additional information contact: CDBG Administrator at the City of Carlsbad - Housing and Redevelopment Department. 434-2811 This Notice must be posted at site A:\Sect 3 Notice JOBADUKESS:Form 1 CITY OF CARLSBAD SECTION 3 EMPLOYEE INFORMATION ALL NEW HIRES EMPLOYEE NAME ADDRESS/ZIP CODE/PHONE NUMBER SOCIAL SECURITY NUMBER Name , Address City/Zip SS# Phone Name Address City/Zip SS# Phone Name Address City/Zip SS# Phone Name Address City/Zip SS# Phone GENDER M/F HOW MANY IN FAMILY TOTAL1 FAMILY _ INCOME ETHNICITY NO.2 TRADE/CRAFT CLASSIFICATION TOTAL HOURS WORKED JOB HRLY SALARY 1TOTAL FAMILY INCOME (NOT TO EXCEED 80% OF MEDIAN INCOME). 80% OF MEDIAN FAMILY INCOME PER HOUSEHOLD FY 1996-97 (Median $48,600) Low Income 2RACIAL ETHNIC CODES: a:\Sect 3 Form 1 1 PER 34,000 2 PER 38,900 3 PER 43,750 1 - WHITE AMERICAN 2 - BLACK AMERICAN 3 - NATIVE AMERICAN 4 - HISPANIC AMERICAN 5 - ASIAN PACIFIC AMERICAN 4 PER 48,600 5 PER 52,500 6 PER 56,400 7 PER 60,250 8 PER 64,150 Revised: March 1997 JOB ADbKESS:Form 2 Contractor Address Telephone Construction Address: CITY OF CARLSBAD CONTRACTOR'S/SUBCONTRACTOR'S SECTION 3 MONTHLY REPORT Contract Start Date Contract Completion Date Date of Report_ Contract Amount Report Period Program Code HUD Funds Program Code:_PART I: Employment and Training Job Category Professionals Technicians Office/Clerical Construction by Trade (List) Trade: Electrician Trade: Painter Trade: Carpenter Trade: Trade: Other: (List) New Hires who are Section 3 Residents Total Hours for Section 3 Employees and Trainees 'Preference Category Section 3 Hires and Trainees ** 1 Racial/ 2 Ethnic 3 Code( 4 s) 5 'Preference Category 1 - Youthbuild 2 - McKinney-Homeless 3 - Other Section 3 4-HACLA 5 -Section 8 "Racial Ethnic Codes: 1 - White American 2 - Black American 3 - Native American 4 - Hispanic American 5 -Asian Pacific American 6 - Hasidic Jews (for Part II only) Program Codes: 1 - Flexible Subsidy 2-Section 202/811 3 -Public/Indian Housing Development, Operation and Modernization 4 - Homeless Assistance 5-HOME 6 - HOME State Administered 7-CDBG 8 - CDBG State Administered 9 - Other CD Programs x - Other Housing Program a:\Sect 3 Form 2 Revised: March 1997 JOB ADDKESS: Form 3 CITY OF CARLSBAD SECTION 3 BUSINESS USAGE MONTHLY REPORT Contractor/Subcontractor Contract/Subcontract Start Date Date of Report Address Contract/Subcontractor Completion Date Contract/Subcontract Amount Telephone Report Period Contact Person Construction Address: i Program Code: Contracts/Subcontracts for Materials/Supplies/Vendors COMPLETE for EACH SUBCONTRACT PART II: Contracts Awarded 1. Construction Contracts A. Total dollar amount of contract/subcontract B. Total dollar amount of contracts/subcontracts awarded to Section 3 businesses C. Percentage of the total dollar amount that was awarded to Section 3 businesses D. Name, address and dollar amount of each Section business E. Nature of contract F. Enter the number of Section 3 businesses receiving contracts by Racial/Ethnic code(s) (see Part I on Page 35) 1. I 12. I I 3. I I 4. | | 5. | | 6. 2. Nonconstruction Contracts A. Total dollar amount of all nonconstruction contracts/subcontracts B. Total dollar amount of nonconstruction contracts/subcontracts awarded to Section 3 businesses • C. Percentage of the total dollar amount that was awarded to Section 3 businesses D. Total number of Section 3 businesses receiving nonconstruction contracts E. Enter the number of Section businesses receiving nonconstruction contracts by Racial/Ethnic code(s) 1 EH2 HIT-en 4CH 5d] 6CU Racial Ethnic Codes: 1-White American 4 - Hispanic American 2 - Black American 5 - Asian Pacific American 3 - Native American 6 - Hasidic Jews (for Part II only) A:\Sect 3 Form 3 Revised: March 1997 CITY OF CARLSBAD HOUSING AND REDEVELOPMENT DEPARTMENT 2965 ROOSEVELT STREET, SUITE B . CARLSBAD, CA 92008 INCOME CERTIFICATION FOR RESIDENT SEEKING SECTION 3 PREFERENCE IN TRAINING AND EMPLOYMENT am a resident at the following address: I hereby certify that my total family income for the previous 12 months was $ , and the total number of adults contributing towards my family support is . The total number of individuals in my family is . Documentation is available to verify the above information. Signature of Section 3 Resident Date Print Name Verification Documents description: A:\Sect 3 Form 4a Revised: March 1997 CITY OF CARLSBAD HOUSING AND REDEVELOPMENT DEPARTMENT 2965 ROOSEVELT STREET, SUITE B . CARLSBAD, CA 92008 CERTIFICATION OF PARTICIPATION IN HUD HOUSING PROGRAMS FOR RESIDENT SEEKING SECTION 3 PREFERENCE IN TRAINING AND EMPLOYMENT am a resident at the following address: I hereby certify that I am a current participant in a local Youthbuild or housing program supported by funds from the U.S. Department of Housing and Urban Development. Documentation is available to verify the above information. Signature of Section 3 Resident Date Print Name Verification Documents description: A:\Sect 3 Form 4b Revised: March 1997 CITY OF CARLSBAD HOUSING AND REDEVELOPMENT DEPARTMENT 2965 ROOSEVELT STREET, SUITE B • CARLSBAD, CA 92008 CERTIFICATION OF SECTION 3 BUSINESS CONCERN JOB Site Address: Name of Business Address of Business Telephone No. FAX No. Service Purchased & Amount Type of Business: Corporation Partnership Sole Proprietorship Joint Venture Qualifying Basis 1. 51 percent owned by Section 3 low-income residents, or 2. Permanent, full-time employees include at least 30% Section 3 low- income residents, or 3. Written commitment to subcontract more than 20% of dollar award from the City of Carlsbad, to business concerns who meet above number 1 or 2 Section 3 qualifications. I hereby certify that I am authorized to act on behalf of the business indicated above; that the above information is accurate; and that I can provide documentation to verify the above information. Signature Date Print Name A:\Sect 3 Form 5 Revised: March 1997 Include the Federal Wage Determination for the Project in Bid Requests, Specifications, and Contracts. The Project Wage Determination is effective and can be used 180 calendar days from the date of such determination. If the Wage Determination will expire prior to contract award, the City of Carlsbad shall request a new Wage Determination. Project Wage Determination may be modified to keep them current. Project Wage Determination must include any modifications issued 10 days prior to the Bid Opening date. FORM APPROVED BUDGET BUREAU NO. 63.R1138 U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT CERTIFICATION BY PROPOSED SUBCONTRACTOR REGARDING EQUAL EMPLOYMENT OPPORTUNITY Name of Prime Contractor Project No. 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: 1. Bidder has participated in a previous contract or subcontract subject to the Equal Opportunity Clause. Yes 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 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 OP 0 9 23-812 FORM APPROVED BUDGET BUREAU NO. 63.R1137 U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT CERTIFICATION OF BIDDER REGARDING EQUAL EMPLOYMENT OPPORTUNITY 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: 1. 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 HUD-4238-CD-1 (3-70) Previoui Edition ii Obwlete OPO S92-820 U.S. DEP^ PENT OF LABOR Employment £>.<«ndards Administration. OFCP I'MONTHLY EMPLOYMENTS UTILIZATION REPORT Thi« roport is required by Executive Order 1 1 246. Sec. 203. Failure to report can result in contracts being canceled, terminated or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts of federally assisted construction contracts U.S. Department of Labor Employment Standards Administration Office of Federal Contract Compliance Programs 880 Front Street. Room 2-8-19 San Diego CA 92188 5. CONSTRUCTION TRADE CLASSIFICATIONS Journey Worker APPRENTICE TRAINEE SUBTOTAL Journey Worker APPRENTICE TRAINEE SUBTOTAL Journey Worker APPRENTICE TRAINEE SUBTOTAL Journey Worker APPRENTICE TRAINEE SUBTOTAL TOTAL JOURNEY WORKERS TOTAL APPRENTICES TOTAL TRAINEES GRAND TOTAL 1- COVLHU AHA ISMSA OH EAI 2 LMTOVEHSI.D NO MINORITY: FEMALE: NAME AND LOCATION OF CONTRACTOR 6. WORK HOURS OF EMPLOYMENT (Federal & Non-Federal) 6a. TOTAL ALL EMPLOYEES BY TRADE M F 6b. BLACK (Not of Hispanic Origin) M F 1 1 . COMPANY OFFICIAL'S SIGNATURE AND TITLE 6c. HISPANIC M F 6d. " ASIAN OR PACIFIC ISLANDERS M F 6e. AMERICAN INDIAN OR ALASKAN NATIVE M 1 2. TELEPHONE NUMBER ( ) F 7. MINORITY PERCENTAGE 13. DATE 8. FEMALE PERCENTAGE SIGNED 9. 4 ttrOHIINGPi j FROM: TO: FEDERAL FUNDING AGENCY TOTAL NUMBER OF EMPLOYEES M F 10. TOTAL NUMBER OF MINORITY EMPLOYEES M F PAGE OF OMB AWHOVAL NO 44 HI 390 FOHM 12313 lltov 1 INSTRUCTIONS FOR FILING MONTHLY EMPLOYMENT UTILIZATION REPORT (CC-257) The Monthly Utilization Report is to be completed by each subject contractor (both prime and sub) and signed by a responsible official of the company. The reports are to be filed the 5th day of each month during the term of the contract, and they shall include the total work-hours for each employee classification in each trade in the covered area for the monthly reporting period. The prime contractor shall submit a report for its aggregate work force and collect and submit reports for each subcontractor's aggregate work force to the Federal compliance agency that has Executive order 11246 responsibility. (Additional copies of this form may be obtained from the U.S. Department of Labor, Employment Standards Administration, OFCCP's regional office for your area.) Compliance Agency Federal Funding Agency Contractor Minority 1. Covered Area 2. Employer's Identification Number . 3. Current Goals (Minority & Female) 4. Reporting Period 5. Construction Trade 6. Work-Hours Of Employment (a-e) Classification 7. Minority Percentage 8. Female Percentage 9. Total Number of Employees 10. Total Number of Minority Employees U.S. Government agency assigned responsibility for equal employment opportunity. (Secure this information from the contracting officer). U.S. Government agency funding project (in whole or in part). If more than one agency, list all. Any contractor who has a construction contract with the U.S. Government or a contract funded in whole or in part with Federal funds. Includes Blacks, Hispanics, American Indians, Alaskan Natives, and Asian and Pacific Islanders - both men and women. Geographic area identified in Notice required under 41 CFR 60.4.2 Federal Social Security Number used on Employer's Quarterly Federal Tax Return (U.S. Treasury Department Form 941). See contract Notification. Monthly, or as directed by the compliance agency, beginning with the effective date of the contract. Only those construction crafts which contractor employs in the covered area. a. The total number of male hours and the total number of female hours worked by each specifiedgroup of minority employees in each classification. The level of accomplishment or status of the worker in the trade (Journey Worker, Apprentice, Trainee) The percentage of total minority work-hours of all work-hours (the sum of columns 6b, 6c, 6d, and 6e divided by column 6a; just one figure for each construction trade). For each trade the number reported in 6a. F divided by the sum of the numbers reported in 6a, M and F Total number of male and total number of female employees working in each classification of each trade in the contractor's aggregate work force during reporting period. Total number of male minority employees and total number of female minority employees working in each classification in each trade in the contractor's aggregate work force during reporting period. t-ntrr ri-ui •UmMiMi I WA&f AMO MOUft CftfCk comrt b»jc float 60 Gwp/eke wjnll forms \Jf9nt" section) rAYROIL ir«e*«ii«€i«<»ontauiih«s$Miiitii«€iton.r« AT//•jt* »//> iriuit fa ftt"ninrfk/j<yns/rh,tL. (* &>r u».* *r,nj/" -»/<•/- IHc. Columbi I >«..icl«4cMi«^i«aI 4?9l,f4*a . f Sncinr...pniett<mM. ^ffo x C3 fully toilix (fa/1/tfnnt subhrnffctl at to L0jvj>le.£e fay/*!/ Fo (bac •••»•.« i.i », ,,i IHI»«*»^»I • in l *•• "to««< MP* MM* rf tko taniv « >.M k ••••«• &//•//(: in names of benefit* B5JS\£EK3fs iBiiwrAflBEnv -Signature musl te. //link. fr 5 (a, -type of I>or oa c (Dn apprentice, wa overtime //i*t) overtime* 0n mumple federalprpje. tit ocrAMMiNf or LAMM WMtC AND MOUN OMIWON TIPS t* 24-1 694 tt PAYROLL .„.-.. ... . . . .- , — . ,.,t.J.(fwCMilmlM'sOpU«iMlUM;SMfc»tnidlM^r«mim-347lMt.) MUM 0» COMIMCIO* r*V«01l HV. » ^f/o Ml MCUWIt MMMB M IMHMM o\.10 tr* A3 |4| Mf AM Mlf NOUK WOMI* MCN •« s 8 ( IOIM 20 Mlf 357 m I/// nc* 'HttMci a> eoHnucT NO.-flCW/_ fM 9.00 9.00 i/WAJeves 4.20 MT9 IOg.01 312.25 ihtutt fully J»llhfuy>l Shankn fnlj uHfkcit. 3 ham *n /4/t r*nhVtC he. a ri Shunttn vtflrJ iO /MM* another ft Jtfs/L JvnJnf t)in mxoc o oo 3 Cn> Q. 60 and u&ae$ tf employee. work* en mart emp/ojee dones 824 ttb*JJbti//lft Carpenter CbstX 8 gf 8 8 23 40 S.92 *> 36L.W20JH S&M 7J4 357 7. H 3,57 PtVS 320 WiutOiXS320 -I vono 0ne. ihe Of ret •utc •Since Austin u*ekt Hff*rt hit adlftu onJhit sxul rity number. OO Cn QL Tiou) spenf /**£• *n CiJt/mn (sue column f) amtunt earned at tH'n p*»ftit PIUS x:r iJtL lypt ef lal^m" c/Miftc*h*n tsjHmtn t»thencv<r ttu/nl*s at fa f nil. Ca>n. U.S. DEPARTMENT OF LABOR WAGE AND HOUR DIVISION PAYROLL (For Contractor's Optional UM; See Instruction. FORM WH-347 Instruction*) BudpM gutMU M*. 44-4I1M) HUM or coNTMCTOM D MVKXl NO. Ill NAME. ft>c*m, AHt»»orv»t MUMKft Of B*Wft FOHWfBC tfcumvi Odd BOM (2J E | \l\gss WOONTHMTOII D 1 1*1 VWMC g>ii>ir«TioN « «T o t 0 ( o t o • o t o • 0 * o • 0 • mo.*CTI HOU jOCAT MM w wo KM r«*a «KS> o*n CACM0*T ADOMM m TOTAL HOUW M Mn orMV l EAf THW muter 7) •CO 1 AU. mojEcra ffD TAX RCA *OCICQ (TATf TAX Ml PitojccroncONTKM FB CTW evu. TAXL X m WT WAOC> nUDFOH WfflC a NO. ocac NO. KMMWH-M7 HMO •ML 1M- fUHCHASf IMS AMW OflCCTlr «K»M THt tUTT. Of OOCUHfHTt STATEMENT OF COMPLIANCE Date: (1) (Name of Signatory Party) That I pay or supervise the payment of the persons employed by (Title) . do hereby state: on the (Building or Work) 19. (Contractor or Subcontractor) _; that during the payroll period commencing on the day of and ending the.day of 19 , 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 (Contractor or Subcontractor) full weekly wages earned by any person and 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 conform with the work he 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) D (b) D (O WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS, OR PROGRAMS In addition to the basic hourly wage rates paid to each laborer or mechanic listed in the above reference 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. WHERE FRINGE BENEFITS ARE PAID IN CASH Each Laborer or mechanic listed in the above referenced payroll has been paid as indicated on the payroll, an amount not less than the sum of the applicable basic hourly wage rate plus the amount of the required fringe benefits as listed in the contract, except as noted in Section 4(c) below. EXCEPTIONS EXCEPTION (CRAFT)EXPLANATION REMARKS NAME AND TITLE SIGNATURE THE WILLFUL FALSIFICATION OF ANY OF THE ABOVE STATEMENTS MAY SUBJECT THE CONTRACTOR OR SUBCONTRACTOR TO CIVH. OR CRIMINAL PROSECUTION. SEE SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE 31 OF THE UNITED STATE CODE Form WH 348 (1/68) PURCHASE THIS FORM DIRECTLY FROM THf SUPT. OF OOCUMfNTS. 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 the payment of the minimum rates. The contractor's obligation to pay fringe benefits may be met by payment of the fringes to the various plans, funds, or programs or by making these payments to the employees as cash in lieu of fringes. The contractor should show on the face of his payroll all monies paid to the employees whether as basic rates or as cash in lieu of fringes. The contractor shall represent in the statement of compliance that he is paving to others fringes required by the contract and not paid as cash in lieu of fringes. Detailed instructions follow: Contractors who pay all required fringe benefits: A contractor who pays fringe benefits to approved plans, funds or program in amounts not less than were determined in the applicable wage decision of the Secretary of Labor shall continue to show-on the face of his payroll the basic cash hourly rate and overtime rate paid to his employees, just as he has always done. Such a contractor shall check paragraph 4(a) of the statement to indicate that he is also paying to approved plans, funds, or programs not less than the amount predetermined as fringe benefits for each craft. Any exception shall be noted in Section 4(c). Contractors who pav 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. In as much 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 basic 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, thus $3.257.40. 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 program in amounts less than the wage determination requires is obligated 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. For tal* by the Superintendent of Document!, U.S. Government Printing Office Washington, D.C. 20402 - Price 12.75 per pad of 100 Stock Number 029-005-00015-0 Catalog number L22. FORM WH-348 Record of Employee Interview Labor Standards Department of Housing and Urban Development OMB Approval No. 2501-0009 (Exp.(4-30-88)) Project Number Project Name 1. Name of Employee Contractor or Subcontractor (Employer) 2. Home Address and Zip Code 3. Last Date You Workerd on Project Before Today?Number of Hours Worked on Project on that Date? 4. Your Hourly Pay Rate? $ 5. Your Job Classification?Apprentice: Yes No 6. Your Duties? Tools or Equipment Used? (Please Specify.! 8. 9. 10. Paid at least Time and One-Half for All Hours Worked in Excess of 40 in a Week? tlf overtime premium pay is not required, enter "inapplicable "1 Ever Threatend, Intimidated, or Coerced into Giving Up Any Part of Pay? Yes No Duties Observed by Interviewer • Conform to Classification: Yes No 11.Remarks (Continue on reverse if necessary.) 1 2. Signature of Interviewer Date Payroll Examination 13. Remarks /Continue on reverse if necessary.) 14. Signature of Payroll Examiner Date Previous Edition is Obsolete HUD-11(9-86) NOTICE TO EMPLOYEES Working on Federal or Federally Financed Construction Projects MINIMUM WAGES OVERTIME APPRENTICES PROPER PAY You must be paid not less than the wage rate in the schedule posted with this Notice for the kind of work you perform. You must be paid not less than one and one-half times your basic rate of pay for all hours worked over 8 hours a day or 40 hours a week -- whichever is greater. There are some exceptions. Apprentice rates apply only to apprentices properly registered under approved Federal or State apprenticeship programs. If you do not receive proper pay, contact the Contracting Officer as given below: Or you may get in touch with the nearest office of the Wage and Hour Division, U.S. Department of Labor. The Wage and Hour Division has offices in several hundred communities throughout the country. They are listed in the U.S. Government Section of most telephone directories under Department of Labor, Employment Standards Administration. Revised: 08/25/94 IMOTICIA A TODOS EMPLEADOS Trabajo en Projectos de Construccion Federales o Financiados Federalmente SALARIQ MINIMO TIEMPO EXTRA (overtime) APRENDIZES SUELDO APROPIADO Usten debe ser pagado no menos del salario listado en la programaci6n acompanando esta NOTICIA por el tipo de trabajo que usten hace. Usted debe ser pagado no menos que tiempo y medio de su salario ba*sico por todas horas trabjadas arriba de 40 en una semana. Hay algunas excepciones. Salario de aprendiz se aplica solamente a aprendizes apropiadamente registrados en programas de aprendizaje aprobados por agencias Estatales o Federales. Si no recibe el sueldo apropiado comunfquese con el Agente de Contratos nombrado abajo. Se hable espanol. 0 comunfquese con la oficina ma's cercana de la Divisidn de Salario y Hora del Departamento de Asuntos Laborales de los Estados Unidos (Wage and Hour Division, U.S. Department of Labor). La Divisidn de Salario y Hora tiene oficinas en cienes de somunidades por todo el pars. Ellas estan listadas en la seccidn de gobierno de los Estados Unidos en la mayorfa de directorios telef6nicos bajo: U.S. Department of Labor Employment Standards Division Revised: 08/25/94