HomeMy WebLinkAboutC2018-401 - 8/21/2018 - Approved I ta Ilii 1 SERVICE AGREEMENT NO. 1567
HVAC Removal and Replacement at Central Kitchen
:est
THIS HVAC Removal and Replacement at Central Kitchen Service Agreement
("Agreement") is entered into by and between the City of Corpus Christi, a Texas home-
rule municipal corporation ("City") and Pro Tech Mechanical, Inc. ("Contractor"),
effective upon execution by the City Manager or the City Manager's designee ("City
Manager").
WHEREAS, Contractor has bid to provide HVAC Removal and Replacement at
Central Kitchen in response to Request for Bid/Proposal No. 1567 ("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 HVAC Removal and Replacement at Central
Kitchen ("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 two months, with performance commencing upon the
date of issuance of a notice to proceed from the Contract Administrator or
Purchasing Division. 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 in writing and 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. The total value of this Agreement is not to exceed
$112,166.00,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. 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.
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:
Service Ar,rAo 2018-4014 Form-Federal Funding Page 1 of 7
C. 8/21/18
M2018-137
Pro Tech Mechanical Inc.
. , sraMsJt\Jn
Name: Jesse Hernandez
Department: Asset Management
Phone: 361-826-1983
Email: JesseH@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.
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.
Service Agreement Standard Form--Federal Funding Page 2 of 7
(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.
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.
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
Service Agreement Standard Form-Federal Funding Page 3 of 7
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: Jesse Hernandez
Title: Project Manager
Address: 12101 Leopard St. Corpus Christi, TX 78401
Phone: 361-826-1983
Fax: N/A
IF TO CONTRACTOR:
Contractor Name: Pro Tech Mechanical, Inc.
Attn: Mike Richter
Title: Vice President
Address: 1622 Saratoga Si., Corpus Christi, TX 78417
Phone: 361-882-2101
Fax: 361-882-2154
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
Service Agreement Standard Form-Federal Funding Page 4 of 7
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 perform the work specified in this Agreement or to keep
any required insurance policies in force during the entire term 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.
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. 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.
21. 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
Service Agreement Standard Form-Federal Funding Page 5 of 7
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.
22. 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).
23. 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.
24. Verification Regarding Israel. In accordance with Chapter 2270, Texas
Government Code, the City may not enter into a contract with a company for
goods or services unless the contract contains a written verification from the
company that it: (1) does not boycott Israel; and (2) will not boycott Israel during
the term of the contract. The signatory executing this Agreement on behalf of the
Contractor verifies that the company does not boycott Israel and will not boycott
Israel during the term of this Agreement.
25. Governing Law.This Agreement is subject to all federal, State, and local laws,rules,
and regulations. 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. 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.
27. Federal Funding Requirements. This project is subject to requirements provided for
Federal Emergency Management Agency (FEMA) and/or other federally-funded
projects. 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
or its designee may by appropriate instructions require, a copy of applicable
prevailing wage decision, and a clause requiring the subcontractors to include
these clauses in any lower tier subcontracts. The prime Contractor shall be
Service Agreement Standard Form-Federal Funding Page 6 of 7
responsible for the compliance by any subcontractor or lower tier subcontractor
with all the contract clauses.
CONTRACTOR
Signature: - -AIL
Printed Name: RAN R- niDG,C
Title: UEwox� /'/,y� 4
Date: 7/34//r
CITY OF CORPUS CHRISTI
Signature: rAi ,1, a. 6
Printed Name: K-1 I� C EIZ
RA—I
Title: Pt c., 'ilitr'c r Rnoneird �P.ry c..c
Date: 8. Z3• l$ 1 _
ATTEST: k ' * 411(,__% 0
j‘itAilisJA
PROVED A O LEGAL FORM p� RE:ECCA HUERTA
CJ14 CITY SECRETARY
ssistant City Attorney Date
Attached and Incorporated by Reference:
Attachment A: Scope of Work
Attachment B: Bid/Pricing Schedule ( { t B—1 3
Attachment C: Insurance and Bond Requirements AUTN0ltltc►
Attachment D: Warranty Requirements fY Ctf eii Z(
it
Attachment E: Federal Requirements
.......1010...._.. ...
Incorporated by Reference Only: 4FCRFTARY
Exhibit 1: RFB/RFP No. 1567
Exhibit 2: Contractor's Bid/Proposal Response
Service Agreement Standard Form-Federal Funding Page 7 of 7
Attachment A - Scope of Work
1.1 General Reautrements/Background Information
A.The purpose of this project is to remove and replace HVAC system at the Central
Kitchen, located at 4141 Old Brownsville Rd, Corpus Christi,Texas 78405. Contractor
shall be responsible for all work required to provide a complete 100% turnkey
project. Contractor shall ensure that new units meet the requirements of a
Commercial Kitchen and all applicable codes.
B. This is Federally funded Project. The Contractor must comply with HUD procurement
provisions in CFR 24 Part 85.36, Equal Employment Opportunity requirements, the
Copeland "Anti- Kickback Act, the Davis-Bacon Act, Contract Work Hours and
Safety Standards Act, Section 3 of the Housing and Urban Development Act and
other requirements as set forth in the bid documents.
1.2 Scope of Work
Contractor shall provide all labor, tools and equipment necessary for the completion
of the project. All work must be performed in accordance with federal, state, and
local codes including but not limited to IBC 2015, IMC 2015 & NEC 2017.
A. Removal
1. The Contractor shall obtain mechanical permit through Development Services.
2. The Contractor shall remove existing units which consists of a (1) 4-ton package unit
with gas heat, (1) 10-ton package unit with gas unit and (2) 15- ton package with
gas heat. All the units are Roof Top units(RTU) with multi stage variable speed.
3. The Contractor shall remove electrical packages, refrigerant, disconnect and haul
away unit.
B. Installation and Inspection
1. Contractor shall install new system as per commercial kitchen requirement and all
applicable codes.
2. Contractor shall reconnect gas, electrical and control wiring, as necessary.
3. Contractor shall be responsible at their own expense for facilitating the Windstorm
Inspection Process(WPI). Contractor shall facilitate WPI 1 and WPI 8. WPI 8 shall be
done after replacement.
4. Contractor shall perform startup checks of new units.
5. Contractor shall obtain and pass all required mechanical inspections through
Development Services.
6. After Installation, Contractor shall provide onsite training on operation and
maintenance of HVAC unit to the Facilities personnel.
7. Contractor shall restore any wall and floors penetrated by the new systems during
Installation.
C. Project Schedule
1. Estimated duration for the project is 16 weeks.
2. Contractor shall provide project schedule at the beginning of the project. Project
Schedule shall identify Start date, Permitting, Equipment Delivery Dates, Duct work
Modification (if any), Inspections, Substantial Completion and Owners Training.
Contractor shall submit project schedule for approval to the Contract
Administrator.
D. Safety
1. Contractor shall submit a project safety plan before starting project and provide
engineered stamped crane safety plan prior to commencement of crane
activities.
2. Contractor shall barricade or place cones around the work area before
commencing services. The Contractor shall take special measures to safeguard
the area while services are being performed. Contractor shall try to minimize an
interference to the building occupants with the day to day operations. The
Contractor shall be responsible for assuring the safety of its employees, City
employees, and the public during performance of all services under this contract.
1.3 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.
Attachment B -Schedule of Pricing
Item Description Unit Quantity I Total Price
1 HVAC Removal and Replacement Lump Sum 1 $112,166.00
at Central Kitchen I
Attachment C-Insurance/Bond Requirements
I. CONTRACTOR'S LIABILITY INSURANCE
A. Contractor must not commence work under this contract until all insurance
required has been obtained_and such insurance has been approved by the
City. Contractor must not allow any subcontractor, to commence work until all
similar insurance required of any subcontractor has been obtained.
B. Contractor must furnish to the City's Risk Manager and Director of Facilities &
Property Management one (1) copy of Certificates of Insurance 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 on the General liability and Auto Liability policies by
endorsement, and a waiver of subrogation endorsement is required on all
applicable policies. Endorsements must be provided with Certificate of
Insurance. Project name and/or number must be listed in Description Box of
Certificate of Insurance.
TYPE OF INSURANCE MINIMUM INSURANCE COVERAGE
30-day advance written notice of Bodily Injury and Property Damage
cancellation, non-renewal, material Per occurrence - aggregate
change or termination required on all
certificates and policies.
COMMERCIAL GENERAL LIABILITY $1,000,000 Per Occurrence
including: $1.000,000 Aggregate
1. Commercial Broad Form
2. Premises-Operations
3. Products/Completed
Operations
4. Contractual Liability
5. Independent Contractors
6. Personal Injury-Advertising Injury
AUTO LIABILITY (including) $1,000,000 Combined Single Limit
1. Owned
2. Hired and Non-Owned
3. Rented/Leased
WORKERS'S COMPENSATION Statutory and complies with Part II
(All States Endorsement if Company is of this Exhibit.
not domiciled in Texas)
Employers Liability $500,000/$500,000/$500,000
INSTALLATION FLOATER Value of the equipment
I ff4c,k‘t # 9 9 L(7
C. In the event of accidents of any kind related to this contract, Contractor must
furnish the Risk Manager with copies of all reports of any accidents within 10 days
of the accident.
Il. 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 statutory
amounts according to the Texas Department of Insurance, Division of Workers'
Compensation. An All States Endorsement shall be required if Contractor 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. Bests rating of no
less than A-VII.
C. Contractor shall be required to submit renewal certificates of insurance
throughout the term of this contract and any extensions within 10 days of the
policy expiration dates. All notices under this Exhibit shall be given to City at the
following address:
City of Corpus Christi
Attn: Risk Manager
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 thirty (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 (10) calendar days advance written notice for nonpayment of
premium.
E. Within five (5) 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
Contractor 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 contract.
2018 Insurance Requirements
Purchasing
HVAC Equipment New Installation, Replacement, Repairs and Maintenance
03/07/2018 sw Risk Management
Valid Through 12/31/2018
BOND REQUIREMENTS: No bond requirements necessary for this service agreement;
Section 5. (B) is null for this Service Agreement.
Attachment D-Warranty Requirements
One year warranty for parts and labor on all installation and maintenance work
performed.
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
Pow t of 46
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,
Page 2 of 46
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 rghts 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: 49 CFR Part 18.36(i)(2)
Page 3 of 46
FEDERAL REQUIREMENTS: FR-03
EQUAL EMPLOYMENT OPPORTUNITY- Executive Order 11246 as amended.41 CFR
PART 60-1.4114
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 EO 11375 of Oct 13,
Page 4 of 46
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, polices,
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 5.ieh 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
mformat on is wit in the exclusive possession of a labor un on 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 recru tment 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
Page 5 of 46
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 Compliance Programs office or from Federal
Page 6 of 46
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
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
Page 7 of 46
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.
I. 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 effectiveness of actions
taken on behalf of the contractor. The obligation to comply, however, is the contractor's and
Poge 8 of 46
failure of such a group to fulfill an obligation shall not be a defense for the contractors
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 goats 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
Pogo 9 of 46
FEDERAL REQUIREMENTS: FR-05
COPELAND"ANTI-KICKBACK" ACT—18 U.S.C.874 l 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, ..."
Poge 10 of 46
FEDERAL REQUIREMENTS: FR-06
FEDERAL LABOR STANDARDS PROVISIONS(HUD 40101
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.•ov/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 wiN 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
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
Page 11 of 46
(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.
(ill)Whenever the minimum wage rate prescribed in the contract for a class of laborers or
mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor
shall either pay the benefit as stated in the wage determination or shall pay another bona fide
fringe benefit or an hourly cash equivalent thereof.
(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 Comptroller General
shall make such disbursements in the case of direct Davis-Bacon Act contracts.
Page 12 of 46
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 ful 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.
(ill)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
Pogo 13 of 46
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 contractors 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 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
Page 14 of 46
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
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
Page 15 of 46
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
WAGE RATES
Poge 16 of 46
3n{12017 Mips/hvww*old,pwfwddlaca oshvn sobcaJTX3t0461'...4)
General Decision Number: Tx170031 01/06/2017 TX31
Superseded General Decision Number: TX20160631
State: Texas
Construction Type: Heavy
Counties: Nueces and San Patricia Counties in Texas.
HEAVY CONSTRUCTION PROJECTS (including Sewer and Water line
Construction and Drainage Projects)
Nate: Under Executive Order (ED) 13658, en hourly minimum wage
of $10.20 for calendar year 2017 applies to all contracts
subject to the Davis-Bacon Act for which the contract is awarded
(and any solicitation was issued) on or after January 1, 2015.
If this contract is covered by the EO, the contractor must pay
all workers in any classification listed on this wage
determination at least $10.28 per hour (or the applicable
wage rate listed on this wage determination, if it is higher)
for all Hours spent performing on the contract in calendar
year 2017. The EO minimum wage rate will be adjusted annually.
Additional information on contractor requirements and worker
protections under the EO is available at
www.dol.gov/whd/govcontracts.
Modification Number Publication Date
0 01/06/2817
• SUTX1487-001 12/81/1967
Rates Frirges
CARPENTER (Excluding Form
Setting) $ 9.05
Concrete Finisher $ 7 S6
ELECTRICIAN $ 13.37 2.58
Laborers:
Common . . ....$ 7.25
Utility $ 7.68
Power equipment operators:
Backhoe $ 9.21
Motor Grader $ 8,72
WELDERS - Receive rate prescribed for craft performing
operation to which welding is incidental.
as=Sa=emacs x 2S902==a MMMMM
Note: Executive Order (EO) 13706, Establishing Paid Sick teave
for Federal Contractors applies to all contracts subject to the
Davis-Bacon Act for which the contract is awarded (and any
solicitation was issued) on or after January 1, 2017. If this
• contract is covered by the EO, the contractor must provide
employees with 1 hour of paid sick leave for every 30 hours
they work, up to 56 hours of paid sick leave each year.
Employees must be permitted to use paid sick leave for their
sew Mdclescatiex..eavostm onax3s.o,o7v.o
Page 17 of 46
W2112017 hMp .lhoft w.wdol godwOrdiSamdke r4 ahsea TX31 Wb?wo
own illness, injury or other health-related needs, including
preventive core; to assist a family member (or person who is
like family to the employee) who is ill, injured, or has other
health-related needs, including preventive care; or for reasons
resulting from, or to assist a family member (or person who is
like family to the employee) who is a victim of, domestic
violence, sexual assault, or stalking. Additional information
on contractor requirements and worker protections under the EG
is available at www.dol.gov/whd/govcontracts.
Unlisted classifications needed for work not included within
the scope of the classifications listed may be added after
award only as provided in the labor standards contract clauses
(29CFR 5.5 (a) (1) (ii)).
The body of each wage determination lists the classification
and wage rates that have been found to be prevailing for the
cited type(s) of construction in the area covered by the wage
determination. The classifications are listed in alphabetical
order of "identifiers" that indicate whether the particular
rate is a union rate (current union negotiated rate for local),
a survey rate (weighted average rate) or a union average rate
(weighted union overage rate).
union Rate Identifiers
A four letter classification abbreviation identifier enclosed
in dotted lines beginning with characters other than "SU" or
'UAVG" denotes that the union classification and rate were
prevailing for that classification in the survey. Example:
PLUM0198-B05 87/01/2014. PLUM is an abbreviation identifier of
the union which prevailed in the survey for this
classification, which in this example would be Plumbers. 0198
indicates the local union number or district council number
where applicable, i.e., Plumbers Local 0198. The next number,
005 in the example, is an internal number used in processing
the wage determination. 07/01/2014 is the effective date of the
most current negotiated rate, which in this example is ]uly 1,
2014.
union prevailing wage rates are updated to reflect all rate
changes in the collective bargaining agreement (CCA) governing
this classification and rate.
Survey Rate Identifiers
Classifications listed under the "SU" identifier indicate that
no one rate prevailed for this classification in the survey and
the published rate is derived by computin8 a weighted average
rate based on all the rates reported in the survey for that
classification. As this weighted average rate includes all
rates reported in the survey, it may include both union and
non-union rates. Example: SU.A2012-097 5/13/2014. SU indicates
the rates are survey rates based on a weighted average
calculation of rates and are not majority rates. LA indicates
the State of Louisiana. 2012 is the year of survey on which
these classifications and rates are based. The next nuxber, eel
in the example, is an internal number used in producing the
wage determination. 5/13/2814 indicates the survey completion
date for the classifications and rates under that identifier.
MCps2Nevni.wdel,'pew odJscalhoddavisbec r/TX31. b7virD
Page 18 of 46
14h017 17 Mtps,Vonew wdol poolndd:scaMasklarlsbaca+✓flO1.dvt,?v O
Survey wage rates are not updated and remain in effect until a
new survey is conducted.
Union Average Rate Identifiers
Classification(s) listed under the UAVG identifier indicate
that no single majority rate prevailed for those
classifications; however, 109% of the data reported For the
classifications was union data, EXAMPLE! UAVG-OH-0818
98/29/2814. UAVG indicates that the rate is a weighted union
average rate, OH indicates the state. The next number, 0010 in
the example, is an internal number used in producing the wage
determination, ea/29f2014 indicates the survey completion date
for the classifications and rates under that identifier.
A UAVG rate will be updated once a year, usually In January of
each year. to reflect a weighted average of the current
negotiated/CBA rate of the union locals from which the rate is
based,
WADE DETERMINATION APPEALS PROCESS
1,) Has there been an initial decisior in the ratter? This can
be:
" an existing published wage determination
" a survey underlying a wage determination
" a Wager and Hour Division letter setting forth a position on
a wage determination matter
• a conformance (additional classification and rate) ruling
On survey related matters, initial contact, including requests
for summaries of surveys, should be with the Wage and Hour
Regional Office for the area in which the survey was conducted
because those Regional Offices have responsibility for the
Davis-Bacon survey programs, if the response from this initial
contact is not satisfactory, then the process described in 2.)
and 3.) should be followed,
With regard to any other natter not yet ripe for the formal
process described here, Initial contact should be with the
Branch of Construction Wage Determinations, Write to:
Branch of Construction Wage Determinations
Wage and Hour Division
U,S. Department of Labor
280 constitution Avenue, N,W,
Washington, DC 28218
2.) If the answer to the question in 1.) is yes, then an
interested party (those affected by the action) can request
review and reconsideration from the Wage and Hour Administrator
(See 29 CFR Part 1.8 and 29 CFR Part 7). Write to:
Mage and Hour Administrator
U.S. Department of Labor
209 Constitution Avenue,
Washington, DC 28210
The request should be accompanied by a full statement of the
interested party's position and by any information (wage
Mos.1/www.wtdd.g[r,PNddh heal''astansbaaar,TX31 d'rb?v=0
Page 19 of 46
311f2}%7 hticm Nwww vidol,pMediscailleskravistmarirXil iivb7vte
payment data, project description, area practice material,
etc.) that the roquestor considers relevant to the issue.
3.) If the decision of the Administrator is not favorable, an
interested party may appeal directly to the Administrative
Review Board (formerly the Wage Appeals Board). Write to;
Administrative Review Board
U.S. Department of Labor
Ido Constitution Avenue, N.W.
Washington, DC 20210
a.) All decisions by the Administrative Review Board are final.
c=======aa===si mumomumau•amseaaua-zxr_-a ants ussaasar====== _sa
ENU OF GENERAL DECISION
$
Page 20 of 46
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
Page 21 of 46
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
contractors/subcontractors 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"others'
category includes supply, professional services and all other activities except construction
and education/training activities.
7d. Business RaciaUEthniclGender 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.
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.
Page 22 of 46
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, 0, 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, 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.
Pog@ 23 of 46
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.esupervisors, 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 contractors 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 Ill: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
specked in item 8. PHAs/IHAs are to report all contracts/subcontracts.
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
Page 24 of 46
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.
Page 25 of 46
Contract and Subcontract Activity U.S.Deprival of Homing and Urban Development OMB Approval No..2535-0117(exp.12/312006)
Public Reporting harden for this collection of armistice is estimated to average.50 hours pee response,including the time for reviewing J aruene's,searching existing date sources,gathering rad maintaining the data needed,and
emnpledag and reviewing the cdketioa of information.Ibis information is voluntary.HUD may nes collect this infonnatims,aid you are not require:1 to complete this Sam,unless it displays a currently valid OMB Control Number.
Executive Order 12421 dated July 14,1913.directs the Minority Business Development Plant shall be developed by each Federal Agency and that these annual pans shall establish minority business development objectives. The
information is used by HUD to monitor end evaluate MBE activities spinet the tool program activity and the designated minority business enterprise(MBE)goals. The Deprrnent requires the infarrnation to provide guidance ad
oversight for psopams far the development of minority business enterprise concerning Mhnceity fleshless Development.If the information is not collected HUD would not be able to establish meaningful MBE goals not evaluate MBE
performance monist these goads.
While no essmama of confidentiality is pledged to respondents,HUD generally disclosed this data orgy in response to a Freedom of Information request
Privacy Act Notice-The United States De paanas of Maniac and Urban Development,Federal Housing Admimisuation,is authorised to solicit the iefonnatios requested it this foram by virtue of Tide 12,Untied States Code,Section
1701 et seq.,and regulations ponmiga ed there under eagle 12.Code of Federal regulations.It will not be disclosed or released eulsdt the United States Department of Housing and Urban Development without your consent,except
es requital or pemnitted by law.
1 t3roateelPsojen Ownre/DeveloprafromrlBuiWerlAgeney Check if 2.location(City,Stye,ZIP Code)
City of Corpus Christi PHA o 1201 Leopard St.Corpes Christi,TX 78401
IIA c
3a.Name of Co tact Person 3b.Phone Number(inclining Asa Code)3414003017 5.Program Code(Not applicable for CPD programs.) (] 6.Date Submitted to Field
Rudy Beaamaat.CD Adaiaateater 4 Reporting toPeSee esplenalioa ofcodes at bottom of page. O i
o Oct g- to Sept 30,(Aasfta)RY) Use a separate shat for add program Cade
(haat/Project Number -Arnoertof Type of Contractor or Woman Prime Sec.- Subcontractor Sea Contracta/Sebcontactor Name ad Address
a HUD Case Mintier Cooaaesa Trade Subcontractor Owned Cowmen 3 Identification 3 7).
a other identification Subcontract Code Bakes: Business Identification °D)Humber
ofproperty, (See Racial/Ethnic (Yea (1D)Number Cont' Sib.
suddtvisioo,dwelling below) Code No.) Name Street City Shue ZIP"o unit eta (See below)
Co0Project Name 7b. 7d. 7e. 7f 711. 7i.
is 7a. 7a 7g,
N
o.
O
A _
o-
l-New Consaerpn 1-NewConsmsctioa 6..Professional I-White America's I.An insured,including Seetion1 5=Section 202
2=EAneaiatfntiaing 2-Substantial Rehab. 7-Tensa Services 2-Bide Americans 2-Flexible Subsidy
7m Type'invade Codes 7d:RaeiallEtbale Codes: 5.Program Codes(Complese for Homing and Public and Indira Hosing programs only):
CPD: Hoaalag/PablIe Housing:
6•HUD-Held(Managemrat)
3.Oka 3 Repair 8-Educaionffraiane 3-Native Americans 3=Sectios8Noninsured.Non-HPOA 7-Public/Indian Housiag
4-Service 94.ArchiEngrg Appraisal 4-Hispanic Americans 4-haired(Maaagaaent)
5-Project Maas. 6-Other 5-Asian/Pacific Americans
6-Hasidic Jews
form HUD-2516(1/98)
i
Section 3 Summary Report U S Department of Housing OMB Approval No, 2529-0043
Economic Opportunities for and Urban Development (exp 11/30/2010)
Low—and Very Low-Income Persons Office of Fair Housino
And Equal Opportunity
HUD Field ice:
$edtm back of page for Pudic Reporting Burden statement
HUD Field Office:
1!Unseal Name d Address (street coy stele Des; 2 Federal Idant.-fitamn (grant no) 3 Total Amount of Award
4 Conrad Person 5 Phone (Include sea code)
6 Length of Grant 1 Reporting Penod.
8 Date Report Submitted 9 Program Code (Use separate sheet 10 Program Name
for each program code)
Part I: Employment and Training("Columns B,C and F are mandatory fields. Include New Hires in E&F)
A B C D E F
Number of Number of New 4 of Aggregate Number 96 of Total Stall Hass Number of Swoon 3
xb Category New!ares Hires that are of Staff Hous of New hoes for Seam 3 Employees Trames
Sec 3 Residents that are Sec 3 Residents and Trainees
Professionals
Technicians
Office/Clerical
Construction by Trade(List)
Trade
Trade
Trade
Trade
Trade
Other(List)
Total
•Program Codes 3.Pubkcirtdan Housing 4=Homeless Assisunce 8=COBG Stale Admntstred
1=nitride Subsidy A=Development. S=HOME 9=Other CD Programs
2=Secem 2021911 B=Operation 6=HOME State Aonnstered 10=Otrer Honng Programs
Page 1 of 2 form HUO 60002;8/2001:
Ref 24 CFR 135
Page 27 of 46
Part It: 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 S
C. Percentage of the total dollar amount that was awarded to Section 3 businesses 'X
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 S
B. Total dolar amount of non•constnrction contracts awarded to Section 3 businesses S
C. Percentage of the total dollar amount that was awarded to Section 3 businesses 44
D. Total number of Section 3 businesses receiving non-construction contracts
Part Ill: 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 metropoitan 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 metropoltan 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 US 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 MA 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
Re9rr 2 d 2 tam HUD 80002 t112010i
Ref 24 CFR 135
Page 28 of 46
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:Title 49 CFR Part 18.36(i)(8)
Poge 29 of 46
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:Title 99 CFR Part 18.36(i)
Page 30 of 46
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, (49 CFR Part 18.36(i)(12) &Section 306 of the Clean
Air Act&Section 508 of the Clean Water Act
Page 31 of 46
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 49 CFR Part 18.36&Public Law 94-163
Poge 32 of 46
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 ter transactions,
solicitations, proposals,contracts, and subcontracts.
Reference:49 CFR Part 29&FAA Order 5100.38C
Page 33 of 46
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
Page 34 of 46
FEDERAL REQUIREMENTS: FR-14
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:49 CFR Part 29&FM Order 5100 38C
Page 35 a!46
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
contractors 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
contractors 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 section
Page 36 of 46
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.
(I)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]
Page 37 of 46
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.
Page 38 of 46
FEDERAL REQUIREMENTS: FR-17
WOMEN AND MINORITY OWNED BUSINESSES(MANSE)
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.
Page 39 of 46
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.
Poge 40 of 46
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 facikty 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$50,000 and above; the contractor shall strictly
adhere to the construction approved drawings and specifications to accomplish final Certification from the
Texas Department of Licensing and Regulations(TDLR.)
Page 41 of 46
FEDERAL REQUIREMENTS: FR-20
DRUG-FREE WORKPLACE REQUIREMENTS
The Drug-Free Workplace Act of 1988(42 U.S.C.701)requires grantees(including individuals)of
federal agencies, as a prior condition of being awarded a grant, to certify that they will provide drug-free
workplaces. Each potential recipient must certify that it will comply with drug-free workplace
requirements in accordance with the Act and with HUD's rules at 24 CFR part 24, subpart F.
Page 42 of 46
FEDERAL REQUIREMENTS: FR-21
FIELD REQUIREMENT$
TO BE POSTED:
AM 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 retum 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.
Page 43 of 46
CDBG
PROJECT SIGN
8'
Red
PROJECT NAME Background
Project Address White Letters
CITY OF CORPUS CHRISTI
White
Community Development Block Grant (CDBG) Background
Black
U. S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT Letters
(HUD)
CDBG FUNDS: $ Total Pro.ect Cost: $
Blue
Contractor Background
Address:
Phone Number. White Letters
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'A" plywood.
Sign should be posted at a minimum of than 3` 6' high from ground level.
Page 44 of 46
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
n 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 wi l 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 mode
known to the resources named above. Attachments #2 and #3 shall be completed by
and each subcontractor to assure that reasonable goals and target
dales 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.:
Page 45 of 46
AFFIDAVIT AND WAIVER OF LIEN BY CONTRACTOR
STATE OF TEXAS
COUNTY OF
Personally appeared before me.the undersigned authority in and for said State and
County, (Name/Titte)of
(Name of Company)
which firm is hereinafter called-Contractor',who being duly sworn states on oath that he
has personal knowledge of the following
1 Contractor has paid in full all debts,obligations,and liabilities(including,without
limitation,all debts,obligations,and liabilities for labor,materials,equipment or
services,and for all local,state or federal taxes)which have been incurred by
Contractor,or which are claimed by others to have been incurred by Contractor,or
which have arisen in conjunction with work done,or labor,materials,equipment or
services furnished by Contractor under contract with the City of Corpus Christi on
the
(Project Name)
2 This Affidavit and Waiver is made and given upon and in exchange for final payment
of all sums due Contractor by the City of Corpus Christi under the terms of said
contract. In consideration Therefor.Contractor waives and releases any and all
claims and any and all liens or rights to liens which Contractor has or may have
against the City of Corpus Christi for amounts due and owing to Contractor by virtue
of Contractor furnishing the labor.materials,equipment or services referred to
above
The above statements are made by (Name)of
(Name of Company)
individually and on behai of the Contractor
(Name and Title)
(Company Name)
Sworn to and subscribed before me on (Oat.)_
Notary Public
State of Texas
Commission Expires
END OF FEDERAL REQUIREMENTS
Page 46 of 46