HomeMy WebLinkAboutC2020-357 - 9/22/2020 - Approved
Service Agreement Standard Form – Federal Funding Page 1 of 8
SERVICE AGREEMENT NO. 2982
Flooring Replacement for Ben Garza Gym
THIS Flooring Replacement for Ben Garza Gym Agreement ("Agreement") is
entered into by and between the City of Corpus Christi, a Texas home-rule municipal
corporation (“City”) and Lone Star Game Courts, LLC dba South Texas Sport Court
Flooring (“Contractor"), effective upon execution by the City Manager or the City
Manager’s designee (“City Manager”).
WHEREAS, Contractor has bid to provide Flooring Replacement for Ben Garza
Gym in response to Request for Bid/Proposal No. 2982 (“RFB/RFP”), which RFB/RFP
includes the required scope of work and all specifications and which RFB/RFP and the
Contractor’s bid or proposal response, as applicable, are incorporated by reference
in this Agreement as Exhibits 1 and 2, respectively, as if each were fully set out here in
its entirety.
NOW, THEREFORE, City and Contractor agree as follows:
1. Scope. Contractor will provide Flooring Replacement for Ben Garza Gym
(“Services”) in accordance with the attached Scope of Work, as shown in
Attachment A, the content of which is incorporated by reference into this
Agreement as if fully set out here in its entirety, and in accordance with Exhibit 2.
2. Term. This Agreement is for six months, with performance commencing upon the
date of issuance of a notice to proceed from the Contract Admin istrator or the
Contracts and Procurement Department. The parties may mutually extend the
term of this Agreement for up to zero additional zero-month periods (“Option
Period(s)”), provided, the parties do so by written amendment prior to the
expiration of the original term or the then-current Option Period. The City’s
extension authorization must be executed by the City Manager or designee.
3. Compensation and Payment. This Agreement is for an amount not to exceed
$115,590.00, subject to approved extensions and changes. Payment will be made
for Services completed and accepted by the City within 30 days of acceptance,
subject to receipt of an acceptable invoice. Contractor shall invoice no more
frequently than once per month. All pricing must be in accordance with the
attached Bid/Pricing Schedule, as shown in Attachment B, the content of which
is incorporated by reference into this Agreement as if fully set out here in its
entirety. Any amount not expended during the initial term or any option period
may, at the City’s discretion, be allocated for use in the next option period.
Invoices will be mailed to the following address with a copy provided to the
Contract Administrator:
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Service Agreement Standard Form – Federal Funding Page 2 of 8
City of Corpus Christi
Attn: Accounts Payable
P.O. Box 9277
Corpus Christi, Texas 78469-9277
4. Contract Administrator. The Contract Administrator designated by the City is
responsible for approval of all phases of performance and operations under this
Agreement, including deductions for non-performance and authorizations for
payment. The City’s Contract Administrator for this Agreement is as follows:
Name: Roberta Rodriguez
Department: Parks and Recreation
Phone: 361-826-3166
Email: RobertaO@cctexas.com
5. Insurance; Bonds.
(A) Before performance can begin under this Agreement, the Contractor must
deliver a certificate of insurance (“COI”), as proof of the required insurance
coverages, to the City’s Risk Manager and the Contract Administrator.
Additionally, the COI must state that the City will be given at least 30 days’
advance written notice of cancellation, material change in coverage, or intent
not to renew any of the policies. The City must be named as an additional insured.
The City Attorney must be given copies of all insurance policies within 10 days of
the City Manager's written request. Insurance requirements are as stated in
Attachment C, the content of which is incorporated by reference into this
Agreement as if fully set out here in its entirety.
(B) In the event a payment bond, a performance bond, or both, are required of
the Contractor to be provided to the City under this Agreement before
performance can commence, the terms, conditions, and amounts required in the
bonds and appropriate surety information are as included in the RFB/RFP or as
may be added to Attachment C, and such content is incorporated here in this
Agreement by reference as if each bond’s terms, conditions, and amounts were
fully set out here in its entirety.
6. Purchase Release Order. For multiple-release purchases of Services to be
provided by the Contractor over a period of time, the City will exercise its right to
specify time, place and quantity of Services to be delivered in the following
manner: any City department or division may send to Contractor a purchase
release order signed by an authorized agent of the department or division. The
purchase release order must refer to this Agreement, and Services will not be
rendered until the Contractor receives the signed purchase release order.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Service Agreement Standard Form – Federal Funding Page 3 of 8
7. Inspection and Acceptance. Any Services that are provided but not accepted by
the City must be corrected or re-worked immediately at no charge to the City. If
immediate correction or re-working at no charge cannot be made by the
Contractor, a replacement service may be procured by the City on the open
market and any costs incurred, including additional costs over the item’s
bid/proposal price, must be paid by the Contractor within 30 days of receipt of
City’s invoice.
8. Warranty.
(A) The Contractor warrants that all products supplied under this Agreement
are new, quality items that are free from defects, fit for their intended purpose,
and of good material and workmanship. The Contractor warrants that it has clear
title to the products and that the products are free of liens or encumbrances.
(B) In addition, the products purchased under this Agreement shall be
warranted by the Contractor or, if indicated in Attachment D by the
manufacturer, for the period stated in Attachment D. Attachment D is attached
to this Agreement and is incorporated by reference into this Agreement as if fully
set out here in its entirety.
(C) Contractor warrants that all Services will be performed in accordance
with the standard of care used by similarly situated contractors performing similar
services.
9. Quality/Quantity Adjustments. Any Service quantities indicated on the Bid/Pricing
Schedule are estimates only and do not obligate the City to order or accept more
than the City’s actual requirements nor do the estimates restrict the City from
ordering less than its actual needs during the term of the Agreement and including
any Option Period. Substitutions and deviations from the City’s product
requirements or specifications are prohibited without the prior written approval of
the Contract Administrator.
10. Non-Appropriation. The continuation of this Agreement after the close of any
fiscal year of the City, which fiscal year ends on September 30th annually, is subject
to appropriations and budget approval specifically covering this Agreement as
an expenditure in said budget, and it is within the sole discretion of the City’s City
Council to determine whether or not to fund this Agreement. The City does not
represent that this budget item will be adopted, as said determination is within the
City Council's sole discretion when adopting each budget.
11. Independent Contractor. Contractor will perform the work required by this
Agreement as an independent contractor and will furnish such Services in its own
manner and method, and under no circumstances or conditions will any agent,
servant or employee of the Contractor be considered an employee of the City.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Service Agreement Standard Form – Federal Funding Page 4 of 8
12. Subcontractors. Contractor may use subcontractors in connection with the work
performed under this Agreement. When using subcontractors, however, the
Contractor must obtain prior written approval from the Contract Administrator if
the subcontractors were not named at the time of bid or proposal, as applicable.
In using subcontractors, the Contractor is responsible for all their acts and
omissions to the same extent as if the subcontractor and its employees were
employees of the Contractor. All requirements set forth as part of this Agreement,
including the necessity of providing a COI in advance to the City, are applicable
to all subcontractors and their employees to the same extent as if the Contractor
and its employees had performed the work.
13. Amendments and Changes. This Agreement may be amended or modified only
by written change order signed by both parties. Change orders may be used to
modify quantities as deemed necessary by the City. Any changes that alter the
method, price, or schedule of work must be allowable, allocable, within the scope
of any federal grant or cooperative agreement, and reasonable for the
completion of the project scope.
14. Waiver. No waiver by either party of any breach of any term or condition of this
Agreement waives any subsequent breach of the same.
15. Taxes. The Contractor covenants to pay payroll taxes, Medicare taxes, FICA
taxes, unemployment taxes and all other related taxes. Upon request, the City
Manager shall be provided proof of payment of these taxes within 15 days of such
request.
16. Notice. Any notice required under this Agreement must be given by fax, hand
delivery, or certified mail, postage prepaid, and is deemed received on the day
faxed or hand-delivered or on the third day after postmark if sent by certified mail.
Notice must be sent as follows:
IF TO CITY:
City of Corpus Christi
Attn: Roberta Rodriguez
Title: Contracts/Funds Administrator
Address: 1201 Leopard St., Corpus Christi, Texas 78401
Phone: 361-826-3166
Fax: 361-826-4352
IF TO CONTRACTOR:
Lone Star Game Courts, LLC dba South Texas Sport Court Flooring
Attn: Eric Meyer
Title: Owner
Address: 2227 Sapphire Oak, San Antonio, TX 78233
Phone: 210-241-0005
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Service Agreement Standard Form – Federal Funding Page 5 of 8
17. CONTRACTOR SHALL FULLY INDEMNIFY, HOLD HARMLESS AND DEFEND
THE CITY OF CORPUS CHRISTI AND ITS OFFICERS, EMPLOYEES AND
AGENTS (“INDEMNITEES”) FROM AND AGAINST ANY AND ALL LIABILITY,
LOSS, CLAIMS, DEMANDS, SUITS, AND CAUSES OF ACTION OF
WHATEVER NATURE, CHARACTER, OR DESCRIPTION ON ACCOUNT OF
PERSONAL INJURIES, PROPERTY LOSS, OR DAMAGE, OR ANY OTHER KIND
OF INJURY, LOSS, OR DAMAGE, INCLUDING ALL EXPENSES OF
LITIGATION, COURT COSTS, ATTORNEYS’ FEES AND EXPERT WITNESS FEES,
WHICH ARISE OR ARE CLAIMED TO ARISE OUT OF OR IN CONNECTION
WITH A BREACH OF THIS AGREEMENT OR THE PERFORMANCE OF THIS
AGREEMENT BY THE CONTRACTOR OR RESULTS FROM THE NEGLIGENT
ACT, OMISSION, MISCONDUCT, OR FAULT OF THE CONTRACTOR OR ITS
EMPLOYEES OR AGENTS. CONTRACTOR MUST, AT ITS OWN EXPENSE,
INVESTIGATE ALL CLAIMS AND DEMANDS, ATTEND TO THEIR SETTLEMENT
OR OTHER DISPOSITION, DEFEND ALL ACTIONS BASED THEREON WITH
COUNSEL SATISFACTORY TO THE CITY ATTORNEY, AND PAY ALL
CHARGES OF ATTORNEYS AND ALL OTHER COSTS AND EXPENSES OF
ANY KIND ARISING OR RESULTING FROM ANY SAID LIABILITY, DAMAGE,
LOSS, CLAIMS, DEMANDS, SUITS, OR ACTIONS. THE INDEMNIFICATION
OBLIGATIONS OF CONTRACTOR UNDER THIS SECTION SHALL SURVIVE
THE EXPIRATION OR EARLIER TERMINATION OF THIS AGREEMENT.
18. Termination.
(A) Termination for Cause. The City Manager may terminate this Agreement for
Contractor’s failure to comply with any of the terms of this Agreement. The
Contract Administrator must give the Contractor written notice of the breach and
set out a reasonable opportunity to cure. If the Contractor has not cured within
the cure period, the City Manager may terminate this Agreement immediately
thereafter.
(B) Termination for Convenience. Alternatively, the City Manager may terminate
this Agreement for convenience upon 30 days advance written notice to the
Contractor. The City Manager may also terminate this Agreement upon 24 hours
written notice to the Contractor for failure to pay or provide proof of payment of
taxes as set out in this Agreement. In the event of termination for convenience,
the Contractor will be compensated for all Services performed prior to the date
of termination. The City shall have no further obligations to the Contractor.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Service Agreement Standard Form – Federal Funding Page 6 of 8
19. Effect of Breach. In addition to the remedy of termination, if the Contractor violates
or breaches any provision of the Agreement, the City may pursue any other claims
or causes of action available under the law. No specific sanctions or penalties
apply to this Agreement except those that are otherwise available under the law.
20. Limitation of Liability. The City’s maximum liability under this Agreement is limited
to the total amount of compensation listed in Section 3 of this Agreement. In no
event shall the City be liable for incidental, consequential or special damages.
21. Assignment. No assignment of this Agreement by the Contractor, or of any right
or interest contained herein, is effective unless the City Manager first gives written
consent to such assignment. The performance of this Agreement by the
Contractor is of the essence of this Agreement, and the City Manager's right to
withhold consent to such assignment is within the sole discretion of the City
Manager on any ground whatsoever.
22. Severability. Each provision of this Agreement is considered to be severable and,
if, for any reason, any provision or part of this Agreement is determined to be
invalid and contrary to applicable law, such invalidity shall not impair the
operation of nor affect those portions of this Agreement that are valid, but this
Agreement shall be construed and enforced in all respects as if the invalid or
unenforceable provision or part had been omitted.
23. Order of Precedence. In the event of any conflicts or inconsistencies between this
Agreement, its attachments, and exhibits, such conflicts and inconsistencies will
be resolved by reference to the documents in the following order of priority :
A. this Agreement (excluding attachments and exhibits);
B. its attachments;
C. the bid solicitation document including any addenda (Exhibit 1); then,
D. the Contractor’s bid response (Exhibit 2).
24. Certificate of Interested Parties. Contractor agrees to comply with Texas
Government Code Section 2252.908, as it may be amended, and to complete
Form 1295 “Certificate of Interested Parties” as part of this Agreement.
25. Governing Law. Contractor agrees to comply with all federal, Texas, and City laws
in the performance of this Agreement. The applicable law for any legal disputes
arising out of this Agreement is the law of the State of Texas, and such form and
venue for such disputes is the appropriate district, county, or justice court in and
for Nueces County, Texas.
26. Public Information Act Requirements. This paragraph applies only to agreements
that have a stated expenditure of at least $1,000,000 or that result in the
expenditure of at least $1,000,000 by the City. The requirements of Subchapter J,
Chapter 552, Government Code, may apply to this contract and the Contractor
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Service Agreement Standard Form – Federal Funding Page 7 of 8
agrees that the contract can be terminated if the Contractor knowingly or
intentionally fails to comply with a requirement of that subchapter.
27. Entire Agreement. This Agreement constitutes the entire agreement between the
parties concerning the subject matter of this Agreement and supersedes all prior
negotiations, arrangements, agreements and understandings, either oral or
written, between the parties.
28. Federal Funding Requirements. This project is subject to requirements provided for
the Federal Emergency Management Agency (FEMA), the Federal Aviation
Administration (FAA) and/or other federal agencies. A set of Federal
Requirements has been attached as Attachment E, the content of which is
incorporated by reference into this Agreement as if fully set out here in its entirety.
The Contractor must comply with Attachment E while performing the Services. The
Contractor will insert in any subcontracts all Federal Provisions/Requirements
contained in the Agreement, such other clauses as FEMA, the FAA, or their
designees may by appropriate instructions require and 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 subcontractor with all the contract clauses.
[Signature Page Follows]
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Service Agreement Standard Form – Federal Funding Page 8 of 8
CONTRACTOR
Signature:
Printed Name:
Title:
Date:
CITY OF CORPUS CHRISTI
_____
Kim Baker
Director of Contracts and Procurement
Date:
APPROVED AS TO LEGAL FORM
_________________________________________________
Assistant City Attorney Date
Attached and Incorporated by Reference:
Attachment A: Scope of Work
Attachment B: Bid/Pricing Schedule
Attachment C: Insurance and Bond Requirements
Attachment D: Warranty Requirements
Attachment E: Federal Requirements
Incorporated by Reference Only:
Exhibit 1: RFB/RFP No. 2982
Exhibit 2: Contractor’s Bid/Proposal Response
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60
Owner
Eric Meyer
9/2/2020
DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
9/23/2020
___________________Authorized By
Council ________________________
M2020-189
09/22/2020
9/23/2020
ATTEST:
_____________________________
Rebecca Huerta
City Secretary
Page 1 of 2
ATTACHMENT A: SCOPE OF WORK
1. General Requirements/Background Information
The Contractor shall provide for a turnkey project which includes the removal and
installation of approximately 8,700 square feet of vinyl flooring at the Ben Garza Gym
as outlined in this Scope of Work.
2. Scope of Work
The Contractor shall provide labor, supervision, parts, supplies, materials, tools,
equipment, and transportation necessary to perform these services.
A. The Contractor shall remove, haul away, and dispose of Vinyl Flooring.
B. The Contractor shall Install High Gloss Light Maple color for Basketball court 74’3
by 116’
C. The Contractor shall paint High Gloss Black for basketball court perimeter stripe.
D. The Contractor shall Install High Gloss Solid Color for space between court and
wall.
E. The Contractor shall remove and reinstall the bleachers.
F. The Contractor shall install Aluminum track with Vinyl T-molding at doorways.
G. The Contractor shall install Roppe Sanitary Cove Molding 375’
H. The Contractor shall add Parks and Recreation Logo, 8x4-10 at Center court
with the logo digitally printed on high gloss flooring
I. Core concrete for 4 volleyball sleeves as follows:
1. Core Concrete for a two-court volleyball system – (Appendix A) #1
2. Anchor two volleyball sleeves at designated locations on North and South
Ends of basketball court (4 total) (Appendix A) #2
3. Install two volleyball sleeves at designated locations on North and South Ends
of basketball court (4 total) (Appendix A) #3
4. Extra mounting brackets to anchor suspended volleyball sleeves.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 2 of 2
3. Work Site and Conditions
The work shall be performed at the following location:
Ben Garza Gym – 1815 Howard Street, Corpus Christi, Texas 78408
4. Contractor Quality Control and Superintendence
The Contractor shall establish and maintain a complete Quality Control Program that
is acceptable to the Contract Administrator to assure that the requirements of the
Contract are provided as specified. The Contractor will also provide supervision of the
work to insure it complies with the contract requirements.
5. Insurance and Bonds
The Contractor shall provide a payment bond if the estimate of this project exceeds
$50,000 and a performance bond if the estimate of this project exceeds $100,000.
Insurance and bonds must be maintained throughout the term of the contract.
6. Warranty
The Contractor shall provide a one-year warranty on workmanship.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Thursday, July 23, 2020
Lone Star Game Courts, LLC
DBA: South Texas Sport Court Flooring
113,490.00
2,100.00
115,590.00
ATTACHMENT B: BID/PRICING FORM
Page 1 of 1
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 1 of 3
ATTACHMENT C: INSURANCE AND BOND REQUIREMENTS
I. CONTRACTOR’S LIABILITY INSURANCE
A. Contractor must not commence work under this agreement until all insurance
required herein has been obtained and approved by the City's Risk Manager or
designee. Contractor must not allow any subcontractor to commence work until
all similar insurance required of the subcontractor has been so obtained.
B. Contractor must furnish to the City’s Risk Manager and Contract Administrator one
(1) copy of Certificates of Insurance (COI) with applicable policy endorsements
showing the following minimum coverage by an insurance company(s)
acceptable to the City’s Risk Manager. The City must be listed as an additional
insured for the General Liability and Auto Liability policies by endorsement, and a
waiver of subrogation is required on all applicable policies. Endorsements must be
provided with COI. Project name and or number must be listed in Description Box
of COI.
C. In the event of accidents of any kind related to this project, Consultant must furnish
the Risk Manager with copies of all reports of such accidents within 10 days of the
accident.
TYPE OF INSURANCE MINIMUM INSURANCE COVERAGE
30-written day notice of cancellation
required on all certificates or by
applicable policy endorsements.
Bodily Injury and Property Damage
Per occurrence - aggregate
Commercial General Liability including:
1. Commercial Broad Form
2. Premises – Operations
3. Products/ Completed Operations
4. Contractual Liability
5. Independent Contractors
6. Personal Injury- Advertising Injury
$1,000,000 Per Occurrence
AUTOMOBILE LIABILITY (including)
1. Owned
2. Hired & Non-owned
3. Rented & Leased
$1,000,000 Combined Single Limit
WORKERS’ COMPENSATION
Employer’s Liability
Statutory
$500,000 / $500,000 / $500,000
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 2 of 3
II. ADDITIONAL REQUIREMENTS
A. Applicable for paid employees, Contractor must obtain workers’ compensation
coverage through a licensed insurance company. The coverage must be written
on a policy and endorsements approved by the Texas Department of Insurance.
The workers’ compensation coverage provided must be in an amount sufficient to
assure that all workers’ compensation obligations incurred by the Contractor will
be promptly met. An All States endorsement shall be required if consultant is not
domiciled in the State of Texas.
B. Contractor shall obtain and maintain in full force and effect for the duration of this
Contract, and any extension hereof, at Contractor’s sole expense, insurance
coverage written on an occurrence basis, by companies authorized and admitted
to do business in the State of Texas and with an A.M. Best's rating of no less than A-
VII.
C. Contractor shall be required to submit replacement Certificate of Insurance to City
at the address provided below within 10 days of any change made by the
Contractor or as requested by the City. Contractor shall pay any costs incurred
resulting from said changes. All notices under this Article shall be given to City at
the following address:
City of Corpus Christi
Attn: Risk Management
P.O. Box 9277
Corpus Christi, TX 78469-9277
D. Contractor agrees that with respect to the above required insurance, all insurance
policies are to contain or be endorsed to contain the following required provisions:
▪ List the City and its officers, officials, employees, and volunteers, as additional
insureds by endorsement with regard to operations, completed operations and
activities of or on behalf of the named insured performed under contract with
the City, with the exception of the workers’ compensation policy.
▪ Provide for an endorsement that the "other insurance" clause shall not apply to
the City of Corpus Christi where the City is an additional insured shown on the
policy;
▪ Workers' compensation and employers' liability policies will provide a waiver of
subrogation in favor of the City; and
▪ Provide 30 calendar days advance written notice directly to City of any
cancellation, non-renewal, material change or termination in coverage and
not less than ten calendar days advance written notice for nonpayment of
premium.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 3 of 3
E. Within five calendar days of a cancellation, non-renewal, material change or
termination of coverage, Contractor shall provide a replacement Certificate of
Insurance and applicable endorsements to City. City shall have the option to
suspend Contractor’s performance should there be a lapse in coverage at any
time during this contract. Failure to provide and to maintain the required insurance
shall constitute a material breach of this contract.
F. In addition to any other remedies the City may have upon Contractor’s failure to
provide and maintain any insurance or policy endorsements to the extent and
within the time herein required, the City shall have the right to order Contractor to
stop work hereunder, and/or withhold any payment(s) which become due to
Consultant hereunder until Contractor demonstrates compliance with the
requirements hereof.
G. Nothing herein contained shall be construed as limiting in any way the extent to
which Contractor may be held responsible for payments of damages to persons or
property resulting from Contractor’s or its subcontractor’s performance of the work
covered under this contract.
H. It is agreed that Contractor’s insurance shall be deemed primary and non-
contributory with respect to any insurance or self-insurance carried by the City of
Corpus Christi for liability arising out of operations under this contract.
I. It is understood and agreed that the insurance required is in addition to and
separate from any other obligation contained in this agreement.
2020 Insurance Requirements
Ins. Req. Exhibit 4-B
Contracts for General Services – Services Performed Onsite
04/14/2020 Risk Management – Legal Dept.
Bonds:
The Contractor shall provide a payment bond if the estimate of this project exceeds
$50,000 and a performance bond if the estimate of this project exceeds $100,000.
Insurance and bonds must be maintained throughout the term of the contract.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
ATTACHMENT D: WARRANTY REQUIREMENTS
Workmanship - One year
Manufacturer's Warranty
Page 1 of 1
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 1 of 45
Attachment E – Federal Requirements
FEDERAL REQUIREMENTS
TABLE OF CONTENTS
Section No. Title
FR-01 Breach of Contract Terms
FR-02 Termination of Contract
FR-03 Equal Employment Opportunity - 41 CFR Part 60-1.4(b)
FR-04 Standard Federal Equal Employment Opportunity Construction Contract Specifications –
41 CFR Part 60.4.3
FR-05 Copeland Anti-Kickback Act 29 CFR Part 5
FR-06 Davis-Bacon Labor Requirements 29 CFR part 5
FR-07 Contract Work hours and Safety Standards Act Requirements
FR-08 Regulations Pertaining to Reporting
FR-09 Rights to Inventions
FR-10 Access to Records and Record Retention
FR-11 Clean Air and Water Pollution Control
FR-12 Energy Conservation Requirements
FR-13 Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion
FR-14 Lobbying and Influencing Federal Employees
FR-15 Economic Opportunities for Low and Very-Low Income Persons
FR-16 Affirmative Action Regulations and Plan
FR-17 Women and Minority Owned Businesses (M/WBE)
FR-18 Accessibility Section 504 Compliance
FR-19 Texas Architectural Barriers Act
FR-20 Drug-Free Workplace Requirements
FR-21 Field Requirements
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 2 of 45
FEDERAL REQUIREMENTS: FR-01
BREACH OF CONTRACT TERMS
Any violation or breach of terms of this contract on the part of the contractor or their
subcontractors may result in the suspension or termination of this contract or such other
action that may be necessary to enforce the rights of the parties of this agreement. The
duties and obligations imposed by the Contract Documents and the rights and remedies
available thereunder shall be in addition to and not a limitation of any duties, obligations,
rights and remedies otherwise imposed or available by law.
A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the
contract and for debarment as a contractor as provided in 29 CFR 5.12.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 3 of 45
FEDERAL REQUIREMENTS: FR-02
TERMINATION OF CONTRACT
a. The City may, by written notice, terminate this contract in whole or in part at any time,
either for the CIty's convenience or because of failure to fulfill the contract obligations. Upon
receipt of such notice services shall be immediately discontinued (unless the notice directs
otherwise) and all materials as may have been accumulated in performing this contract,
whether completed or in progress, delivered to the City.
b. If the termination is for the convenience of the City, an equitable adjustment in the
contract price shall be made, but no amount shall be allowed for anticipated profit on
unperformed services.
c. If the termination is due to failure to fulfill the contractor's obligations, the City may take
over the work and prosecute the same to completion by contract or otherwise. In such case,
the contractor shall be liable to the City for any additional cost occasioned to the City
thereby.
d. If, after notice of termination for failure to fulfill contract obligations, it is determined that
the contractor had not so failed, the termination shall be deemed to have been effected for
the convenience of the City. In such event, adjustment in the contract price shall be made
as provided in this clause.
e. The rights and remedies of the City provided in this clause are in addition to any other
rights and remedies provided by law or under this contract.
Reference: 24 CFR 85.36
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 4 of 45
FEDERAL REQUIREMENTS: FR-03
EQUAL EMPLOYMENT OPPORTUNITY - Executive Order 11246 as amended, 41 CFR
PART 60-1.4(b)
During the performance of this contract, the contractor agrees as follows:
1. The contractor will not discriminate against any employee or applicant for employment
because of race, color, religion, sex, or national origin. The contractor will take affirmative
action to ensure that applicants are employed, and that employees are treated during
employment without regard to their race, color, religion, sex, or national origin. Such action
shall include, but not be limited to the following: Employment, upgrading, demotion, or
transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other
forms of compensation; and selection for training, including apprenticeship. The contractor
agrees to post in conspicuous places, available to employees and applicants for
employment, notices to be provided setting forth the provisions of this nondiscrimination
clause.
2. The contractor will, in all solicitations or advertisements for employees placed by or on
behalf of the contractor, state that all qualified applicants will receive considerations for
employment without regard to race, color, religion, sex, or national origin.
3. The contractor will send to each labor union or representative of workers with which
he/she has a collective bargaining agreement or other contract or understanding, a notice
to be provided by the agency contracting officer, advising the labor union or workers'
representatives of the contractor's commitments under Section 202 of Executive Order
11246 of September 24, 1965, and shall post copies of the notice in conspicuous places
available to employees and applicants for employment.
4. The contractor will comply with all provisions of Executive Order 11246 of September 24,
1965, as amended, and of the rules, regulations, and relevant orders of the Secretary of
Labor.
5. The contractor will furnish all information and reports required by Executive Order 11246
of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or
pursuant thereto, and will permit access to his/her books, records, and accounts by the
contracting agency and the Secretary of Labor for purposes of investigation to ascertain
compliance with such rules, regulations, and orders.
6. In the event of the contractor's noncompliance with the nondiscrimination clauses of this
contract or with any of the such rules, regulations, or orders, this contract may be cancelled,
terminated or suspended in whole or in part and the contractor may be declared ineligible
for further Government contracts or federally assisted construction contracts in accordance
with procedure authorized in Executive Order 11246 of September 24, 1965, and such
other sanctions may be imposed and remedies invoked as provided in Executive Order
11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or
as otherwise provided by law.
7. The contractor will include the provisions of paragraphs (1) through (7) in every
subcontract or purchase order unless exempted by rules, regulations, or orders of the
Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September
24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The
contractor will take such action with respect to any subcontract or purchase order as may
be directed by the Secretary of Labor as a means of enforcing such provision, including
sanctions for noncompliance: Provided, however, that in the event a contractor becomes
involved in, or is threatened with, litigation with a subcontractor or vendor as a result of
such direction by the administering agency the contractor may request the United States to
enter into such litigation to protect the interests of the United States. [Sec. 202 amended by
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 5 of 45
EO 11375 of Oct 13, 1967, 32 FR 14303, 3 CFR, 1966-1970 Comp., p. 684. EO 12086 of
Oct 5, 1978, 43 FR 46501, 3 CFR, 1978 Comp., p. 230]
SEC. 203.Each contractor having a contract containing the provisions prescribed in Section
202 shall file, and shalt cause each of his subcontractors to file, Compliance Reports with
the contracting agency or the Secretary of Labor as may be directed. Compliance Reports
shall be filed within such times and shall contain such information as to the practices,
policies, programs, and employment policies, programs, and employment statistics of the
contractor and each subcontractor, and shall be in such form, as the Secretary of Labor
may prescribe.
Contractors or subcontractors may be required to state whether they have participated in
any previous contract subject to the provisions of this Order, or any preceding similar
Executive order, and in that event to submit, on behalf of themselves and their proposed
subcontractors, Compliance Reports prior to or as an initial part of their bid or negotiation
of a contract.
Whenever the contractor or subcontractor has a collective bargaining agreement or
other contract or understanding with a labor union or an agency referring workers or
providing or supervising apprenticeship or training for such workers, the Compliance
Report shall include such information as to such labor union's or agency's practices and
policies affecting compliance as the Secretary of Labor may prescribe: Provided, That to
the extent such information is within the exclusive possession of a labor union or an
agency referring workers or providing or supervising apprenticeship or training and such
labor union or agency shall refuse to furnish such information to the contractor, the
contractor shall so certify to the Secretary of Labor as part of its Compliance Report and
shall set forth what efforts he has made to obtain such information.
The Secretary of Labor may direct that any contractor or subcontractor shall submit, as part
of his/her Compliance Report, a statement in writing, signed by an authorized officer or
agent on behalf of any labor union or any agency referring workers or providing or
supervising apprenticeship or other training, with which the contractor deals, with
supporting information, to the effect that the signer's practices and policies do not
discriminate on the grounds of race, color, religion, sex or national origin, and that the
signer either will affirmatively cooperate in the implementation of the policy and provisions
of this Order or that it consents and agrees that recruitment, employment, and the terms
and conditions of employment under the proposed contract shall be in accordance with the
purposes and provisions of the order. In the event that the union, or the agency shall refuse
to execute such a statement, the Compliance Report shall so certify and set forth what
efforts have been made to secure such a statement and such additional factual material as
the Secretary of Labor may require.
[Sec. 203 amended by EO 11375 of Oct. 13, 1967, 32 FR 14303, 3 CFR, 1966-1970
Comp., p. 684; EO 12086 of Oct. 5, 1978, 43 FR 46501, 3 CFR, 1978 Comp., p.230
Reference: Executive Order 11246 & Title 41 CFR Part 60 -1.4
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 6 of 45
FEDERAL REQUIREMENTS: FR-04
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS - 41 CFR Part 60.4.3
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 (OFCCP),
U.S. 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. Treasury Department Form 941;
d. "Minority" includes:
(1) Black (all) persons having origins in any of the Black African racial groups not of
Hispanic origin);
(2) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American, or
other Spanish culture or origin regardless of race);
(3) 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
(4) 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 shall 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 plan is 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 18.7a through 18.7p 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. Covered construction contractors performing construction work in a
geographical area where they do not have a Federal or federally assisted construction
contract shall apply the minority and female goals established for the geographical area
where the work is being performed. Goals are published periodically in the Federal Register
in notice form, and such notices may be obtained from any Office of Federal Contract
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 7 of 45
Compliance Programs office or from Federal procurement contracting officers. The
contractor is expected to make substantially uniform progress in meeting 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 non-working training hours of apprentices and trainees to be counted in
meeting the goals, such apprentices and trainees shall be employed by the contractor
during the training period and the contractor shall have made a commitment to employ the
apprentices and trainees at the completion of their training, subject to the availability of
employment opportunities. Trainees shall 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
organizations when the contractor or its unions have employment opportunities available,
and maintain a record of the organizations' 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 was
not referred back to the contractor by the union or, if referred, not employed by the
contractor, this shall be documented in the file with the reason therefore 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 has not referred to the contractor a
minority person or female 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 compiled 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
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 8 of 45
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 a superintendents, general foremen,
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 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 notification 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.
l. 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 non-segregated 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 contractors 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 supervisor's 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 (18.7a through 18.7p). The efforts
of a contractor association, joint contractor union, contractor community, or other similar
groups of which the contractor is a member and participant, may be asserted as fulfilling
any one or more of its obligations under 18.7a through 18.7p 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 a good faith effort to meet its individual
goals and timetables, and can provide access to documentation which demonstrates the
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 9 of 45
effectiveness of actions taken 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 separate 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, if the 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.
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 18.7 of these specifications, so as to achieve maximum results from its efforts to
ensure equal employment opportunity. If the contractor 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
number, 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 requirement, contractors shall not be required to maintain
separate records.
15. Nothing herein provided shall be construed as a limitation upon the application of other
laws which establish different standards of compliance or 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 Block Grant Program).
Reference: Executive Order 11246 & Title 41 CFR Part 60 – 4.3
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 10 of 45
FEDERAL REQUIREMENTS: FR-05
COPELAND “ANTI-KICKBACK” ACT – 18 U.S.C. 874 / 40 U.S.C. 276c / 29 CFR Part 3
Compliance with Copeland Act requirements. The Contractor shall comply with the
requirements of 29 CFR Part 3 which are incorporated by reference in this contract.
TITLE 18, U.S.C.
Sec. 874. Kickbacks from public works employees
"Whoever, by force, intimidation, or threat of procuring dismissal from employment, or by
any other manner whatsoever induces any person employed in the construction,
prosecution, completion or repair of any public building, public work, or building or work
financed in whole or in part by loans or grants from the United States, to give up any part of
the compensation to which he is entitled under his contract of employment, shall be fined
not more than $5,000 or imprisoned not more than five years, or both."
[18 U.S.C. 874 (June 25, 1948, ch. 645, Sec. 1, 62 Stat. 740, eff. Sept. 1, 1948) replaces
the former sec. 1 of the Copeland Act of June 13, 1934 (48 Stat. 948), which was codified
as 40 U.S.C. 276b prior to its repeal by 62 Stat. 862, eff. Sept. 1, 1948.]
TITLE 40, U.S.C. (as amended)
Sec. 276c, Regulations governing contractors and subcontractors
"The Secretary of Labor shall make reasonable regulations for contractors and
subcontractors engaged in the construction, prosecution, completion or repair of public
buildings, public works or buildings or works financed in whole or in part by loans or grants
from the United States, including a provision that each contractor and subcontractor shall
furnish weekly a statement with respect to the wages paid each employee during the
preceding week. Section 1001 of Title 18 of the United States Code (Criminal Code and
Criminal Procedure) shall apply to such statements."
[40 U.S.C. 276c, as amended (48 Stat. 948 as amended by 62 Stat. 862, 63 Stat. 108, and
72 Stat. 967) constitutes the Copeland Act in its present form, which is a revision of section
2 of the original Act of June 13, 1934, section 1 of the original Act was repealed
coincidentally with its replacement by 18 U.S.C. 874, set out above.]
Reorganization Plan No. 14 of 1950 (15 F.R. 3176, 64 Stat. 1267, 5 U.S.C. 133z note):
"In order to assure coordination of administration and consistency of enforcement of the
labor standards provision of each of the [foregoing and other enumerated] Acts by the
Federal agencies responsible for the administration thereof, the Secretary of Labor shall
prescribe appropriate standards, regulations, and procedures, which shall be observed by
these agencies, and cause to be made by the Department of Labor such investigations,
with respect to compliance with and enforcement of such labor standards, as he deems
desirable, ..."
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 11 of 45
FEDERAL REQUIREMENTS: FR-06
FEDERAL LABOR STANDARDS PROVISIONS (HUD 4010)
DAVIS - BACON REQUIREMENTS
Compliance with Davis-Bacon and Related Act Requirements: All rulings and
interpretations of the Davis-Bacon and Related Acts Contained in 29 CFR Parts 1, 3
and 5 are herein incorporated by reference.
For additional information regarding Labor Rates, please go to the following United States
Department of Labor website:
http://www.dol.gov/whd/contracts/dbra.htm
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.
1. (i) Minimum Wages All laborers and mechanics employed or working upon the site of
the work 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 the Secretary of Labor under the Copeland Act (29 CFR Part 3)), the full
amount of wages and bona fide fringe benefits (or cash equivalent 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
contractual relationship which may be alleged to exist between the contractor and such
laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide
fringe benefits under Section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or
mechanics are considered wages paid to such laborers or mechanics, subject to the
provisions of 29 CFR 5.5(a.)(1)(iv); also, regular contributions made or costs incurred for
more than a weekly period (but not less often than quarterly) under plans, funds, or
programs which cover the particular weekly period, are deemed to be constructively made
or incurred during such weekly period.
Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits
on the wage determination for the classification of work actually performed, without regard
to skill, except as provided in 29 CFR Part 5.5(a)(4). Laborers or mechanics performing
work in more than one classification may be compensated at the rate specified for each
classification for the time actually worked therein: Provided, that the employer's payroll
records accurately set forth the time spent in each classification in which work is performed.
The wage determination (including any additional classification and wage rates conformed
under 29 CFR 5.5(a)(1)(ii) and the Davis-Bacon poster (WH-1321) shall be posted at all
times by the contractor and its subcontractors at the site of the work in a prominent and
accessible place where it can easily be seen by the workers.
(ii) (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
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 12 of 45
(3) The proposed wage rate, including any bona fide fringe benefits, 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 classification action within 30 days of receipt and so
advise HUD or its designee or will notify HUD or its designee within the 30-day period that
additional time is necessary. (Approved by the Office of Management and Budged under
OMB control number 12150140.)
(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 representative, 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 Management and Budged under OMB control number 12150140.)
(d) The wage rate (including fringe benefits where appropriate) determined pursuant to
subparagraphs (1)(ii) (b) or (c) of this paragraph, shall be paid to all workers performing
work in the classification under this contract from the first day on which work is performed in
the classification.
(iii) 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.
(iv) If the contractor does not make payments to a trustee or other third person, the
contractor may consider as part of the wages of any laborer or mechanic the amount of any
costs reasonably anticipated in providing bona fide fringe benefits under a plan or program,
Provided, That the Secretary of Labor has found, upon the written request of the contractor,
that the 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
Budged under OMB control number 12150140.)
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 David-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 work, all or part of the wages required by the contract, the HUD or its
designee may, after written notice to the contractor, sponsor, applicant, or owner, take such
action as may be necessary to cause the suspension of any further payment, advance, or
guarantee of funds until such violations have ceased. HUD or its designee may, after
written notice to the contractor, disburse such amounts withheld for and on account of the
contractor or subcontractor to the respective employees to whom they are due. The
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 13 of 45
Comptroller 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 and preserved for a period of
three years thereafter for all laborers and mechanics working at the site of the work. Such
records shall contain the name, address, and social security number of each such worker,
his or her correct classification, hourly rates of wages paid (including rates of contributions
or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types
described in Section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours
worked, deductions made and actual wages paid. Whenever the Secretary of Labor has
found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the
amount of any costs reasonably anticipated in providing benefits under a plan or program
described in Section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain
records which show that the commitment to provide such benefits is enforceable, that the
plan or program is financially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the
costs anticipated or the actual costs incurred in providing such benefits. Contractors
employing apprentices or trainees under approved programs shall maintain written
evidence of the registration of apprenticeship programs and certification of trainee
programs, the registration of the apprentices and trainees, and the ratios and wage rates
prescribed in the applicable programs. (Approved by the Office of Management and Budget
under OMB Control Numbers 1215-0140 and 1215-0017.)
(ii) (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 5.5(a)(3)(i). This information may be submitted in
any form desired. Optional Form WH-347 is available for this purpose and may be
purchased from the Superintendent of Documents (Federal Stock Number 029-005-00014-
1), U.S. Government Printing Office, Washington, D.C. 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 Numbers 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 CFR 5.5(a)(3)(i) above and that such information is correct and complete;
(2) That each laborer and 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 indirectly from the full wages earned, other than permissible deductions as
set forth in Regulations 29 CFR Part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates
and fringe benefits or cash equivalents for the classification of work performed, as specified
in the applicable wage determination 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)(b).
(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.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 14 of 45
(iii) The contractor or subcontractor shall make the records required under paragraph
A.3.(i) available for inspection, copying or transcription by authorized representatives of
HUD or its designee, or the Department of Labor, and shall permit such representatives to
interview employees during working hours on the job. If the contractor or subcontractor fails
to submit the required records or to make them available, HUD or its designee may, after
written notice to the contractor, sponsor, applicant or owner, take such action as may be
necessary to cause the suspension of any further payment, advance, or guarantee of funds.
Furthermore, failure to submit the required records upon request or to make such records
available may be grounds for debarment action pursuant to 29 CFR 5.12.
4. Apprentices and Trainees.
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate
for the work they performed when they are employed pursuant to and individually registered
in a bona fide apprenticeship program registered with the U.S. Department of Labor,
Employment and Training Administration, Office of Apprenticeship Training, Employer and
Labor Services or with a State Apprenticeship Agency recognized by the Office, 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 Office of Apprenticeship Training, Employer and Labor
Services or a State Apprenticeship Agency (where appropriate) to be eligible for
probationary employment as an apprentice. The allowable ratio of apprentices to
journeymen on the job site in any craft classification shall not be greater than the ratio
permitted to the contractor as to the entire work force under the registered program. Any
worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not 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
determination 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 journeyman's hourly rate) specified
in the contractor's or subcontractor's registered program shall be observed. Every
apprentice must be paid at not less than the rate specified 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
Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship
Agency recognized by the Office, 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.
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at
less than the predetermined rate for the work performed unless they are employed pursuant
to and individually registered in a program which has received prior approval, evidenced by
formal certification by the U.S. Department of Labor, Employment and Training
Administration. 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 program does not
mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the
wage determination unless the Administrator of the Wage and Hour Division determines
that there is an apprenticeship program associated with the corresponding journeyman
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 15 of 45
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
classification of 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 Administration withdraws approval of a training
program, the contractor will no longer be permitted to utilize trainees at less than the
applicable predetermined rate for the work performed until an acceptable program is
approved.
(iii) Equal Employment Opportunity. The utilization of apprentices, trainees and
journeymen under 29 CFR Part 5 shall be in conformity with the equal employment
opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.
5. Compliance with Copeland Act Requirements.
The contractor shall comply with the requirements of 29 CFR Part 3, which are incorporated
by reference in this contract.
6. Subcontracts. The contractor or subcontractor shall insert in any subcontracts the
clauses contained in subparagraphs 1 through 11 of this paragraph A and such other
clauses as HUD or its designee may by appropriate instructions require, and a copy of the
applicable prevailing wage decision, 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 subcontractor with all the
contract clauses in this paragraph.
7. Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may
be grounds for termination of the contract, and for debarment as a contractor and a
subcontractor as provided in 29 CFR 5.12.
8. Compliance with Davis-Bacon and Related Act Requirements. All rulings and
interpretations of 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 accordance 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 disputes between the contractor (or any of its subcontractors) and HUD,
the U.S. Department of Labor, or the employees or their representatives.
10. (i) Certification of Eligibility. By entering into this contract, the contractor certifies that
neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm
is a person or firm 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
participate in HUD programs pursuant to 24 CF 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
(a)(1) 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. Criminal 1001. Additionally, U.S. Criminal Code Section 1 01 0, Title 18, U.S.C. 1001.
Additionally, U.S. Criminal Code, Section 1 01 0, Title 18, U.S.C, “Federal Housing
Administration transactions”, provides in part: “Whoever, for the purpose of ….. influencing
in any way the action of such Administration….makes, utters or publishes any statement
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 16 of 45
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 provision of this Contract are applicable
shall be discharged or in any other manner discrimination 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.
Reference: Title 29 CFR Part 5.5
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 17 of 45
WAGE RATES
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 18 of 45
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 19 of 45
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 20 of 45
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 21 of 45
FEDERAL REQUIREMENTS: FR-07
CONTRACT WORK HOURS AND SAFETY STANDARDS ACT REQUIREMENTS
29 CFR PART 5
(1) Overtime requirements. No contractor or subcontractor contracting for any part of the
contract work which may require or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic, in any workweek in which he or she is
employed on such work to work in excess of 40 hours in such workweek unless such
laborer or mechanic receives compensation at a rate not less than one and one-half times
the basic rate of pay for all hours worked in excess of forty hours in such workweek.
(2) Violation; Liability for Unpaid Wages; Liquidated Damages. In the event of any
violation of the clause set forth in subparagraph (1) of this paragraph, the contractor and
any subcontractor responsible therefor shall be liable for the unpaid wages. In addition,
such contractor and subcontractor shall be liable to the United States (in the case of work
done under contract for the District of Columbia or a territory, to such District or to such
territory), for liquidated damages. Such liquidated damages shall be computed with respect
to each individual laborer or mechanic, including watchmen and guards, employed in
violation of the clause set forth in subparagraph (1) of this paragraph above, in the sum of
$10 for each calendar day on which such individual was required or permitted to work in
excess of the standard workweek of 40 hours without payment of the overtime wages
required by the clause set forth in subparagraph (1) of this paragraph.
(3) Withholding for unpaid wages and liquidated damages. HUD or its designee shall
upon its own action or upon written request of an authorized representative of the
Department of Labor withhold or cause to be withheld, from any monies payable on account
of work performed by the contractor or subcontractor under any such contract or any other
Federal contract with the same prime contractor, or any other Federally-assisted contract
subject to the Contract Work Hours and Safety Standards Act, which is held by the same
prime contractor, such sums as may be determined to be necessary to satisfy any liabilities
of such contractor or subcontractor for unpaid wages and liquidated damages as provided
in the clause set forth in paragraph (2) of this paragraph.
(4) Subcontractors. The contractor or subcontractor shall insert in any subcontracts the
clauses set forth in paragraphs (1) through (4) of this paragraph and also a clause requiring
the subcontractor to include these clauses in any lower tier subcontracts. The prime
contractor shall be responsible for compliance by any subcontractor or lower tier
subcontractor with the clauses set forth in subparagraphs (1) through (4) of this paragraph.
(5) Health and Safety. No laborer or mechanic shall be required to work in surroundings
or under working conditions which are unsanitary, hazardous, or dangerous to his/her
health and safety as determined under construction safety and health standards
promulgated by the Secretary of Labor by regulation.
The Contractor shall comply with all regulations issued by the Secretary of Labor pursuant
to Title 29 Part1926 and failure to comply may result in imposition of sanctions pursuant to
the Contract Work Hours and Safety Standards Act, 40 USC 3701 et seq.
The Contractor shall include the provisions of this para-graph in every subcontract
so that such provisions will be binding on each subcontractor. The Contractor shall
take such action with respect to any subcontract as the Secretary of Housing and
Urban Development or the Secretary
Reference: 29 CFR Part 5.5 & Advisory Circular 150/5100-6d
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 22 of 45
FEDERAL REQUIREMENTS: FR-08
REGULATIONS REGARDING REPORTING
INSTRUCTIONS HUD FORM 2516
This report is to be completed by grantees, developers, sponsors, builders, agencies,
and/or project owners for reporting contract and subcontract activities of $10,000 or more
under the following programs: Community Development Block Grants (entitlement and
small cities); Urban Development Action Grants; Housing Development Grants; Multifamily
Insured and Noninsured; Public and Indian Housing Authorities; and contracts entered into
by recipients of CDBG rehabilitation assistance. Contracts/subcontracts of less than
$10,000 need be reported only if such contracts represent a significant portion of your total
contracting activity. Include only contracts executed during this reporting period.
Section 3
This form has been modified to capture Section 3 contract data in columns 7g and 7i.
Section 3 requires that the employment and other economic opportunities generated by
HUD financial assistance for housing and community development programs shall, to the
greatest extent feasible, be directed toward low- and very low-income persons, particularly
those who are recipients of government assistance for housing. Recipients using this form
to report Section 3 contract data must also use Part I of form HUD- 60002 to report
employment and training opportunities data. Form HUD-2516 is to be may establish income
ceilings higher or lower than 80 per centum of the median for the area on the basis of the
Secretary’s findings that such variations are necessary because of prevailing levels of
construction costs or unusually high or low-income families. Very low-income persons
means low-income families (including single persons) whose incomes do not exceed 50 per
centum of the median family income for the area, as determined by the Secretary with
adjustments for smaller and larger families, except that the Secretary may establish income
ceilings higher or lower than 50 per centum of the median for the area on the basis of the
Secretary’s findings that such variations are necessary because of unusually high or low
family incomes.
Submit two (2) copies of this report to your local HUD Office within ten (10) days after the
end of the reporting period you checked in item 4 on the front.
Community Development Programs
1. Grantee: Enter the name of the unit of government submitting this report.
2. Contact Person: Enter name and phone of person responsible for maintaining and
submitting contract/subcontract data.
3. Contact Person: Enter name and phone of person responsible for maintaining and
submitting contract/subcontract data.
7a. Grant Number: Enter the HUD Community Development Block Grant Identification
Number (with dashes). For example: B-32-MC-25-0034. For Entitlement Programs and
Small City multi-year comprehensive programs, enter the latest approved grant number.
7b. Amount of Contract/Subcontract: Enter the dollar amount rounded to the nearest
dollar. If subcontractor ID number is provided in 7f, the dollar figure would be for the
subcontract only and not for the prime contract.
7c. Type of Trade: Enter the numeric codes which best indicates the
contractor's/subcontractor's service. If subcontractor ID number is provided in 7f., the type
of trade code would be for the subcontractor only and not for the prime contractor. The
"other" category includes supply, professional services and all other activities except
construction and education/training activities.
7d. Business Racial/Ethnic/Gender Code: Enter the numeric code which indicates the
racial/ethnic /gender character of the owner(s) and controller(s) of 51% of the business.
When 51% or more is not owned and controlled by any single racial/ethnic/ gender
category, enter the code which seems most appropriate. If the subcontractor ID number is
provided, the code would apply to the subcontractor and not to the prime contractor.
7e. Woman Owned Business: Enter Yes or No.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 23 of 45
7f. Contractor Identification (ID) Number: Enter the Employer (IRS) Number of the
unique identifier for prime recipient of HUD funds. Note that the Employer (IRS) Number
must be provided for each contract/subcontract awarded.
7g. Section 3 Contractor: Enter Yes or No.
7h. Subcontractor Identification (ID) Number: Enter the Employer (IRS) Number of the
subcontractor as the unique identifier for each subcontract awarded from HUD funds. When
the subcontractor ID Number is provided, the respective Prime
Contractor ID Number must also be provided.
7i. Section 3 Contractor: Enter Yes or No.
7j. Contractor/Subcontractor Name and Address: Enter this information for each A
Section 3 contractor/subcontractor is a business concern that provides economic
opportunities to low-and very low-income residents of the metropolitan area
(nonmetropolitan county), including a business concern that is 51 percent or more owned
by low- or very low-income residents; employs a substantial number of low- or very low-
income residents; or provides subcontracting or business development opportunities to
businesses owned by low- or very low-income residents. Low- and very low-income
residents include participants in Youth build programs established under Subtitle D of Title
IV of the Cranston-Gonzalez National Affordable Housing Act. The terms “low-income
persons” and “very low-income persons” have the same meanings given the terms in
section 3(b) (2) of the United States Housing Act of 1937.
Low-income persons mean families (including single persons) whose incomes do not exceed
80 per centum of the median income for the area, as determined by the Secretary, with
adjustments for smaller and larger families, except that the Secretary may establish Income
ceilings higher or lower than 80 percent of the median for the area on the basis of the
Secretary's findings such that variations are necessary because of prevailing levels of
construction costs or unusually high or low-income families. Very low-income persons mean
low-Income families (including single persons) whose incomes do not exceed 50 percent of the
median family Income area, as determined by the Secretary with adjustments or similar and
larger families, except that the Secretary may establish income ceilings higher or lower than 50
percent of the median for the area on the basis of the Secretary’s findings that such variations
are necessary because of unusually high or low family incomes.
INSTRUCTIONS FOR: FORM HUD-60002, Section 3 Summary Report, Economic
Opportunities for Low- and Very Low-Income Persons.
Instructions: This form is to be used to report annual accomplishments regarding employment
and other economic opportunities provided to low- and very low-income persons under Section
3 of the Housing and Urban Development Act of 1968. The Section 3 regulations apply to any
public and Indian housing programs that receive: (1) development assistance pursuant to
Section 5 of the U.S. Housing Act of 1937; (2) operating assistance pursuant to Section 9 of
the U.S. Housing Act of 1937; or (3) modernization grants pursuant to Section 14 of the U.S.
Housing Act of 1937 and to recipients of housing and community development assistance
in excess of $200,000 expended for: (1) housing rehabilitation (including reduction and
abatement of lead-based paint hazards); (2) housing construction; or (3) other public
construction projects; and to contracts and subcontracts in excess of $100,000 awarded in
connection with the Section-3-covered activity.
Form HUD-60002 has three parts, which are to be completed for all programs covered by
Section 3. Part I relates to employment and training. The recipient has the option to
determine numerical employment/training goals either on the basis of the number of hours
worked by new hires (columns B, D, E and F). Part II of the form relates to contracting, and
Part III summarizes recipients’ efforts to comply with Section 3.
Recipients or contractors subject to Section 3 requirements must maintain appropriate
documentation to establish that HUD financial assistance for housing and community
development programs were directed toward low- and very low-income persons.* A recipient of
Section 3 covered assistance shall submit one copy of this report to HUD Headquarters, Office
of Fair Housing and Equal Opportunity. Where the program providing assistance requires an
annual performance report, this Section 3 report is to be submitted at the same time the
program performance report is submitted. Where an annual performance report is not required,
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 24 of 45
this Section 3 report is to be submitted by January 10 and, if the project ends before December
31, within 10 days of project completion. Only Prime Recipients are required to report to
HUD. The report must include accomplishments of all recipients and their Section 3
covered contractors and subcontractors.
HUD Field Office: Enter the Field Office name.
1. Recipient: Enter the name and address of the recipient submitting this report.
2. Federal Identification: Enter the number that appears on the award form (with dashes). The
award may be a grant, cooperative agreement or contract.
3. Dollar Amount of Award: Enter the dollar amount, rounded to the nearest dollar, received by
the recipient.
4 & 5. Contact Person/Phone: Enter the name and telephone number of the person with
knowledge of the award and the recipient’s implementation of Section 3.
6. Reporting Period: Indicate the time period (months and year) this report covers.
7. Date Report Submitted: Enter the appropriate date.
8. Program Code: Enter the appropriate program code as listed at the bottom of the page.
9. Program Name: Enter the name of HUD Program corresponding with the “Program Code” in
number 8.
Part I: Employment and Training Opportunities
Column A: Contains various job categories. Professionals are defined as people who have
special knowledge of an occupation (i.e. supervisors, architects, surveyors, planners, and
computer programmers). For construction positions, list each trade and provide data in
columns B through F for each trade where persons were employed. The category of “Other”
includes occupations such as service workers.
Column B: (Mandatory Field) Enter the number of new hires for each category of workers
identified in Column A in connection with this award. New hire refers to a person who is not on
the contractor’s or recipient’s payroll for employment at the time of selection for the Section 3
covered award or at the time of receipt of Section 3 covered assistance.
Column C: (Mandatory Field) Enter the number of Section 3 new hires for each category of
workers identified in Column A in connection with this award. Section 3 new hire refers to a
Section 3 resident who is not on the contractor’s or recipient’s payroll for employment at the
time of selection for the Section 3 covered award or at the time of receipt of Section 3 covered
assistance.
Column D: Enter the percentage of all the staff hours of new hires (Section 3 residents) in
connection with this award.
Column E: Enter the percentage of the total staff hours worked for Section 3 employees and
trainees (including new hires) connected with this award. Include staff hours for part-time and
full-time positions.
Column F: (Mandatory Field) Enter the number of Section 3 residents that were trained in
connection with this award.
Part II: Contract Opportunities
Block 1: Construction Contracts
Item A: Enter the total dollar amount of all contracts awarded on the project/program.
Item B: Enter the total dollar amount of contracts connected with this project/program that were
awarded to Section 3 businesses.
Item C: Enter the percentage of the total dollar amount of contracts connected with this
project/program awarded to Section 3 businesses.
Item D: Enter the number of Section 3 businesses receiving awards.
Block 2: Non-Construction Contracts
Item A: Enter the total dollar amount of all contracts awarded on the project/program.
Item B: Enter the total dollar amount of contracts connected with this project awarded to
Section 3 businesses.
Item C: Enter the percentage of the total dollar amount of contracts connected with this
project/program awarded to Section 3 businesses.
Item D: Enter the number of Section 3 businesses receiving awards.
Part III: Summary of Efforts – Self -explanatory
Submit one (1) copy of this report to the HUD Headquarters Office of Fair Housing and Equal
Opportunity, at the same time the performance report is submitted to the program office. The
Section 3 report is submitted by January 10. Include only contracts executed during the period
specified in item 8. PHAs/IHAs are to report all contracts/subcontracts.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 25 of 45
* The terms “low-income persons” and very low-income persons” have the same meanings
given the terms in section 3 (b) (2) of the United States Housing Act of 1937. Low-income
persons mean families (including single persons) whose incomes do not exceed 80 percent of
the median income for the area, as determined by the Secretary, with adjustments for smaller
and larger families, except that The Secretary may establish income ceilings higher or lower
than 80 percent of the median for the area on the basis of the Secretary’s findings such that
variations are necessary because of prevailing levels of construction costs or unusually high- or
low-income families. Very low-income persons mean low-income families (including single
persons) whose incomes do not exceed 50 percent of the median family income area, as
determined by the Secretary with adjustments or smaller and larger families, except that the
Secretary may establish income ceilings higher or lower than 50 percent of the median for the
area on the basis of the Secretary’s findings that such variations are necessary because of
unusually high or low family incomes.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 26 of 45
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 27 of 45
Section 3 Summary Report U.S. Department of Housing OMB Approval No: 2529-0043
Economic Opportunities for
Low – and Very Low-Income Persons and Urban Development
Office of Fair Housing (exp. 11/30/2010)
And Equal Opportunity
Section back of page for Public Reporting Burden statement
1. Recipient Name & Address: (street, city, state, zip) 2. Federal Identification: (grant no.) 3. Total Amount of Award:
4. Contact Person 5. Phone: (Include area code)
6. Length of Grant: 7. Reporting Period:
8. Date Report Submitted: 9. Program Code: (Use separate sheet
for each program code) 10. Program Name:
Part I: Employment and Training (** Columns B, C and F are mandatory fields. Include New Hires in E &F)
A
Job Category
B
Number of
New Hires
C
Number of New
Hires that are
Sec. 3 Residents
D
% of Aggregate Number
of Staff Hours of New Hires
that are Sec. 3 Residents
E
% of Total Staff Hours
for Section 3 Employees
and Trainees
F
Number of Section 3
Trainees
Professionals
Technicians
Office/Clerical
Construction by Trade (List)
Trade
Trade
Trade
Trade
Trade
Other (List)
Total
* Program Codes 3 = Public/Indian Housing 4 = Homeless Assistance 8 = CDBG State Administered
1 = Flexible Subsidy A = Development, 5 = HOME 9 = Other CD Programs
2 = Section 202/811 B = Operation 6 = HOME State Administered 10 = Other Housing Programs
C = Modernization 7 = CDBG Entitlement
Page 1 of 2 form HUD 60002 (6/2001)
Ref 24 CFR 135
HUD Field Office:
HUD Field Office:
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 28 of 45
Part II: Contracts Awarded
1. Construction Contracts:
A. Total dollar amount of all contracts awarded on the project $
B. Total dollar amount of contracts 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 contracts
2. Non-Construction Contracts:
A. Total dollar amount all non-construction contracts awarded on the project/activity $
B. Total dollar amount of non-construction contracts 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 non-construction contracts
Part III: Summary
Indicate the efforts made to direct the employment and other economic opportunities generated by HUD financial assistance for housing and
community development programs, to the greatest extent feasible, toward low-and very low-income persons, particularly those who are
recipients of government assistance for housing. (Check all that apply.)
Attempted to recruit low-income residents through: local advertising media, signs prominently displayed at the project site, contracts
with the community organizations and public or private agencies operating within the metropolitan area (or nonmetropolitan county) in
which the Section 3 covered program or project is located, or similar methods.
Participated in a HUD program or other program which promotes the training or employment of Section 3 residents.
Participated in a HUD program or other program which promotes the award of contracts to business concerns which meet the definition
of Section 3 business concerns.
Coordinated with Youthbuild Programs administered in the metropolitan area in which the Section 3 covered project is located.
Other; describe below.
Public reporting for this collection of information is estimated to average 2 hours per response, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. This
agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB number.
Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u, mandates that the Department ensures that
employment and other economic opportunities generated by its housing and community development assistance programs are directed toward
low- and very-low income persons, particularly those who are recipients of government assistance housing. The regulations are found at 24
CFR Part 135. The information will be used by the Department to monitor program recipients’ compliance with Section 3, to assess the results
of the Department’s efforts to meet the statutory objectives of Section 3, to prepare reports to Congress, and by recipients as self-monitoring
tool. The data is entered into a database and will be analyzed and distributed. The collection of information involves recipients receiving
Federal financial assistance for housing and community development programs covered by Section 3. The information will be collected
annually to assist HUD in meeting its reporting requirements under Section 808(e)(6) of the Fair Housing Act and Section 916 of the HCDA of
1992. An assurance of confidentiality is not applicable to this form. The Privacy Act of 1974 and OMB Circular A-108 are not applicable. The
reporting requirements do not contain sensitive questions. Data is cumulative; personal identifying information is not included.
Page 2 of 2 form HUD 60002 (11/2010)
Ref 24 CFR 135
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 29 of 45
FEDERAL REQUIREMENTS: FR-9
RIGHTS TO INVENTIONS
All rights to inventions and materials generated under this contract are subject to
regulations issued by HUD or its designee and the Sponsor of the Federal grant under
which this contract is executed.
Reference: 24 CFR 85.36
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 30 of 45
FEDERAL REQUIREMENTS: FR-10
ACCESS TO RECORDS AND RECORD RETENTION
The Contractor shall maintain an acceptable cost accounting system. The Contractor
agrees to provide the Sponsor, HUD and the Comptroller General of the United States or
any of their duly authorized representative’s access to any books, documents, papers, and
records of the contractor which are directly pertinent to the specific contract for the purpose
of making audit, examination, excerpts and transcriptions. The Contractor agrees to
maintain all books, records and reports required under this contract for a period of not less
than three years after final payment is made and all pending matters are closed.
Reference: 24 CFR 85.36
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 31 of 45
FEDERAL REQUIREMENTS: FR-11
CLEAN AIR AND WATER POLLUTION CONTROL
Contractors and subcontractors agree:
a. That any facility to be used in the performance of the contract or subcontract or to benefit
from the contract is not listed on the Environmental Protection Agency (EPA) List of
Violating Facilities;
b. To comply with all the requirements of Section 114 of the Clean Air Act, as amended, 42
U.S.C. 1857 et seq. and Section 308 of the Federal Water Pollution Control Act, as
amended, 33 U.S.C. 1251 et seq. relating to inspection, monitoring, entry, reports, and
information, as well as all other requirements specified in Section 114 and Section 308 of
the Acts, respectively, and all other regulations and guidelines issued thereunder;
c. That, as a condition for the award of this contract, the contractor or subcontractor will
notify the awarding official of the receipt of any communication from the EPA indicating that
a facility to be used for the performance of or benefit from the contract is under
consideration to be listed on the EPA List of Violating Facilities;
d. To include or cause to be included in any construction contract or subcontract which
exceeds $ 100,000 the aforementioned criteria and requirements.
Reference: Clean Air Act (42 U.S.C. 7401 et seq.), Federal Water Pollution Control Act (33
U.S.C. 1251 et seq.) as amended, (24 CFR 85.36 & Section 306 of the Clean Air Act &
Section 508 of the Clean Water Act
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 32 of 45
FEDERAL REQUIREMENTS: FR-12
ENERGY CONSERVATION REQUIREMENTS
The contractor agrees to comply with mandatory standards and policies relating to energy
efficiency that are contained in the state energy conservation plan issued in compliance
with the Energy Policy and Conservation Act (Public Law 94-163).
Reference: Title 24 CFR 85.36 & Public Law 94-163
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 33 of 45
FEDERAL REQUIREMENTS: FR-13
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND
VOLUNTARY EXCLUSION
The Contractor certifies, by acceptance of this contract, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal department or agency. It
further agrees that it will include this clause without modification in all lower tier
transactions, solicitations, proposals, contracts, and subcontracts.
Reference: 24 CFR 85.35
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 34 of 45
FEDERAL REQUIREMENTS: FR-14
LOBBYING AND INFLUENCING FEDERAL EMPLOYEES
(1) No Federal appropriated funds shall be paid, by or on behalf of the contractor, to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the making of any Federal grant and the amendment or
modification of any Federal grant.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with any Federal grant, the contractor shall complete and submit
Standard Form-LLL, “Disclosure of Lobby Activities,” in accordance with its instructions.
Reference: Title 49 CFR Part 20, Appendix A
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 35 of 45
FEDERAL REQUIREMENTS: FR-15
ECONOMIC OPPORTUNITIES FOR LOW AND VERY-LOW INCOME PERSONS
Section 3 Clause.
Housing and Urban Development Act of 1968
All section 3 covered contracts shall include the following clause (referred to as the section
3 clause):
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. 1701u
(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.
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
(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
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 36 of 45
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).
§ 135.40 Providing other economic opportunities.
(a) General. In accordance with the findings of the Congress, as stated in section 3,
that other economic opportunities offer an effective means of empowering low-income
persons, a recipient is encouraged to undertake efforts to provide to low-income
persons economic opportunities other than training, employment, and contract awards,
in connection with section 3 covered assistance.
(b) Other training and employment related opportunities. Other economic opportunities
to train and employ section 3 residents include, but need not be limited to, use of
“upward mobility”, “bridge” and trainee positions to fill vacancies; hiring section 3
residents in management and maintenance positions within other housing
developments; and hiring section 3 residents in part-time positions.
(c) Other business related economic opportunities.
(l) A recipient or contractor may provide economic opportunities to establish,
stabilize or expand section 3 business concerns, including micro-enterprises. Such
opportunities include, but are not limited to the formation of section 3 joint ventures,
financial support for affiliating with franchise development, use of labor only
contracts for building trades, purchase of supplies and materials from housing
authority resident-owned businesses, purchase of materials and supplies from PHA
resident-owned businesses and use of procedures under 24 CFR part 963
regarding HA contracts to HA resident-owned businesses. A recipient or contractor
may employ these methods directly or may provide incentives to non-section 3
businesses to utilize such methods to provide other economic opportunities to low-
income persons.
(2) A section 3 joint venture means an association of business concerns, one of
which qualifies as a section 3 business concern, formed by written joint venture
agreement to engage in and carry out a specific business venture for which purpose
the business concerns combine their efforts, resources, and skills for joint profit, but
not necessarily on a continuing or permanent basis for conducting business
generally, and for which the section 3 business concern:
(i) Is responsible for a clearly defined portion of the work to be performed and holds
management responsibilities in the joint venture; and
(ii) Performs at least 25 percent of the work and is contractually entitled to
compensation proportionate to its work.
Subpart C [Reserved]
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 37 of 45
FEDERAL REQUIREMENTS: FR-16
AFFIRMATIVE ACTION REGULATIONS AND PLAN
An Affirmative Action Plan (AAP) must be submitted by the prime contractor and all
subcontractors who have subcontracts of $10,000 or more on the project. These must be
displayed on the project bulletin board or posted on site for employee view and must
include the percentage of AAP goals.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 38 of 45
FEDERAL REQUIREMENTS: FR-17
WOMEN AND MINORITY OWNED BUSINESSES (M/WBE)
The Contractor will do the best efforts to afford small business (Section 3 (a) of the Small
Business Act), minority businesses enterprises and women business enterprises (51% +
owned or controlled by minority group members or women) the maximum practicable
opportunity to participate in the performance of this project.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 39 of 45
FEDERAL REQUIREMENTS: FR-18
ACCESSIBILITY SECTION 504 COMPLIANCE
CDBG regulations require adherence to the following regulations: Americans with
Disabilities Act (ADA) removal of architectural and communications barriers. Section 504 of
the Rehabilitation Act of 1973 prohibits discrimination in Federally assisted programs on the
basis of disability.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 40 of 45
FEDERAL REQUIREMENTS: FR-19
TEXAS ARCHITECTURAL BARRIERS ACT
Elimination of Architectural Barriers , Government Code Chapter 469.- The intent of this chapter is to
ensure that each building and facility subject to this chapter is accessible to and functional for persons
with disabilities without causing the loss of function, space, or facilities. A State compliance certificate will
be required at completion of project construction for contracts $50,000 and above; the contractor shall
strictly adhere to the construction approved drawings and specifications to accomplish final Certification
from the Texas Department of Licensing and Regulations (TDLR.)
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 41 of 45
FEDERAL REQUIREMENTS: FR-20
DRUG-FREE WORKPLACE REQUIREMENTS
The Drug-Free Workplace Act of 1988 (42 U.S.C. 701) requires grantees (including individuals) of
federal agencies, as a prior condition of being awarded a grant, to certify that they will provide drug-free
workplaces. Each potential recipient must certify that it will comply with drug-free workplace
requirements in accordance with the Act and with HUD's rules at 24 CFR part 24, subpart F.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 42 of 45
FEDERAL REQUIREMENTS: FR-21
FIELD REQUIREMENTS
TO BE POSTED:
All posting documents must be placed in a visible location at the job site on a notice board:
Davis-Bacon Poster: The WH Publication 1321 must be placed in a visible location at the
job site on a notice board with the Contractor's and sub-contractors' Affirmative Action
Plans when applicable.
Davis-Bacon Prevailing Wage Rates: The Contractor shall display in a visible location at
the job site on a notice board for employee viewing the Federal Wage Rates that apply to
each Individual type of project.
HUD Form 4010 Federal Labor Standards Provisions: The Contractor must be place in a
visible location at the job site on a notice board the requirements of Davis- Bacon,
Copeland, and Contract Work Hours and Safety Standards Acts.
Section 3 Notice: The Contractor must inform workers of Economic Opportunities for Low
and Very-Low Income Persons. Information pertaining to this notice must be placed in a
visible location at the job site on a notice board.
Executive Order 112461: The Contractor must place in a visible location at the job site on
a notice board requirements that set forth the anti-discrimination policy for this project. Parts
II & Ill of this Executive Order are applicable along with Executive Order 11375 concerning
employment discrimination on the basis of race, color, sex, religion and national origin.
Affirmative Action Plan: An Affirmative Action Plan must be submitted by the prime
contractor and all sub-contractors who have sub-contracts of $10,000.00 or more on the
project. These plans must be displayed on the project bulletin board for employee view
CDBG Project Sign: Project Sign: Contractors responsible to install in a visible location as
selected by the City, a CDBG Project Sign prior to commencement of construction.
Dimensions and design is attached. The field location will be determined prior to work start.
Compliance Affidavit: The Contractor must sign and return the attached affidavit to the
City prior to beginning work on the project.
Affirmative Action Plan: The Contractor must submit and post this plan at the jobsite.
Affidavit and Waiver of Lien by Contractor: The Contractor must complete, sign and
return this waiver with each request for payment.
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 43 of 45
CDBG
PROJECT SIGN
8’
4’
3’6”
Contractor to locate sign where it is most visible to the public and as approved by City
Sign is made from a 4 feet x 8 feet sheet of ¾” plywood.
Sign should be posted at a minimum of than 3’ 6” high from ground level.
Red
Background
White Letters
White
Background
Black
Letters
PROJECT NAME
Project Address
CITY OF CORPUS CHRISTI
Community Development Block Grant (CDBG)
U. S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
(HUD)
CDBG FUNDS: $ Total Project Cost: $
Contractor:
Address:
Phone Number:
Blue
Background
White Letters
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 44 of 45
AFFIRMATIVE ACTION PLAN
____________________________________ in compliance with Executive Order No. 11246 and Section 3 of the
1968 Housing & Urban Development Act regarding Equal Employment Opportunity hereby gives notice
that no person in the United States shall, on the ground of race, color, religion, sex or national origin, be
denied employment, and further assurance is also given that ________________________________ will
immediately take any reasonable measures necessary to effectuate this policy. Notice of the policy will
be placed in plain sight on the job location for the benefit of interested parties, and all subcontractors will
be so notified. All Equal Opportunity posters will be displayed as required.
__________________________________ has been appointed as the Equal Employment Opportunity Officer to
coordinate company efforts, to advise and assist key personnel and staff, and officially serve as focal
point for complaints, inquires, etc. Attachment #2 reflects present employment of the company and
percentage goals for projected hiring of lower-income residents, minorities and women.
AFFIRMATIVE SUBCONTRACTING
In accordance with Paragraph 135.70 of Section 3, Attachment #1 reflects anticipated subcontractor(s)
needed (by craft) and approximate dollar amounts in each category for the duration of this project.
______________________________ will use the HUD Business Registry, as far as possible, in the project area
and inform subcontractors of the need to be on the HUD Registry. Specific efforts will be made to
contact and use minority-owned businesses in the project area to the maximum extent feasible.
Section 3 requirements and language will be in each subcontractor bid and/or proposal for work on this
project. Compliance with Section 3 and Executive Order No. 11246 will be required of all subcontractors
of $10,000 or more.
UTILIZING LOWER INCOME RESIDENTS, MINORITIES AND WOMEN
To the maximum extent feasible, __________________________________ and any subcontractors will use
lower income residents as trainees, apprentices and workers (if qualified) to complete the work on this
project. Special outreach efforts will be made to various public and private recruitment sources such as
the Texas Employment Commission and Manpower. Special efforts will also be made to recruit minorities
and women. _________________________________ and all its subcontractors will determine by craft and/or
position the approximate manpower needs to complete the project. The manpower needs will be
made known to the resources named above. Attachments #2 and #3 shall be completed by
___________________________________ and each subcontractor to assure that reasonable goals and target
dates are a formal part of any contract or subcontract. Attachment #2 indicates current workforce,
and Attachment #3 shows projected workforce needs and goals for lower income residents, minorities
and women.
PROMOTION, DEMOTION, PAY RATES, LAYOFFS, ETC.
All personnel actions of the company shall be made on a nondiscriminatory basis without regard to race
color, religion, sex or national origin. We will inform each subcontractor of these affirmative action
requirements and insure compliance.
RECORDS AND REPORTS
_________________________________ will submit all reports required in a timely fashion. The Company will
also assure that all subcontractors shall submit required reports as needed.
__________________________________ ____________________________ ______________
(print) Name of Executive Officer SIGNATURE DATE
__________________________________ ___________________________________________
(print) Name of EEO Officer SIGNATURE DATE
COMPANY NAME: _________________________________________________________
ADDRESS: ________________________________________________________________
PHONE NO.:________________________________
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C
Page 45 of 45
END OF FEDERAL REQUIREMENTS
DocuSign Envelope ID: FA8B255D-5EF2-4F97-B35A-4539C7D0FD60DocuSign Envelope ID: 8617D77A-AE98-46A2-96AE-6A88B637A53C