Adelanto City Council
March 12, 2025

included in the bid package and can also be found at https://www.sam.gov/portal/public/SAM/. The wage decision that applies to the project is the one in effect ten days prior to the bid opening date. eDocuments – Labor compliance documents required to be submitted by all Contractors, as identified on the “Required Documents” table, electronically prior to Certified Payroll submission. Each eDocument is listed by name in the definitions herein.

Equal Employment Opportunity Clauses/Equal Employment Opportunity Construction Contract Provisions − These provisions are to be inserted in all applicable federally assisted contracts and subcontracts.

E-signature Authorization (LCF 16-1.0) – eDocument signed by an owner, partner, executive officer, and all duly authorized “Designee” employee(s) of all Contractors, as identified on the “Required Documents” table, who have authority to enter into agreements on behalf of Contractor and who will be uploading eDocuments and/or certified payroll records (CPR)s into LCPtracker. This document must be notarized with an “Acknowledgment” form and will be valid for a period of one (1) calendar year from the signature date.

Federal Labor Standards Provisions (HUD-4010 form) − These provisions set forth the federal labor requirements for Contractors working on federally assisted construction projects in which the prime contract exceeds $2,000. Contractors are required to pay their laborers and mechanics working onsite a wage as specified in the FEDERALLY FUNDED PROJECTS section of this provision. The Prime Contractor is responsible to include the Labor Compliance Contract Addendum in all executed Subcontractor/SubTier contracts for the project(s).

Fringe Benefit Statement (LCF 16-1.3) – eDocument signed by all Contractors, as identified on the “Required Documents” table, identifying bona fide Fringe Benefits in which their employees are participating.

Labor and Materials Bond − This payment bond guarantees that employees/Subcontractors, and suppliers are paid for services rendered and materials supplied. The Labor and Materials Bond must be at least 100% of the contract price and must be submitted to the CITY/COUNTY upon award of the contract.

LCPtracker – County Community Development and Housing Department (CDH)’s Online Certified Payroll System.

Performance Bond − This bond guarantees the Contractor's performance under the terms of the construction contract and must be at least 100% of the contract price and submitted to the CITY/COUNTY following award of the contract.

Project Wage Rate Sheet (LCF 16-1.1) – eDocument used by all Contractors, as identified on the “Required Documents” table, to list all labor classifications and wage rate(s) applicable for the project to be set up in LCPtracker for CPR submittal.

Section 3 (24 CFR Part 75, Subpart A-D) − This law applies to all housing rehabilitation, housing construction and other public construction projects contract exceeding $200,000 or more of housing and community development financial assistance from one or more U.S. Department of Housing and Urban Development (HUD) programs.

Section 3 Resource Participation Certificate (LCF DB16-2.4) – eDocument to certify that all Contractors, as identified on the “Required Documents” table, have read the County’s Section 3 Plan and contacted the resources provided for information on participating in the program.

Section 3 Actions and Outcomes (LCF DB16-2.5) – eDocument signed by all Contractors, as identified on the “Required Documents” table, to certify how the Contractor will implement Section 3 hiring practices for the project.
631
1 U. S. Department of Housing and Urban Development
Office of Community Planning and Development
Special Attention of: NOTICE: CPD-2023-12
All Secretary's Representatives Issued: November 2, 2023 All State/Area Coordinators
All CPD Division Directors Expires: Effective until amended, superseded, HUD Field Offices or rescinded
HUD Regional Offices
Cross Reference:

Sections 70901-52 of Pub. L. No. 117-58
Subject: CPD Implementation Guidance for the Build America, Buy America Act’s domestic content procurement preference as part of the Infrastructure Investment and Jobs Act.

This Notice provides initial implementation guidance for programs administered by the U.S.

Department of Housing and Urban Development’s (HUD) Office of Community Planning and Development (CPD) for the “Buy America Preference” (BAP) imposed by the Build America, Buy America Act (BABA) enacted under Division G, Title IX of the Infrastructure Investment and Jobs Act (IIJA, Pub. L. No. 117-58) signed into law on November 15, 2021.

This Notice provides CPD grantees and participating jurisdictions, collectively referred to as grantees, an overview of BABA, including key terms, HUD actions to implement BABA, guidance on HUD’s general waivers, the phased implementation schedule for the BAP on CPD programs, and proposed next steps. The attached addenda include answers to frequently asked questions, examples of when the BAP applies for CPD grantees, and sample BAP language for agreements. 632
2 Purpose of the Notice
This Notice is intended to notify grantees of the “Buy America Preference” (BAP) requirement under the Build America, Buy America Act (BABA) as they apply to CPD programs.

This Notice identifies the CPD programs and activities that must comply with BABA along with the timeline for the application of the BAP. It also highlights issues that grantees will want to consider when preparing for HUD’s full implementation of the BAP, as described in “Public Interest Phased Implementation Waiver for FY 2022 and 2023 of Build America, Buy America Provisions as Applied to Recipients of HUD Federal Financial Assistance” (88 Fed. Reg. 17001, effective March 15, 2023). This Notice refers to 88 Fed. Reg. 17001 as the “Phased Implementation Waiver” which establishes BAP implementation points according to a schedule across HUD programs.

Note: The guidance provided in this Notice is subject to change if the Office of Management and Budget (OMB) updates guidance on the application of BABA for Federal financial assistance (FFA) programs for infrastructure.

I. Overview of Build America, Buy America Act
The Build America, Buy America Act (BABA)
The Build America, Buy America Act (BABA) was signed into law by President Biden on November 15, 2021, as part of the Infrastructure Investment and Jobs Act (IIJA) as Sections 70901- 52 of Pub. L. No. 117-58. In addition to providing funding for roads, bridges, rails, and high-speed internet access, it created an incentive to increase domestic manufacturing across the country through the inclusion of BABA’s “Buy America Preference” (BAP). In general, the BAP requires that all iron, steel, manufactured products, and construction materials used in infrastructure projects funded with Federal financial assistance (FFA), as outlined in Section 70914(a) of BABA, must be produced in the United States. The intent of the BAP in BABA is to stimulate private-sector investments in domestic manufacturing, bolster critical supply chains, and support the creation of well-paying jobs for people in the United States. The preference is also intended to bolster American firms’ ability to compete and lead globally for years to come by requiring entities that receive Federal infrastructure funds to use American materials and products.

The BABA preference for American materials and products applies to all spending on infrastructure projects by Federal agencies, including HUD. In BABA and for purposes of this Notice, the Federal infrastructure spending with a BAP is referred to as “Federal financial assistance” or “FFA.” Under Section 70912(7), FFA for infrastructure "projects” includes the “construction, alteration, maintenance, or repair of infrastructure in the United States”. Under Section 70914(a), the use of American iron and steel, construction materials, and manufactured products applies to funding from CPD programs for infrastructure projects. However, the BAP does not apply to “pre and post disaster or emergency response expenditures” under Section 70912(4)(B). A list of CPD disaster or emergency funding meeting these criteria can be found in Section III.

Effective May 14, 2022, the BAP applies to infrastructure spending unless an agency issues a waiver in three limited situations: 1) when applying the domestic content procurement preference 633
3 would be inconsistent with the public interest, 2) when types of iron, steel, manufactured products or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality, or 3) where the inclusion of those products and materials will increase the cost of the overall project by more than 25 percent. Before issuing a waiver, under Section 70914(c), the head of a Federal agency, including HUD, must make publicly available a detailed written explanation for the proposed determination to issue the waiver and provide a period of not less than 15 days for public comment on the proposed waiver. Additional details on waivers can be found in Section IV.

A. Federal Government-wide Guidance on BABA
As a part of the Federal government’s support of domestic production and manufacturing through infrastructure investments, OMB and HUD have taken several steps to implement the BAP by providing guidance and issuing HUD general waivers.

On August 23, 2023, OMB issued final rules for 2 CFR Parts 184 and 200 and provided further guidance on implementing the statutory requirements and improving FFA management and transparency (88 Fed. Reg. 57750, effective October 23, 2023). These government-wide regulations apply to HUD programs and provide direction on implementing a BAP waiver process. The new and revised regulations also provide additional guidance on construction material standards, the cost components of manufactured products, and their definitions.

On October 25, 2023, OMB issued guidance to all Federal agencies on how to implement BABA consistently across the government. The “Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure” (M-24-02) (OMB Guidance) directs Federal agencies, including HUD, on how to apply the BAP and provides an overview of the BAP waiver requirements. OMB may also issue additional or updated guidance in the future, and HUD will update its guidance as necessary.

B. HUD Actions and Guidance on BABA
BABA is a new and complex statute, which became effective in 2022. As such, establishing governmentwide guidance on these new statutory requirements has been an iterative process. Since the passage of BABA, HUD has worked diligently to implement the BAP for all HUD programs.

Before the law became effective on May 14, 2022, HUD established a Department-wide BABA leadership committee. Beginning in June 2022, HUD issued a Request for Information (RFI) and collected public comments on potential BABA implications for HUD grantees. Based on these comments and to ease the transition in complying with the BAP, HUD proposed and received four general waivers for covered FFA, which includes CPD programs. These waivers and other BABA information are available on HUD’s website at BABA | HUD.gov / U.S. Department of Housing and Urban Development (HUD). Further details on these waivers and their application to CPD programs are provided in Section IV of this Notice.

CPD has taken several actions to notify and communicate with stakeholders and grantees on BABA requirements and their impact on CPD programs. All CPD Fiscal Year (FY) 2022 grant transmittal letters and notices of funding opportunities (NOFOs) included a reference to the BAP 634
4 under BABA. For the FY2023 funding allocations, all CPD grant agreements with covered FFA included a clause to require that the grantee must comply with BABA, as applicable. Throughout 2023, CPD has held BABA information sessions for CPD grantees and has a dedicated email box at [email protected] to answer questions from individual grantees and stakeholders.

HUD is continuing to work towards implementing BABA across its covered FFA programs.

Next steps include establishing a centralized waiver process for all HUD covered programs. CPD is incorporating BABA in its existing reporting systems and processes. To assist grantees, CPD is also developing additional guidance materials and support as the phased implementation of BABA progresses.

II. Definitions
Key terms that have relevance to the interpretation and implementation of the BAP for CPD programs are defined in the BABA statute and may be found in 2 CFR part 184 and OMB guidance.

A. Build America, Buy America Act is defined in 2 CFR § 184.3 and means division G, title IX, subtitle A, parts I–II, sections 70901 through 70927 of the Infrastructure Investment and Jobs Act (Pub. L. No. 117-58)
B. Buy America Preference is defined in 2 CFR § 184.3 and means the “domestic content procurement preference” set forth in section 70914 of BABA, which requires the head of each Federal agency to ensure that none of the funds made available for a Federal award for an infrastructure project may be obligated unless all of the iron, steel, manufactured products, and construction materials incorporated into the project are produced in the United States.

C. Categorization of Articles. The term “categorization of articles” refers to the requirement that articles, materials, and supplies should only be classified into one of the following categories:
i. Iron or steel products;
ii. Manufactured products;
iii. Construction materials; or
iv. Section 70917(c) materials.

An article, material, or supply should not be classified into more than one category and must be made based on the status of the article, material, or supply upon arrival to the work site for use in an infrastructure project. Articles, materials, or supplies must meet the Buy America Preference for only the single category in which they are classified and, in some cases, may not fall under any of the categories listed above.

D. Component is defined in 2 CFR § 184.3 and means an article, material, or supply, whether manufactured or unmanufactured, incorporated directly into: a manufactured product; or, where applicable, an iron or steel product.

E. Construction Materials is defined in 2 CFR § 184.3 and means articles, materials, or 635
5 supplies that consist of only one of the items listed in paragraph (1) of this definition, except as provided in paragraph (2) of this definition. To the extent one of the items listed in paragraph (1) contains as inputs other items listed in paragraph (1), it is nonetheless a construction material.
(1) The listed items are:
i. Non-ferrous metals;
ii. Plastic and polymer-based products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables); iii. Glass (including optic glass);
iv. Fiber optic cable (including drop cable);
v. Optical fiber;
vi. Lumber;
vii. Engineered wood, and
viii. Drywall.
(2) Minor additions of articles, materials, supplies or binding agents to a construction material do not change the categorization of the construction material.

F. Covered Materials includes the following when used in connection with an Infrastructure Project:
(A) all iron and steel;
(B) all Manufactured Products; and
(C) all Construction Materials.

G. Covered CPD Programs. The term “covered CPD programs” means any Federal financial assistance administered by CPD that is used for infrastructure purposes, excepting expenditures related to pre and post disaster or emergency response.

H. Grantee. The term “grantee,” as defined at 24 CFR 5.100, means the person or legal entity to which a grant is awarded and that is accountable for the use of the funds provided.

I. Federal Financial Assistance (FFA) has the meaning given to the term in 2 CFR 200.1 (or successor regulations) and includes all expenditures by a Federal agency to a NonFederal Entity for an Infrastructure Project, except that it does not include:
(A) expenditures for assistance authorized under section 402, 403, 404, 406, 408, or 502 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170a, 5170b, 5170c, 5172, 5174, or 5192) relating to a major disaster or emergency declared by the President under section 401 or 501, respectively, of such Act (42 U.S.C. 5170, 5191); or
(B) pre and post disaster or emergency response expenditures.

J. Infrastructure is described in 2 CFR 184.4(c) and encompasses public infrastructure projects in the United States, which includes, at a minimum: the structures, facilities, and equipment for roads, highways, and bridges; public transportation; dams, ports, harbors, and other 636
6 maritime facilities; intercity passenger and freight railroads; freight and intermodal facilities; airports; water systems, including drinking water and wastewater systems; electrical transmission facilities and systems; utilities; broadband infrastructure; and buildings and real property; and structures, facilities, and equipment that generate, transport, and distribute energy including electric vehicle (EV) charging. See also 2 CFR 184.4(d).

K. Infrastructure Project. The term “infrastructure project” is defined in 2 CFR 184.3 and means any activity related to the construction, alteration, maintenance, or repair of infrastructure in the United States regardless of whether infrastructure is the primary purpose of the project.

L. Iron and Steel Products. The term “iron and steel products” is defined in 2 CFR 184.3 and means an article, material, or supply that consists wholly or predominantly of iron or steel, or a combination of both.

M. Predominantly of iron or steel or a combination of both is defined in 2 CFR 184.3 and means that the cost of the iron and steel content exceeds 50 percent of the total cost of all its components. The cost of iron and steel is the cost of the iron or steel mill products (such as bar, billet, slab, wire, plate, or sheet), castings, or forgings utilized in the manufacture of the product and a good faith estimate of the cost of iron or steel components.

N. Made in America Office. The term “Made in America Office” or “MIAO” means the office at the Office of Management and Budget, established by section 70923 of BABA, that is charged with, among other things, enforcing compliance with the BAP and establishing the procedures to review waiver requests proposed by a Federal awarding agency.

O. Manufactured Products is defined in 2 CFR 184.3 and means:
(1) Articles, materials, or supplies that have been:
(i) Processed into a specific form and shape; or
(ii) Combined with other articles, materials, or supplies to create a product with different properties than the individual articles, materials, or supplies. (2) If an item is classified as an iron or steel product, a construction material, or a section 70917(c) material under 2 CFR 184.4(e) and the definitions set forth in this section, then it is not a manufactured product. However, an article, material, or supply classified as a manufactured product under 2 CFR 184.4(e) and paragraph (1) of this definition may include components that are construction materials, iron or steel products, or section 70917(c) materials.

P. Manufacturer is defined in 2 CFR 184.3 and means the entity that performs the final manufacturing process that produces a manufactured product.

Q. Non-Federal Entity means a State, local government, Indian Tribe, Institution of Higher Education (IHE), or nonprofit organization, as provided in 2 CFR 200.1. Public Housing Agencies are Non-Federal Entities.
637
7 R. Not Listed Construction Materials. The term “not listed construction materials” refers to the category of construction materials that are subject to the BAP, but not included in HUD’s specifically listed construction materials, as defined in the Phased Implementation Waiver.

This includes:
i. plastic and polymer-based products other than composite building materials or plastic and polymer-based pipe or tube;
ii. glass (including optic glass); and
iii. drywall.

S. Obligate. The term “obligate,” for purposes of HUD’s phased implementation of BABA, means the date that HUD executed the legal instrument creating the relationship between HUD and the grantee for an award of Federal financial assistance. The milestone that establishes an obligation date depends on each program but for many CPD programs, such as CDBG, the obligation date occurs upon HUD’s execution of the grant agreement.

T. OMB Guidance. The term “OMB guidance” refers to 2 CFR Part 184, the "Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure” (M-24-02), issued October 25, 2023, by the Office of Management and Budget, and any subsequent guidance to rescind or replace M-24-02. This guidance is applicable to the heads of all Federal agencies for the implementation of BABA’s Buy America Preference.

U. Pre and Post Disaster or Emergency Response Expenditures. The term “pre and post disaster or emergency response expenditures” means Federal funding authorized under section 402, 403, 404, 406, 408, or 502 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act) relating to a major disaster or emergency declared by the President under section 401 or 501, respectively. The BAP does not apply to pre and post disaster or emergency response expenditures authorized by statutes other than the Stafford Act and made in anticipation of or in response to an event that qualifies as an emergency or major disaster within the meaning of the Stafford Act.

V. Produced in the United States is defined in 2 CFR 184.3 and means:
i. In the case of iron or steel products, all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States.
ii. In the case of manufactured products:

1. The product was manufactured in the United States; and

2. The cost of components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard that meets or exceeds this standard has been established under applicable law or regulation for determining the minimum amount of domestic content of the manufactured product. See 2 CFR 184.2(a). The costs of
components of a manufactured product are determined according 638
8 to 2 CFR 184.5.
iii. In the case of construction materials, all manufacturing processes for the construction material occurred in the United States. See 2 CFR 184.6 for more information on the meaning of “all manufacturing processes” for specific construction materials.

W. Project. The term “project” means the construction, alteration, maintenance, or repair of infrastructure in the United States. (Section 70912(7) of BABA).

X. Section 70917(c) Materials. The term “section 70917(c) materials” is defined in 2 CFR 184.3 and means cement and cementitious materials; aggregates such as stone, sand, or gravel, or aggregate binding agents or additives. These materials are not considered “construction materials” for the purpose of BABA implementation.

Y. Specifically listed construction materials. The term “specifically listed construction materials” for HUD programs includes:
a. non-ferrous metals;
b. lumber;
c. composite building materials; and
d. plastic and polymer-based pipe and tube.

III. Applicability of the BAP on CPD Programs
Under Sections 70912 and 70914, the BAP applies to the purchase of iron, steel, manufactured products, and construction materials for Covered CPD Programs when funds are used for the construction, alteration, maintenance, or repair of infrastructure, as defined by BABA.

Covered CPD Programs currently include:
 Community Development Block Grant Formula Programs (CDBG)  Section 108 Loan Guarantee
 HOME Investment Partnerships Program (HOME)
 HOME Investment Partnerships American Rescue Plan Program (HOME-ARP)  Housing Trust Fund (HTF)
 Recovery Housing Program (RHP)
 Emergency Solutions Grants (ESG)
 Continuum of Care (CoC)
 Housing Opportunities for Persons With AIDS (HOPWA)
 Self-Help Homeownership Opportunity Program (SHOP)
 Special NOFA for unsheltered and rural homeless
 Veterans Housing Rehabilitation and Modification Program (VHRMP)  Community Project Funding (CPF)/Economic Development Initiatives (EDI)  Section 4 Capacity Building
 Rural Capacity Building
 Pathways to Removing Obstacles to Housing (PRO Housing)  Preservation and Reinvestment Initiative for Community Enhancement (PRICE) 639
9  FY23 Permanent Supportive Housing (PSH) Funds
This list of Covered CPD Programs is subject to change if there are any changes to the eligible uses of funds or the establishment of new programs that fund infrastructure and are covered by BABA.

CPD Programs Not Covered by BAP:

Under Section 70912(4)(B), the BAP does not apply to Federal funds for “pre and post disaster or emergency response.” The following CPD funds are administered for disaster or emergency-related purposes and therefore the BAP does not apply:
 Community Development Block Grant – Disaster Recovery Funds (CDBG-DR)  Community Development Block Grant – Mitigation (CDBG-MIT)  Community Development Block Grant – National Disaster Resilience Competition (CDBGNDR)  Community Development Block Grant CARES Act (CDBG-CV)  Housing Opportunities for Persons With AIDS CARES Act (HOPWA-CV)  Emergency Solutions Grants CARES Act (ESG-CV)
Additionally, the Community Compass Technical Assistance program is excluded from the BAP as the program does not fund any covered infrastructure activities.

IV. Buy America Preference Waivers Currently in Effect for HUD Programs Under Section 70914(b), HUD is able to issue, after consultation with OMB’s MIAO, general waivers, and project-specific waivers to the BAP if it is determined that a waiver falls into one of the following three categories: 1) when applying the domestic content procurement preference would be inconsistent with the public interest, 2) when types of iron, steel, manufactured product or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality, or 3) where the inclusion of those products and materials will increase the cost of the overall project by more than 25 percent. In order for HUD to consider either a general or project specific waiver request and be able to review it with OMB, the waiver must include a detailed written explanation and allow for the public to comment for at least 15 days, as required under Section 70914(c).
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10 HUD’s General Waivers Applicable to Covered CPD Programs Four general applicability waivers are currently in effect for HUD programs and apply to all Covered CPD Programs. Each waiver is outlined below.

General
Waiver Type
Purpose Effective Dates
Public Interest
Phased
Implementation
HUD issued a public interest waiver,
“Public Interest Phased Implementation
Waiver for FY 2022 and 2023 of Build
America, Buy America Provisions as
Applied to Recipients of HUD Federal
Financial Assistance” to allow for
orderly implementation of the BAP
across HUD programs. The Phased
Implementation Waiver establishes a
schedule for the phased implementation
of the BAP across CPD programs and
infrastructure materials.

The public interest waiver was
issued in March 2023 and
established a phased
implementation schedule for the
application of the BAP to HUD
programs through FY2025. The
BAP has been in effect since
November 15, 2022, for the use of
iron and steel for infrastructure
projects funded with newly
obligated FFA through the CDBG
program.

Exigent
Circumstances
HUD issued a public interest waiver for
exigent circumstances, “Public Interest
Waiver of Build America, Buy America
Provisions for Exigent Circumstances as
Applied to Certain Recipients of HUD
Federal Financial Assistance”. This
waiver applies when there is an urgent
need by a CPD grantee to immediately
complete an infrastructure project
because of a threat to life, safety, or
property of residents and the
community.

The public interest waiver for
exigent circumstances is effective
from November 23, 2022, for a
period of five years ending on
November 23, 2027, or such
shorter time as HUD may
announce via Notice.

De Minimis,
Small Grants,
and Minor
Components
HUD issued a public interest de
minimis, small grants, and minor
components waiver titled “Public
Interest De Minimis and Small Grants
Waiver of Build America, Buy America
Provisions as Applied to Certain
Recipients of HUD Federal Financial
Assistance”. This waives the BAP for all
infrastructure projects whose total cost
(from all funding sources) is equal to or
less than the simplified acquisition
threshold at 2 CFR 200.1 which is
currently $250,000. This Notice also
waives the application of the BAP for a
The public interest de minimis,
small grants, and minor
components waiver is effective
from November 23, 2022, for a
period of five years ending on
November 23, 2027, or such
shorter time as HUD may
announce via Notice.
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11 General
Waiver Type
Purpose Effective Dates
de minimis portion of an infrastructure
project, meaning a cumulative total of
no more than five percent of the total
cost of the iron, steel, manufactured
products, and construction materials
used in and incorporated into the
infrastructure project, up to a maximum
of $1 million.

Tribal
Recipients
Waiver
HUD issued a public interest waiver,
“Extension of Public Interest, General
Applicability Waiver of Build America,
Buy America Provisions as Applied to
Tribal Recipients of HUD Federal
Financial Assistance: Final Notice” for
the BAP as it applies to Tribal
recipients. HUD will consult with
Tribally Designated Housing Entities
and other Tribal Entities on how to
apply the BAP.

The waiver of the BAP as it
applies to Tribal recipients is
effective from May 23, 2023, until
May 23, 2024.

HUD Project-Specific Waivers
Additionally, a CPD grantee may request a project-specific waiver from the BAP for covered FFA on a limited, case-by-case basis. HUD may grant a project specific waiver after consultation and review with the OMB’s MIAO. As with the general waivers, under Section 70914(b) HUD may issue a project-specific waiver to the BAP if it is determined that a waiver falls into one of the following three categories: 1) when applying the domestic content procurement preference would be inconsistent with the public interest, 2) when types of iron, steel, manufactured product or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality, or 3) where the inclusion of those products and materials will increase the cost of the overall project by more than 25 percent. A waiver for a specific project may vary depending upon the circumstances of the project, and specific items, products, or materials in question.

Understanding HUD’s Phased Implementation Approach
Under Section 70914(a), the BAP for covered FFA infrastructure projects, including those funded by CPD programs, was required to be in effect no later than 180 days after it was signed into law. Thus, starting May 14, 2022, all new awards of covered FFA for infrastructure projects obligated by HUD would have had a BAP under BABA. Due to the short implementation period of 180 days, and to allow for the domestic industry and FFA recipients to have the time and notice necessary to implement BABA efficiently and effectively, HUD issued several general public 642
12 interest waivers, including a Phased Implementation Waiver. Over the course of two years, under this waiver, HUD will implement the BAP in an incremental process for all HUD programs, including CPD programs, to come into compliance with BABA. This phased approach is also intended to reduce the burden on grantees due to the uncertain costs of compliance with the BAP.

This approach is also intended to provide transparency concerning the full implementation plans in connection with HUD infrastructure projects. HUD wants to avoid any unnecessary and undue hardships that could jeopardize the timely and cost-effective completion of projects that previously were not subject to a BAP and to allow time for grantees to come into full compliance.

In the table below, the columns identify four separate categories of covered materials subject to the BAP (iron and steel, specifically listed construction materials, not listed construction materials, and manufactured products) and the rows identify covered HUD programs. To use the table, find the program that funds the project under consideration, then find the covered materials that will be used in the project. The cell in the table where the applicable row and column intersect indicates the date on which the BAP will begin applying to the specific materials used in the project under consideration. It is important to note that the date of obligation is the date on which HUD executed the legal instrument creating the relationship between HUD and the grantee for an award of FFA, commonly the date the grant agreement is signed by HUD. 643
13 Phased Implementation Schedule for HUD Programs
The table below outlines the phased implementation timeline for HUD’s covered programs published in the Phased Implementation Waiver.

BAP will apply to… Iron and Steel Construction
Materials –
Specifically Listed
Construction
Materials –
Not Listed
Manufactured
Products
CDBG Formula
Grants
All funds
obligated on or
after November
15, 2022
As of the date HUD
obligates new FFA
from Fiscal Year
2024 appropriations
As of the date HUD
obligates new FFA
from Fiscal Year 2025
appropriations
As of the date
HUD obligates
new FFA from
Fiscal Year
2025
appropriations
Choice
Neighborhood,
Lead Hazard
Reduction, and
Healthy Homes
Production Grants
New FFA
obligated by
HUD on or after
February 22,
2023
New FFA obligated
by HUD on or after
August 23, 2024
New FFA obligated
by HUD on or after
August 23, 2024
New FFA
obligated by
HUD on or
after August
23, 2024
Recovery Housing
Program (RHP)
Grants
New FFA
obligated by
HUD on or after
August 23, 2023
As of the date HUD
obligates new FFA
from Fiscal Year
2024 appropriations
As of the date HUD
obligates new FFA
from Fiscal Year 2025
appropriations
As of the date
HUD obligates
new FFA from
Fiscal Year
2025
appropriations
All HUD other FFA
except HOME,
Housing Trust
Fund, and Public
Housing FFA used
for maintenance
projects
New FFA
obligated by
HUD on or after
February 22,
2024
New FFA obligated
by HUD on or after
August 23, 2024
New FFA obligated
by HUD on or after
August 23, 2024
New FFA
obligated by
HUD on or
after August
23, 2024
HOME, Housing
Trust Fund, and
Public Housing
FFA used for
maintenance
projects
New FFA
obligated by
HUD on or after
August 23, 2024
New FFA obligated
by HUD on or after
August 23, 2024
New FFA obligated
by HUD on or after
August 23, 2024
New FFA
obligated by
HUD on or
after August
23, 2024
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14 Phased Implementation Schedule for CPD Programs
Covered CPD programs began applying the BAP for infrastructure projects not covered under a general waiver for specific materials in phases beginning on November 15, 2022, and through FY2025. This section describes when the BAP applies to specific Covered CPD programs in accordance with HUD’s Phased Implementation Waiver.

Iron or Steel
CPD Program BAP Effective Date Implementation Examples
CDBG
The BAP first applied to
CDBG funds, obligated on
or after November 15,
2022, and that will be used
to purchase iron and steel
for infrastructure projects.

This means CDBG grants obligated via a CDBG
grant agreement signed by HUD on or after
November 15, 2022, are subject to the BAP.

CDBG grants obligated via a CDBG grant
agreement signed by HUD prior to November 15,
2022, are not subject to the BAP.

RHP
The BAP will apply to
RHP funds obligated on or
after August 23, 2023, used
to purchase iron or steel for
infrastructure projects.

This means RHP grants obligated via a RHP grant
agreement signed by HUD on or after August 23,
2023, are subject to the BAP. A RHP grant
obligated via a grant agreement signed by HUD
prior to August 23, 2023, is not subject to the BAP.

ESG,
CoC,
HOPWA,
SHOP,
VHRMP,

CPF/EDI,
Section 4,
Rural Capacity
Building,
Pro Housing,
PRICE,
PSH,
and NOFOs
The BAP will apply to
funds from all other
covered CPD programs,
except HOME and HTF,
obligated on or after
February 22, 2024, used to
purchase iron or steel for
infrastructure projects.

Grantees should identify the execution date by
HUD on the grant agreement or other legal
instrument. The BAP applies to funds obligated by
HUD on or after February 22, 2024.

For HOPWA competitive grants, obligation is the
date the award letter is signed. HOPWA
competitive grantees should compare the date on
its award letter to the February 22, 2024, to
determine if its grant is subject to the BAP.

EDI Community Project Funding has a different
obligation determination. Grantees should consult
their Congressional Grant Officer for more
information.

HOME & HTF
The BAP will apply to
HOME and HTF funds
obligated on or after
August 23, 2024, used to
purchase iron or steel for
infrastructure projects.

This means HOME and HTF grants obligated via
grant agreements signed by HUD on or after
August 23, 2024, are subject to the BAP. A
HOME or HTF grant obligated via a grant
agreement signed by HUD prior to August 23,
2024, is not subject to the BAP.
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15 Materials Other Than Iron or Steel
CDBG & RHP Programs All Other Covered CPD Programs
Specifically Listed
Construction Materials
(Non-Ferrous Metals,
Lumber, Composite
Building Materials,
Plastic and Polymer
Based Pipe and Tube)
The BAP will apply to FY2024
and subsequent CDBG and
RHP awards used to purchase
specifically listed construction
materials as well as to purchase
iron and steel.

The BAP will apply to funds from all
other Covered CPD programs
obligated on or after August 23, 2024,
used for the purchase of specifically
listed construction materials as well as
iron and steel for infrastructure
projects.

Not Listed
Construction Materials
The BAP will apply to FY2025
and subsequent CDBG and
RHP awards used to purchase
not listed construction materials
for infrastructure projects.

The BAP will apply to all Covered
CPD program (except CDBG and
RHP) funds obligated on or after
August 23, 2024, used for the purchase
of not listed construction materials, as
well as specifically listed construction
materials and iron and steel, for
infrastructure projects.

Manufactured
Products
The BAP will apply to FY2025
and subsequent CDBG and
RHP awards used to purchase
manufactured products as well
as specifically listed
construction materials and iron
and steel, for infrastructure
projects.

The BAP will apply to all Covered
CPD program funds (except CDBG
and RHP) obligated on or after August
23, 2024, used for the purchase of
manufactured products for
infrastructure projects.

Applying the BAP and HUD Waivers to CPD Programs
Once the BAP applies to an infrastructure project, a grantee must:

1. Comply with the BAP, or

2. Utilize one of HUD’s general waivers, or

3. Obtain a project-specific waiver to exclude the project from the BAP.

As a part of its record keeping, a CPD grantee should document its process to analyze if the BAP applies to a project using the approach below:

Step 1: Type of project/activity
Are the funds being used for an infrastructure project, as defined by BABA and explained in this notice?
 If yes, proceed to step 2.
 If no, the BAP does not apply. The BAP only applies to infrastructure projects. 646
16 Step 2: Funding source
Identify the source(s) of the project funding, including CPD funding, HUD funding or other Federal agency funding that must comply with BABA. Does the project funding include any Covered CPD Programs listed in this notice? (Note: The BAP does not apply to funds that are for pre- or post-disaster or emergency response.)
 If yes, and HUD contributes the largest portion of Federal funds to the project, proceed to step 3.
 If yes, and another Federal agency contributes the largest portion of Federal funds to the project, that Federal agency is the “Cognizant Agency for Made in America”, and the grantee should follow that agency’s guidance for applicability of the BAP to the project.  If no, then the project does not need to comply with the BAP for CPD funds but may need to comply with the BAP due to the inclusion of other HUD or Federal funding sources.

Step 3: Materials
Identify the materials that will be used in this infrastructure project. Does the project use materials subject to the BAP (iron or steel, specifically listed construction materials, not listed construction materials, or manufactured products), identified in this Notice?  If yes, proceed to step 4.
 If no, then the BAP does not apply. The BAP only applies to covered materials.

Step 4: Date of obligation
Consult the Phased Implementation Waiver schedule table. Identify the cell that corresponds to the Covered CPD Program funding and materials used in your project. This cell identifies the date on which the BAP will apply for the Covered CPD Program and the materials. Based on the date of obligation of the Covered CPD Program funds, does the BAP apply to the funding source and materials that will be used in your project?
 If yes, proceed to step 5.
 If no, the BAP does not apply.

Step 5: General waivers
Consider the available HUD General Waivers. As of this Notice, there are three general waivers that may be utilized as an alternative to compliance with the BAP under the Phased Implementation Waiver: 1) Exigent Circumstances Waiver, 2) the De Minimis, Small Grants, and Minor Components Waiver, and 3) the Tribal Recipients Waiver. Analyze each available HUD general waiver, based upon the specific requirements of that waiver.

1. Exigent Circumstances Waiver: Is there an urgent need to immediately complete the project because of a threat to life, safety, or property of residents and the community?  If yes, the Exigent Circumstances Waiver may apply, and the project would not be subject to the BAP.

2. De Minimis, Small Grants, and Minor Components Waiver: Is the total cost of the project equal to or less than $250,000?
 If yes, the De Minimis, Small Grants, and Minor Components Waiver may apply, and the project would not be subject to the BAP.
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17 OR
This waiver can be applied to a portion of the products used in an infrastructure project if the cumulative cost of those products does not exceed five percent of the total cost of covered products used in the project (up to $1 million).
 In that case, the BAP would be waived for part of the project, but the rest of the project would still need to comply with the BAP.

3. Tribal Recipients Waiver: Is the project being funded by a Tribal recipient?  If yes, the Tribal Recipients Waiver may apply, and the project would not be subject to the BAP. (This is rare for CPD programs.)
 If no to General Waiver questions 1, 2, and 3, proceed to Step 6.

Step 6: Project-specific waivers
Consider the criteria for project-specific waivers. Project-specific waivers to the BAP may be available if it is determined that a waiver falls into one of the following three categories: 1) when applying the domestic content procurement preference would be inconsistent with the public interest, 2) when types of iron, steel, manufactured product or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality, or 3) where the inclusion of those products and materials will increase the cost of the overall project by more than 25 percent. Project-specific waivers are available on a limited, case-by-case basis, after HUD’s consultation and review with OMB’s MIAO.

1. Would applying the BAP to the project be inconsistent with the public interest?  If yes, a project-specific waiver may be considered.

2. Are the types of iron, steel, manufactured products, or construction materials used in the project not produced in the United States in sufficient and reasonable available quantities or of a satisfactory quality?
 If yes, a project-specific waiver may be considered.

3. Would the inclusion of iron, steel, manufactured products, or construction materials produced in the United States increase the cost of the overall project by more than 25 percent?
 If yes, a project-specific waiver may be considered.
 If no to Project specific waiver questions 1, 2, and 3, the BAP likely applies to the project and the project should comply with the requirements of the BAP.

Grantees should consult the entirety of this Notice and other applicable BABA guidance before making a determination on BAP applicability to a specific project. Grantees should reach out to their local CPD field office if they require additional assistance with determining BAP applicability.
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18 Federal Government-wide Guidance on Project/Product-Specific Waivers Under Section 70914(b), BABA allows a Federal agency, such as HUD, to waive the BAP for covered FFA in three instances: 1) when applying the domestic content procurement preference would be inconsistent with the public interest, 2) when types of iron, steel, manufactured product or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality, or 3) where the inclusion of those products and materials will increase the cost of the overall project by more than 25 percent. To direct Federal agencies on how to implement this waiver process, OMB issued guidance that HUD will follow when reviewing a waiver request from a CPD grantee.

According to OMB, agencies may reject or grant waivers in whole or in part. When an agency is considering a waiver, it should, to the greatest extent possible, be issued at the project level and be product specific. When that is not possible, an agency may issue a broader waiver. The agency should follow three principles before issuing any type of waiver:
1) The waiver may be time-limited, meaning it is issued for a certain period of time, rather than for a specific project. For example, a time-limited waiver may apply when an item that is “nonavailable” is widely used in projects funded by a particular program. 2) The waiver should be targeted, meaning it should only apply to specific item(s), product(s), or material(s) or category(ies) of item(s), product(s), or material(s). 3) The waiver may be conditional with conditions that support the policies of BABA.

OMB guidance outlined the waiver review process for agencies to follow before issuing a waiver. Based on this guidance, HUD is developing its Department-wide project-specific waiver process. For HUD to consider a project or product-specific waiver it must:
 Have a detailed justification for the use of goods, products, or materials mined, produced, or manufactured outside the United States.
 A certification that there was a good faith effort to solicit bids for domestic products supported by terms included in requests for proposals, contracts, and nonproprietary communications with potential suppliers.
 In addition, at a minimum and to the greatest extent practicable, each proposed waiver submitted for consideration by the MIAO should include the following information, as applicable:
o Waiver type (nonavailability, unreasonable cost, or public interest). o Recipient name and Unique Entity Identifier (UEI).
o Federal awarding agency organizational information (e.g., Common Governmentwide Accounting Classification (CGAC) Agency Code). o Financial assistance listing name and number.
o Federal financial assistance program name.
o Federal Award Identification Number (FAIN) (if available). o Federal financial assistance funding amount.
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19 o Total estimated infrastructure expenditures, including all Federal and non-Federal funds (to the extent known).
o Infrastructure project description and location (to the extent known). o List of iron or steel item(s), manufactured products, and construction material(s) proposed to be excepted from Buy America requirements, including name, cost, country(ies) of origin (if known), and relevant PSC and NAICS code for each. o A certification that the Federal official or assistance recipient made a good faith effort to solicit bids for domestic products supported by terms included in requests for proposals, contracts, and nonproprietary communications with the prime contractor.
o A statement of waiver justification, including a description of efforts made (e.g., market research, industry outreach), by the Federal awarding agency and, and in the case of a project or award specific waiver, by the recipient, in an attempt to avoid the need for a waiver. Such a justification may cite, if applicable, the absence of any Buy America-compliant bids received in response to a solicitation. o Anticipated impact if no waiver is issued.
o Any relevant comments received through the public comment period.

The purpose of the information is to ensure that HUD has adequate information to perform due diligence, that MIAO has sufficient information to determine whether the proposed waiver is consistent with law and policy, and that sufficient information is available for public review.

Information provided for public review should help interested manufacturers gauge the demand for products for which agencies are considering waiving a Buy America preference.

Once HUD has reviewed all required information, it will notify OMB’s MIAO. The purpose of this consultation is for the MIAO to identify any opportunities to structure the waiver to maximize the use of goods, products, and materials produced in the United States to the greatest extent possible consistent with law. Following this consultation with MIAO, HUD is required to post the proposed waiver on its BABA website with a detailed written explanation of the proposed determination to issue the waiver and must provide at least 15 days for public comment. General applicability waivers require a minimum 30-day public comment period.

Once the public comment period ends, HUD will submit the proposed waiver to MIAO to determine if the waiver is consistent with applicable law and policy. The MIAO will notify the agency of its determination of the proposed waiver. Only after this process has been completed may the HUD issue the waiver.

Applying for a HUD Specific Waiver
Prior to seeking a waiver, grantees should determine if and how BABA applies and follow measures to maximize compliance with the BAP based on the above guidance. At this time, HUD’s BABA waiver process is as follows:

1. Contact [email protected] for BABA technical assistance as needed.

2. Prepare a “Build America Buy America Waiver Request” with the information required by the MIAO.
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20 3. Submit a waiver application with all necessary information to HUD at [email protected].
 HUD is currently using email while an automated process is under development.

4. Provide additional information as requested by HUD during the review process to proceed with public comment in the Federal Register, and final approval by MIAO.

5. HUD reviews waivers before they are posted to the Federal Register for public comment and sent to the MIAO for approval. If approved, the waiver is posted on MadeInAmerica.gov.

CPD Grantees Receiving Funds from Multiple Federal Agencies For CPD grantees that receive funds from multiple Federal agencies for an infrastructure project, the Federal agency contributing the greatest amount of covered FFA for the project will be considered the “Cognizant Agency for Made in America,” according to OMB Guidance. This lead agency should take responsibility for coordinating with the other Federal awarding agencies.

Such coordination will provide uniform waiver criteria and adjudication processes, minimize duplicative efforts among Federal agencies, and reduce burdens on recipients. The Cognizant Agency for Made in America shall be responsible for consulting with the other Federal awarding agencies, publicizing the proposed joint waiver, and submitting the proposed joint waiver for review to MIAO.

CPD Record Keeping Requirements
To comply with BABA, the BAP must be included in the terms and conditions of all federal awards including subawards, contracts, and purchase orders for the work performed or products supplied for infrastructure projects. CPD grantees should document the process to analyze if the BAP applies to a project using the approach in this Notice and collect records to demonstrate compliance with BABA requirements. Records should be consistent with existing records retention requirements for each of the Covered CPD programs. If there are no CPD program-specific records requirements, the CPD grantee may follow “retention requirements for records,” under 2 CFR § 200.334 as applicable to Federal grants.

HUD will issue guidance about reporting on BABA required activities under 24 CFR

91.520, at a later date. At this time, CPD is working to include the BAP into its existing CPD systems (Integrated Disbursement and Information System, Disaster Recovery Grant Reporting System) for grantees to generate reports to track progress and compliance with BABA.

Additional details on record keeping requirements will be determined by HUD and shared with CPD grantees as it is available.

V. Contact Information
Grantees that have questions on this Notice should contact their assigned HUD Field Office Representative or send their request directly to [email protected]. CPD Field Offices should direct inquiries and comments to their program desk officer. 651
21 Addendum 1
Frequently Asked Questions
General Information

1. What is BABA? What is the “Buy America Preference”?
The Build America, Buy America (BABA) Act was enacted on November 15, 2021, as part of the Infrastructure Investment and Jobs Act (IIJA) (Pub. L. No. 117-58) also known as the Bipartisan Infrastructure Law. BABA establishes a domestic content procurement preference known as the “Buy America Preference” (BAP) for Federal infrastructure spending. The BAP requires that all iron, steel, manufactured products, and construction materials used in infrastructure projects funded with Federal financial assistance must be produced in the United States.

2. What types of Federal financial assistance (FFA) are subject to the BAP? FFA subject to BABA includes all expenditures by a Federal agency to a non-Federal entity for an infrastructure project, including grants, cooperative agreements, non-cash contributions or donations of property, direct assistance, loans, loan guarantees, and other types of financial assistance.

3. What projects or activities does the BAP apply to?
The BAP applies to the iron, steel, construction materials, and manufactured products used in infrastructure projects funded by Federal financial assistance (FFA), which includes covered materials and covered activities. Infrastructure projects include construction, alteration, maintenance, or repair of any infrastructure in the United States as defined in the next paragraph and in the Definitions section of this Notice.

The term “infrastructure” includes the structures, facilities, and equipment for projects traditionally considered infrastructure, including buildings and real property. For CPD programs, this may include, but is not limited to, certain funding for:
 road and sidewalk improvement projects;
 water, sewer, and other utility projects;
 broadband infrastructure;
 housing construction and rehabilitation;
 community facility construction and rehabilitation;
 homeless shelter construction and rehabilitation;
 and other CPD-funded activities that are defined as infrastructure according to BABA (section 70912(5)).
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22 4. What materials does the BAP apply to?
The BAP requires that all iron, steel, manufactured products, and construction materials used in infrastructure projects funded with Federal financial assistance must be produced in the United States.

5. What does “produced in the United States” mean for materials to which the BAP applies?
The term “produced in the United States,” as defined in 2 CFR 184.3, means:
 in the case of iron or steel products, that all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States.  in the case of manufactured products that:
o the product was manufactured in the United States; and o the cost of components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard that meets or exceeds this standard has been established under applicable law or regulation for determining the minimum amount of domestic content of the manufactured product; and
 in the case of construction materials, that all manufacturing processes for the construction material occurred in the United States.

CPD Program Specific

6. Which CPD programs are subject to the BAP?
Any CPD program that can be used for the purpose of infrastructure as defined by BABA.

These programs are considered Covered CPD programs.

7. Which CPD funds or programs are NOT subject to the BAP? The BAP does not apply to Federal funds for ‘‘pre and post disaster or emergency response’’ according to BABA. Therefore, at the time of publication of this notice, the BAP does not apply to the following CPD funds or programs that administer disaster related FFA:
 Community Development Block Grant Disaster Recovery Funds (CDBG-DR)  Community Development Block Grant Mitigation (CDBG-MIT)  Community Development Block Grant – National Disaster Resilience Competition (CDBG-NDR)
 Community Development Block Grant CARES Act (CDBG-CV)  Housing Opportunities for Persons With AIDS CARES Act (HOPWA-CV)  Emergency Solutions Grants CARES Act (ESG-CV)
The Community Compass Technical Assistance program is also excluded from the BAP as the program does not fund any covered infrastructure activities. 653
23 8. I am funding a project with CDBG funds that were obligated (i.e., the grant agreement was signed by HUD) before November 15, 2022. Does the BAP apply? No, the BAP does not apply to HUD funds that were obligated before November 15, 2022.

HUD defines the date of obligation as the date that HUD signed the agreement with the grantee. The BAP will apply to CDBG funds used for iron or steel that were obligated on or after November 15, 2022.

There is an additional consideration. If FY funds for which BABA applies are added to this infrastructure project, BABA then will apply to the entire project.

9. I am a grantee funding a project with CDBG funds that were obligated (i.e., the grant agreement was signed by HUD) on or after November 15, 2022. Does the BAP apply? If the CDBG funds used in your infrastructure project were obligated on or after November 15, 2022, the BAP will apply to all iron or steel used in the project, unless a waiver applies to the project. If these BABA funds are applied to an infrastructure project that does not have a BAP, the addition of these funds will attach BABA to the entire project. BABA would apply as described in HUD’s Phased Implementation Waiver unless there is a project-specific waiver approved by the MIAO.

10. I am funding a public facilities project with total FFA of $2,500,000. $400,000 of CDBG funds are being used for engineering and administration fees of a project.

Other federal funding will pay for the remaining construction activities. Is the BAP applicable to this project?
Yes, the total project cost is over $250,000 and the project is construction of an infrastructure project. The total cost of a project must not exceed $250,000 from all sources to qualify for an exemption of the BAP under HUD’s general waiver for small projects.

Documentation and Grant Management

11. Does the BAP apply to subrecipients or contractors? In most cases, yes, the BAP requirements apply to subgrantees, including subrecipients, contractors, and developers who are awarded Federal financial assistance for use in public infrastructure projects. The BAP requirements apply to all FFA and do not distinguish between the end user of the federal funds. The BAP applies as long as the funding is derived from a Federal agency, even if they are a pass-through entity unless a particular section of the terms and conditions of the Federal award specifically indicates otherwise. 654
24 12. Is there standard language grantees can include in subrecipient/bid contract documents?
Grantees should include the BABA language from their grant agreement in any subrecipient and bid contract documents to ensure BABA compliance by subrecipients, developers and/or contractors. Please refer to Addendum 3 for the language used in CPD grant agreements.

Waivers

13. Are there any waivers available for the BAP?
There are currently four general applicability waivers in effect for HUD programs that apply to CPD programs: 1) Phased Implementation Waiver, 2) Exigent Circumstances Waiver, 3) De Minimis, Small Grants, and Minor Components Waiver, and 4) Tribal Recipients Waiver. The details of each of these waivers can be found in Section IV of this Notice, or by visiting HUD’s BABA website to see the latest available HUD waivers at:
https://www.hud.gov/program_offices/general_counsel/baba. Waivers, as they are approved by the MIAO, will be updated on HUD’s website.

14. Will there be project or product specific waivers of the BAP? In addition to HUD’s general waivers, HUD may also grant “project-specific” waivers from the BAP for covered FFA on a limited, case-by-case basis, after consultation and review with the MIAO at OMB. HUD may issue a project-specific waiver to the BAP if it is determined that a waiver falls into one of the following three categories: 1) when applying the domestic content procurement preference would be inconsistent with the public interest, 2) when types of iron, steel, manufactured product or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality, or 3) where the inclusion of those products and materials will increase the cost of the overall project by more than 25 percent. A waiver for a specific project may vary depending upon the circumstances of the project, and specific items, products, or materials in question. . HUD is currently developing the process through which a grantee may request a waiver. More information will be made available once that process is developed.
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25 Addendum 2
Examples of BAP for CPD Programs
This appendix provides a selection of illustrative examples to assist grantees in determining if the BAP applies to their projects.

Example 1: A grantee funds a water and sewer project containing iron and steel. The project is funded using $1 million in FY23 CDBG funding. The total Federal financial assistance for the project is $3 million.

The BAP applies to this project because it is a CDBG project using funding obligated on or after November 15, 2022, the project contains iron or steel, and the total cost of the project is greater than the simplified acquisition threshold at 2 CFR 200.1 which is currently $250,000.

Example 2: A grantee funds a water and sewer project containing iron and steel. The project is funded using $100,000 in FY23 CDBG funding. The total Federal financial assistance for the project is $2 million.

The BAP applies to this project because it is a CDBG project using funding obligated on or after November 15, 2022, the project contains iron or steel, and the total cost of the project is greater than $250,000.

Example 3: A participating jurisdiction contributes $2 million in HOME funds for construction of a multi-unit residential building, which includes iron or steel. The funds are obligated by HUD on July 15, 2023.

The BAP does not apply to this project because the BAP will not apply to HOME funds used for iron or steel until August 23, 2024.

Example 4: A participating jurisdiction contributes $2 million in HOME funds for the construction of a multi-unit residential building, using iron or steel. The funds are obligated by HUD after August 23, 2024.

The BAP applies to this project because the project includes iron or steel, the total cost of the project is greater than $250,000, and the project uses HOME funds obligated after the date on which the BAP begins to apply to HOME funds used for iron or steel.

Example 5: A grantee funds acquisition of land using $300,000 in Recovery Housing Program (RHP) funds that were obligated on September 1, 2023. The acquisition is part of a multifamily housing construction project containing iron or steel.

The BAP applies because the purpose of the funding is a covered activity (construction) that includes iron or steel. The total cost of the project from all sources is greater than $250,000 and the funds are obligated after the date on which the BAP applies to RHP funds used for iron or steel. 656
26 Example 6: A grantee purchases a fire engine which will serve a low- to -moderate-income neighborhood. The grantees uses $300,000 in FY23 CDBG funding for the purchase.

The BAP does not apply because the funding is not used for a covered activity (construction, alteration, maintenance, or repair) for an infrastructure project.

Example 7: A grantee uses $400,000 in Recovery Housing Program (RHP) funds to rehabilitate a multi-unit residential building, using iron or steel. The funds are obligated by HUD after August 23, 2023.

The BAP applies to this project because it uses iron or steel, the total cost of the project is greater than $250,000, and the project uses RHP funding that is obligated after the date on which the BAP begins to apply to RHP funds used for iron or steel (August 23, 2023). 657
27 Addendum 3
Sample BABA Language in Grant Agreements
The language below is included in all CPD program NOFOs and grant agreements. Similar to other cross cutting requirements, grantees should include the following BABA language in all contracts and agreements with subrecipients, contractors, developers and subgrantees. Grantees and subrecipients should include this language in any NOFOs and procurement bid/contract documents to ensure BABA compliance by subgrantees, developers and/or contractors.

The Grantee must comply with the requirements of the Build America, Buy America (BABA) Act, 41 USC 8301 note, and all applicable rules and notices, as may be amended, if applicable to the Grantee’s infrastructure project. Pursuant to HUD’s Notice, “Public Interest Phased Implementation Waiver for FY 2022 and 2023 of Build America, Buy America Provisions as Applied to Recipients of HUD Federal Financial Assistance” (88 FR 17001), any funds obligated by HUD on or after the applicable listed effective dates, are subject to BABA requirements, unless excepted by a waiver. 658

LABOR COMPLIANCE REQUIREMENTS
Project Bidding

1. Borrower, Prime Contractor, Subcontractor, and every Sub-Tier contractor shall include this CONSTRUCTION CONTRACT LABOR COMPLIANCE PROVISIONS (Attachment D) in all bid documents for Prime Contractor(s), Subcontractor(s) and every Sub-Tier contractor(s) and must clearly state the appropriate prevailing wage rate(s) (i.e., Federal, State, commercial and/or residential and the date of the appropriate wage schedule) for the project(s).

Construction

1. Borrower, Prime Contractor, Subcontractor, and every Sub-Tier contractor shall include the Davis Bacon/California LABOR COMPLIANCE CONTRACT ADDENDUM (DB/CA LCCA) attachment and must clearly state the appropriate prevailing wage rate(s) (i.e., Federal, State, commercial and/or residential and the date of the appropriate wage schedule) for the project(s) in every executed agreement (i.e., contract, purchase order, on-call, etc.) on the project(s).

2. Borrower shall ensure that the Prime Contractor, prior to accepting prospective Subcontractor(s) bid(s) and any Subcontractor accepting prospective lower tier Subcontractor(s) bid(s), has confirmed that each Subcontractor’s and lower tier Subcontractor bid is based on the appropriate prevailing wage rate(s) and the correct job classifications for the work to be performed on the project(s) under the subcontract.

3. Prime Contractor, Subcontractor, and every lower tier Subcontractor shall maintain copies of their executed contract(s) for the project(s) and shall provide to CDH a copy of such executed contract(s) upon request within no more than three (3) business days.

4. Prior to construction start, CDH will conduct a mandatory Labor Compliance Pre-Construction Meeting(s).

Prime Contractor, Subcontractor, and every lower tier Subcontractor working on the project(s) shall have, in attendance from their office, a representative responsible for managing the duties of prevailing wage labor compliance. Items to be discussed include, but are not limited to, Federal and State labor law requirements applicable to the project(s), prevailing wage requirements, respective record-keeping responsibilities, the requirement for submittal of certified payroll records to CDH, compliance documents and the prohibition against discrimination in employment, required signage, sign-in sheets/daily logs, contract language, WMBE reporting, employee reporting, possible audits, etc. The meeting will be canceled and rescheduled if Prime Contractor, Subcontractor, and/or every lower tier Subcontractor working on the project(s) representative responsible for managing the duties of prevailing wage labor compliance fail to attend the meeting unless authorized to do so by CDH in writing prior to the meeting.

5. Prime Contractor shall maintain at project site(s) daily log/sign-in sheets. Daily log/sign-in sheets shall be separated by company. Sheets shall be written in English and Spanish (and other languages, as appropriate) and shall include CDH and any project labor consultant name and phone number of the current wage monitor, for any worker to contact if there are any questions or concerns about their wages or any other concerns about the project. Prime Contractor shall enforce that all workers employed on site must sign in at the job site daily including time-in, time-out and lunch period (including any applicable travel time to and from project site). The workers must identify the Prime Contractor, Subcontractor and any lower tier Subcontractor for whom they are working and their job classification. Daily log/sign-in sheets shall be emailed to CDH no more than seven (7) days from the end of the scheduled project work week. If requested in writing by CDH, Prime Contractor shall provide to CDH any requested daily log/sign-in sheet copies within no more than three (3) business days of request. Workers who are subject to split-classifications during their tour of duty on the project(s) site shall edit the daily log/sign-in sheets on day’s worker duties triggered split-classifications assignment to reflect their actual hours worked in each classification.
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6. Prime Contractor, Subcontractor, and every lower tier Subcontractor shall complete in its entirety a Project ID Card for each worker employed on the worksite of the project(s). The Project ID Card shall be completed within five (5) days of execution of contract award for project(s) or before worker(s) begins employment on the project(s) site. The Project ID Card template shall be downloaded from LCPtracker.

Prime Contractor, Subcontractor, and every lower tier Subcontractor may use an equivalent Project ID form if approved by CDH in advance and in writing. Prime Contractor, Subcontractor, and every lower tier Subcontractor shall be responsible for furnishing and requiring each worker employed on the worksite to have in possession and/or display such identification card as may be approved and directed by CDH or its designee. Any worker(s) employed on project(s) site found to be without their Project ID Card may be removed from site until Project ID Card is restored. Any Prime Contractor, Subcontractor, and every lower tier Subcontractor who falsifies information on a Project ID Card and/or knowingly reports incorrect information regarding a worker employed on project(s) site shall be dismissed and removed from the project and barred from conducting further business on the project. Workers need to consider wearing heavy duty ID card holders, as they work in extremely physical environments.

7. CDH and/or its designee shall conduct employee interviews and Prime Contractor, Subcontractor, and every lower tier Subcontractor agrees to have their employees interviewed for the purposes of prevailing wage compliance. Employee interviews should be conducted at a frequency and number sufficient to establish the degree of adequacy and accuracy of the CPR, and the nature and extent of any violations.

They should also be representative of all classifications of employees on the project. (29 CFR 5.6 (a) (3)).

In doubtful compliance situations, interviews with former employees may be appropriate. Employee interviews are intended to be private from their employer and Prime Contractor agrees allow CDH and/or its designee to conduct such interviews. Each employee should be informed that the information given is confidential, and that his/her identity will not be disclosed to the employer without the employee’s written permission. CDH and/or its designee shall conduct at least one set of wage interviews with a representative group of workers during the project construction (PWRB 2013, Investigative Procedures Under Davis Bacon Related Act/Contract Work Hours and Safety Standards Act). CDH and/or its designee must conduct additional interviews if there is any reason to suspect a Contractor or their Subcontractor is at risk for violating wage requirements. As provided in 29 CFR 5.6(a)(5), all interviews must be conducted in confidence.

8. As permitted by Department of Labor, HUD, projects subject to DBRA and Title 8, section 16404 of the California Code of Regulations, allows Prime Contractor, Subcontractor and every lower tier Subcontractor to submit a weekly CPR electronically. Prime Contractor, Subcontractor, and every lower tier Subcontractor agrees to use LCPtracker and shall submit weekly CPR’s as required during the term of construction on the project(s). LCPtracker is a web-based software CDH utilizes to collect, verify and manage prevailing wage certified payrolls and related labor compliance documentation.

Prime Contractor, Subcontractor and every Sub-Tier shall submit, via electronic submission, documents as required by CDH, which may include, but is not limited to Certified Payroll Records (CPR)s, Statements of Compliance and other required documents. Prime Contractor, Subcontractor and every Sub-Tier and/or their designee shall sign the E(Electronic)-Signature Authorization Agreement, which must be notarized with an “Acknowledgment”, and establish a Personal Identification Number (PIN), on LCPtracker. Prime Contractor, Subcontractor and every Sub-Tier will electronically sign, by use of their established PIN, all documents requiring a signature that are submitted to CDH via LCPtracker. Prime Contractor, Subcontractor and every lower tier Subcontractor agree that their PIN, once established on LCPtracker, constitutes their electronic signature and understands that any information and documents submitted using their PIN is electronically certifying their signature. Prime Contractor, Subcontractor and every lower tier Subcontractor understand that they are legally bound, obligated, and responsible by use of their PIN/electronic signature as much as would be by their handwritten signature.

9. To meet labor compliance requirements, CDH requires that each Prime Contractor, Subcontractor, and every lower tier Subcontractor agrees to complete and submit all required eDocuments on LCPtracker. 660
All eDocuments are accessed, submitted and approved through LCPtracker. All eDocuments are submitted through CDH’s Online Certified Payroll System using a PIN. If requested in writing by CDH, Prime Contractor, Subcontractor, and every lower tier Subcontractor shall provide to CDH any additional requested compliance documentation within no more than three (3) business days of request.

One of the documents that will be required to be uploaded in LCPtracker as part of the eDocuments, is a City business license or a letter stating the reasons why no business license is required. All contractors performing work on a project site located within an incorporated city must possess or obtain that city’s business license. However, if the project is located in an unincorporated area of the County, and the contractor’s business is located in an incorporated city, the contractor must possess or obtain a business license within the city where their business is located. An exception to the business license requirement will be aA letter explaining the exception to the business license requirement, if the contractor’s business and the project work site are both located in an unincorporated area of the County.

Prime Contractor, Subcontractor, and every lower tier Subcontractor agree to do the following on project(s):

A. Submit a hard copy of the Electronic Signature Authorization form within five (5) working days of executed contract - to establish a Personal Identification Number (PIN)) Form must be completed and signed by a company owner, partner, executive officer or designee (if applicable) before a contractor may establish a PIN and electronically sign documents online.

B. Complete Project ID cards as specified.

C. Submit required eDocuments online within ten (10) working days of executed contract.

D. Submit *non-required eDocuments and other documentation online as specified.

E. Submit CPRs online within ten (10) working days of the work week’s ending date.

F. Submit one CPR online per project, per week.

G. Report all workers, including owners, partners and superintendents, who were onsite.

H. All contractors must submit CPRs online from the start of the project until the time that they finish their work on the project.

I. All contractors must submit a Statement of Non-Performance online to certify that no work was performed by their company for any week of the project they are not working.

J. All contractors must submit a final CPR online for the last week they are working on-site.

K. All contractors must pay every worker on a weekly basis (if applicable).

L. All CPRs must indicate check number or direct deposit transaction number. (*Non-required eDocuments are those eDocuments which are not mandatory per LCPtracker; however, which may be required for a particular job on a case-by-case basis as specified.)
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REQUIRED DOCUMENTS

DOCUMENT QUICK REFERENCE
Document Name/Number
Prime Contractor – Due prior to Pre-Construction Conference Executed Contract/Purchase Order (FLCCA and/or SLCCA must be attached) Bonds (Performance/payment or labor and material bonds) Prime/Subcontractor – Due prior to Start of Work
Contractor Information Form2 (LCF 16-100)
Copy of all executed Sub-Contractor contracts (FLCCA and/or SLCCA must be attached) 2 Business Certification (LCF 16-SAM 2) 2
E-Signature Authorization Annual Form (Must be notarized) (LCF 16-1.0) 2 Affirmative Action Compliance Form for Construction Contracts over $10,000 (LCF DB16-2.2)*3 Affidavit of Compliance with California Prevailing Wage Law (LCF CA16-3.4) 5 Apprentice and Trainees Acknowledgement (LCF 16-XX) 4
Certification of Bidder Regarding Equal Opportunity (LCF DB16-2.1)*3 Certification of Understanding and Authorization Form (LCF 16-1.2)*3|4 Checklist of Labor Law Requirements (LCF CA16-3.1) 5
City Business License/Exception Letter2
Contractor’s Certification of Compliance with Davis-Bacon and Related Act Requirements (LCF DB16-2.0)*3 Fringe Benefit Statement Form (LCF 16-1.3)* 4
Labor Compliance Contract Addendum – LCCA2
Project Wage Rate Sheet*2(LCF -16-1.1)
Public Works Contract Award Information (DAS 140) (LCF CA16-3.2) 5 Request for Dispatch of an Apprentice (DAS 142) (LCF CA16-3.3) 5 Section 3 Actions and Outcomes (LCF DB16-2.5) 3
Section 3 Resource Participation Certificate (LCF DB16-2.4)3 Section 3 Business Certification (LCF DB 16-2.6)
Section 3 Worker/Targeted Worker Eligibility Form (LCF DB 16-2.7) Section 3 Cumulative Report (LCF DB 16-2.8)
Prime/Subcontractor – Due Progression of Work – Weekly
Authorization for Payroll Deduction (LCF 16-1.4)*3
Department of Industrial Relations – Apprentice Certification (LCF 16-SAM 5) 5 Department of Labor Apprenticeship Certification (LCF 16-SAM 4)* 3 Apprenticeship Program Appendix A*3
Prime/Subcontractor – Due Progression of Work – Monthly Training Fund Contribution (LCF 16-SAM 8) 4|5
DIR – eCPR Submission Confirmation (LCF 16-SAM 9) 5
Ready-Mix Concrete Driver Certified Time Record (LCF 16-SAM 10)5 Prime/Subcontractor – Due Progression of Work – As Needed C-10 Electrical Certification /Electrical Trainee (LCF 16-SAM 11)5 Employee CPR Certified Documentation1|2
*These forms are located on the LCPtracker online database discussed in, “Electronic Submission of Certified Payrolls” section and will be discussed by County CDH staff at the preconstruction conference. 1 If applicable to contractor 2 Applies to all regardless of Funding 3 Federal Funds ONLY (Davis-Bacon) 4 Federal and State Funds 5 State Funds ONLY 662

STATE PREVAILING WAGE REQUIREMENTS
A. All or a portion of the Scope of Work in the Contract or Purchase Order (as applicable) requires the payment of prevailing wages and compliance with the following requirements. (1) Determination of Prevailing Rates
Pursuant to Labor Code sections 1770, et seq., the County has obtained from the Director of the Department of Industrial Relations (DIR) pursuant to the California Labor Code, the general prevailing rates of per diem wages and the prevailing rates for holiday and overtime work in the locality in which the Scope of Work is to be performed. Copies of said rates are on file with the County, will be made available for inspection during regular business hours, may be included elsewhere in the specifications for the Scope of Work, and are also available online at www.dir.ca.gov. The wage rate for any classification not listed, but which may be required to execute the Scope of Work, shall be commensurate and in accord with specified rates for similar or comparable classifications for those performing similar or comparable duties. In accordance with Labor Code section 1773.2, the Contractor shall post, at appropriate and conspicuous locations on the jobsite, a schedule showing all applicable prevailing wage rates and shall comply with the requirements of Labor Code sections 1773, et seq.
(2) Payment of Prevailing Rates
Each worker of the Contractor, Subcontractor, lower tier Subcontractor engaged in the Scope of Work, shall be paid not less than the general prevailing wage rate, regardless of any contractual relationship which may be alleged to exist between the Contractor, Subcontractor, lower tier Subcontractor and their respective worker(s). California law prohibits the use of credits for Employer Payments to reduce the obligation to pay the hourly straight time or overtime wages specified as the Basic Hourly Rate in the general prevailing wage determination.
(3) Prevailing Rate Penalty
The Contractor shall, as a penalty, forfeit two hundred dollars ($200.00) to the County for each calendar day or portion thereof, for each worker paid less than the prevailing rates as determined by the Director of the DIR for such work or craft in which such worker is employed by the Contractor, Subcontractor or lower tier Subcontractor in connection with the Scope of Work. Pursuant to California Labor Code section 1775, the difference between such prevailing wage rates and the amount paid to each worker for each calendar day, or portion thereof, for which each worker was paid less than the prevailing wage rate, shall be paid to each worker by the Prime Contractor, Subcontractor or lower tier Subcontractor. (4) Ineligible Contractors
Pursuant to the provisions of Labor Code section 1777.1, the Labor Commissioner publishes and distributes a list of contractors ineligible to perform work as a Prime Contractor, Subcontractor, or lower tier Subcontractor on a public works project. This list of debarred contractors is available from the DIR website at http://www.dir.ca.gov/Public-Works/PublicWorks.html. Any contract entered into between a Prime Contractor and a debarred subcontractor is void as a matter of law. A debarred Subcontractor may not receive any public money for performing work as a Subcontractor on a public works contract, and any public money that may have been paid to a debarred Subcontractor by a Prime Contractor on the project shall be returned to the County. The Prime Contractor shall be responsible for the payment of wages to workers of a debarred Subcontractor or lower tier Subcontractor who has been allowed to work on the Scope of Work. (5) Payroll Records
Pursuant to California Labor Code section 1776, the Prime Contractor, Subcontractor, and lower tier Subcontractor shall keep accurate certified payroll records showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker or other employee employed by them in connection with the Scope of Work. Each payroll record enumerated herein shall contain or be verified by a 663
written declaration that it is made under penalty of perjury stating both of the following: (1) the information contained in the payroll record is true and correct and (2) the Prime Contractor, Subcontractor, or lower tier Subcontractor has complied with the requirements of California Labor Code sections 1771, 1811, and 1815 for any Scope of Work performed by his or her employees. The payroll records shall be available for inspection at all reasonable hours at the principal office of the Prime Contractor on the following basis:
(1) A certified copy of an employee's payroll record shall be made available for inspection or furnished to such employee or his/her authorized representative on request; (2) A certified copy of all payroll records shall be made available for inspection or furnished upon request to the County or the Division of Labor Standards Enforcement of the DIR; (3) A certified copy of payroll records shall be made available upon request to the public for inspection or copies thereof made; provided, however, that a request by the public shall be made through either the County or the Division of Labor Standards Enforcement. If the requested payroll records have not been previously provided to the County or the Division of Labor Standards Enforcement, the requesting party shall, prior to being provided the records, reimburse the cost of preparation by the Prime Contractor, Subcontractor, or lower tier Subcontractor and the entity through which the request was made. The public shall not be given access to such records at the principal office of the Prime Contractor;
(4) The Prime Contractor shall file a certified copy of the payroll records with the entity that requested such records within ten (10) days after receipt of a written request; and (5) Copies provided to the public, by the County or the Division of Labor Standards Enforcement shall be marked or obliterated to prevent disclosure of an individual's name, address and social security number. The name and address of the Prime Contractor, Subcontractor, or lower tier Subcontractor performing a part of the Scope of Work shall not be marked or obliterated. The Prime Contractor shall inform the County of the location of payroll records, including the street address, city and county and shall, within five (5) working days, provide a notice of a change of location and address.

The Prime Contractor shall have ten (10) days from receipt of the written notice specifying in what respects they must comply with the above requirements. In the event Prime Contractor does not comply with the requirements of this section within the ten (10) day period, the Prime Contractor shall, as a penalty to the County, forfeit one-hundred dollars ($100.00) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated. Upon the request of the Division of Labor Standards Enforcement, such penalty shall be withheld from any portion of the payments then due or to become due to the Prime Contractor.
(6) Limits on Hours of Work
Pursuant to California Labor Code section 1810, eight (8) hours of labor shall constitute a legal day's work.

Pursuant to California Labor Code section 1811, the time of service of any worker employed at any time by the Prime Contractor, Subcontractor, or lower tier Subcontractor, upon the Scope of Work or upon any part of the Scope of Work, is limited and restricted to eight (8) hours during any one calendar day and forty (40) hours during any one calendar week, except as provided for under Labor Code section 1815.

Notwithstanding the foregoing provisions, work performed by employees of the Prime Contractor, Subcontractor, or lower tier Subcontractor in excess of eight (8) hours per day and forty (40) hours during any one week, shall be permitted upon compensation for all hours worked in excess of eight (8) hours per day at not less than one and one-half (1½) times the basic rate of pay. (7) Penalty for Excess Hours
The Prime Contractor shall pay to the County a penalty of twenty-five dollars ($25.00) for each worker employed on the Scope of Work by the Prime Contractor, Subcontractor, or lower tier Subcontractor for 664
each calendar day during which such worker is required or permitted to work more than eight (8) hours in any calendar day and forty (40) hours in any one calendar week, in violation of the provisions of the California Labor Code, unless compensation to the worker so employed by the Prime Contractor, Subcontractor or lower tier Subcontractor is not less than one and one-half (1½) times the basic rate of pay for all hours worked in excess of eight (8) hours per day.
(8) Senate Bill 854 (Chapter 28, Statutes of 2014) Requirements:
1) Prime Contractor, Subcontractors and lower tier Subcontractors shall comply with Senate Bill 854 (signed into law on June 20, 2014). The requirements include, but are not limited to, the following:
a. No Prime Contractor, Subcontractor, or lower tier Subcontractor may be listed on a bid proposal for a public works project unless registered with the DIR pursuant to Labor Code section 1725.5, with limited exceptions from this requirements for bid purposes only as allowed under Labor Code section 1771.1(a).
b. No Prime Contractor, Subcontractor, or lower tier Subcontractor may be awarded a contract for public work or perform work on a public works project unless registered with the DIR pursuant to Labor Code section 1725.5.
c. This project is subject to compliance monitoring and enforcement by the DIR. d. As required by the DIR, Prime Contractor is required to post job site notices, as prescribed by regulation, regarding compliance monitoring and enforcement by the DIR. e. Prime Contractor, Subcontractors, and lower tier Subcontractors must submit certified payroll records online to the Labor Commissioner for all public works projects, new or ongoing, on or after January 1, 2016.
a. The certified payroll must be submitted at least monthly to the Labor Commissioner. b. The County reserves the right to require Prime Contractor, Subcontractors, and lower tier Subcontractor to submit certified payroll records more frequently than monthly to the Labor Commissioner.
c. The certified payroll records must be in a format prescribed by the Labor Commissioner. 2) Labor Code section 1725.5 states the following:

A Prime Contractor, Subcontractors, and lower tier Subcontractors shall be registered pursuant to this section to be qualified to bid on, be listed in a bid proposal, subject to the requirements of Section 4104 of the Public Contract Code, or engage in the performance of any public work contract that is subject to the requirements of this chapter. For the purposes of this section, "contractor" includes a subcontractor as defined by Section 1722.1.
(a) To qualify for registration under this section, a Prime Contractor shall do all of the following:
(1) Beginning July 1, 2014, register with the Department of Industrial Relations in the manner prescribed by the Department and pay an initial nonrefundable application fee of four hundred dollars ($400) to qualify for registration under this section and an annual renewal fee on or before July 1st of each year thereafter. The annual renewal fee shall be in a uniform amount set by the Director of Industrial Relations, and the initial registration and renewal fees may be adjusted no more than annually by the Director to support the costs specified in Section 1771.3.
(2) Provide evidence, disclosures, or releases as are necessary to establish all of the following:
(A) Workers' Compensation coverage that meets the requirements of Division 4 (commencing with Section 3200) and includes sufficient coverage for any worker whom the Prime Contractor, Subcontractor or lower tier Subcontractor employs to 665
perform work that is subject to prevailing wage requirements other than a contractor who is separately registered under this section. Coverage may be evidenced by a current and valid certificate of Workers' Compensation Insurance or certification of self-insurance required under Section 7125 of the Business and Professions Code. (B) If applicable, the Prime Contractor, Subcontractor, or lower tier Subcontractor is licensed in accordance with Chapter 9 (commencing with Section 7000) of the Business and Professions Code.
(C) The Prime Contractor, Subcontractor or Sub-Tier does not have any delinquent liability to an employee or the state for any assessment of back wages or related damages, interest, fines, or penalties pursuant to any final judgment, order, or determination by a court or any federal, state, or local administrative agency, including a confirmed arbitration award. However, for purposes of this paragraph, the contractor shall not be disqualified for any judgment, order, or determination that is under appeal, provided that the contractor has secured the payment of any amount eventually found due through a bond or other appropriate means. (D) The contractor is not currently debarred under Section 1777.1 or under any other federal or state law providing for the debarment of contractors from public works. (E) The contractor has not bid on a public works contract, been listed in a bid proposal, or engaged in the performance of a contract for public works without being lawfully registered in accordance with this section, within the preceding 12 months or since the effective date of the requirements set forth in subdivision (e), whichever is earlier.

If a contractor is found to be in violation of the requirements of this paragraph, the period of disqualification shall be waived if both of the following are true:
(i) The contractor has not previously been found to be in violation of the requirements of this paragraph within the preceding 12 months. (ii) The contractor pays an additional nonrefundable penalty registration fee of two thousand dollars ($2,000).
(b) Fees received pursuant to this section shall be deposited in the State Public Works Enforcement Fund established by Section 1771.3 and shall be used only for the purposes specified in that section. (c) A contractor who fails to pay the renewal fee required under paragraph (1) of subdivision (a) on or before the expiration of any prior period of registration shall be prohibited from bidding on, or engaging in the performance of, any contract for public works until once again registered pursuant to this section. If the failure to pay the renewal fee was inadvertent, the contractor may renew its registration retroactively by paying an additional nonrefundable penalty renewal fee equal to the amount of the renewal fee within 90 days of the due date of the renewal fee. (d) If, after a body awarding a contract accepts the contractor's bid or awards the contract, the work covered by the bid or contract is determined to be a public work to which Section 1771 applies, either as the result of a determination by the director pursuant to Section 1773.5 or a court decision, the requirements of this section shall not apply, subject to the following requirements:
(1) The body that awarded the contract failed, in the bid specification or in the contract documents, to identify as a public work that portion of the work that the determination or decision subsequently classifies as a public work.
(2) Within 20 days following service of notice on the awarding body of a determination by the Director of Industrial Relations pursuant to Section 1773.5 or a decision by a court that the contract was for public work as defined in this chapter, the contractor and any subcontractors 666
are registered under this section or are replaced by a contractor or subcontractors who are registered under this section.
(3) The requirements of this section shall apply prospectively only to any subsequent bid, bid proposal, contract, or work performed after the awarding body is served with notice of the determination or decision referred to in paragraph (2) of this subdivision. (e) The requirements of this section shall apply to any bid proposal submitted on or after March 1, 2015, and any contract for public work, as defined in this chapter, entered into on or after April 1, 2015. 3) Labor Code section 1771.1 states the following:
(a) A contractor or subcontractor shall not be qualified to bid on, be listed in a bid proposal subject to the requirements of Section 4104 of the Public Contract Code or engage in the performance of any contract for public work, as defined in this chapter, unless currently registered and qualified to perform public work pursuant to Section 1725.5. It is not a violation of this section for an unregistered contractor to submit a bid that is authorized by Section 7029.1 of the Business and Professions Code or by Section 10164 or 20103.5 of the Public Contract Code, provided the contractor is registered to perform public work pursuant to Section 1725.5 at the time the contract is awarded. (b) Notice of the requirement described in subdivision (a) shall be included in all bid invitations and public works contracts, and a bid shall not be accepted, nor any contract or subcontract entered into without proof of the contractor or subcontractor's current registration to perform public work pursuant to Section 1725.5.
(c) An inadvertent error in listing a subcontractor who is not registered pursuant to Section 1725.5 in a bid proposal shall not be grounds for filing a bid protest or grounds for considering the bid nonresponsive, provided that any of the following apply:
(1) The subcontractor is registered prior to the bid opening. (2) Within 24 hours after the bid opening, the subcontractor is registered and has paid the penalty registration fee specified in subparagraph (E) of paragraph (2) of subdivision (a) of Section 1725.5.
(3) The subcontractor is replaced by another registered subcontractor pursuant to Section 4107 of the Public Contract Code.
(d) Failure by a subcontractor to be registered to perform public work as required by subdivision (a) shall be grounds under Section 4107 of the Public Contract Code for the contractor, with the consent of the awarding authority, to substitute a subcontractor who is registered to perform public work pursuant to Section 1725.5 in place of the unregistered subcontractor. (e) The department shall maintain on its Internet Web site a list of contractors who are currently registered to perform public work pursuant to Section 1725.5. (f) A contract entered into with any contractor or subcontractor in violation of subdivision (a) shall be subject to cancellation, provided that a contract for public work shall not be unlawful, void, or voidable solely due to the failure of the awarding body, contractor, or any subcontractor to comply with the requirements of Section 1725.5 or this section.
(g) If the Labor Commissioner or his or her designee determines that a contractor or subcontractor engaged in the performance of any public work contract without having been registered in accordance with this section, the contractor or subcontractor shall forfeit, as a civil penalty to the state, one hundred dollars ($100) for each day of work performed in violation of the registration requirement, not to exceed an aggregate penalty of eight thousand dollars ($8,000) in addition to any penalty registration fee assessed pursuant to clause (ii) of subparagraph (E) of paragraph (2) of subdivision (a) of Section 1725.5(h).
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(h)(1) In addition to, or in lieu of, any other penalty or sanction authorized pursuant to this chapter, a higher tiered public works contractor or subcontractor who is found to have entered into a subcontract with an unregistered lower tier subcontractor to perform any public work in violation of the requirements of Section 1725.5 or this section shall be subject to forfeiture, as a civil penalty to the state, of one hundred dollars ($100) for each day the unregistered lower tier subcontractor performs work in violation of the registration requirement, not to exceed an aggregate penalty of ten thousand dollars ($10,000).
1) The Labor Commissioner shall use the same standards specified in subparagraph (A) of paragraph (2) of subdivision (a) of Section 1775 when determining the severity of the violation and what penalty to assess, and may waive the penalty for a first time violation that was unintentional and did not hinder the Labor Commissioner’s ability to monitor and enforce compliance with the requirements of this chapter.
2) A higher tiered public works contractor or subcontractor shall not be liability for penalties assessed pursuant to paragraph (1) if the lower tier subcontractor’s performance is in violation of the requirements of Section 1725.5 due to the revocation of a previously approved registration.
3) A subcontractor shall not be liable for any penalties assessed against a higher tiered public works contractor or subcontractor pursuant to paragraph (1). A higher tiered public works contractor or subcontractor may not require a lower tiered subcontractor to indemnity or otherwise be liable for any penalties pursuant to paragraph (1). (i) The Labor Commissioner or his or her designee shall issue a civil wage and penalty assessment, in accordance with the provisions of Section 1741, upon determination of penalties pursuant to subdivision (g) and subparagraph (B) of paragraph (1) of subdivision (h). Review of a civil wage and penalty assessment issued under this subdivision may be requested in accordance with the provisions of Section 1742. The regulations of the Director of Industrial Relations, which govern proceedings for review of civil wage and penalty assessments and the withholding of contract payments under Article 1 (commencing with Section 1720) and Article 2 (commencing with Section 1770), shall apply.
(j) (1) Where a contractor or subcontractor engages in the performance of any public work contract without having been registered in violation of the requirements of Section 1725.5 or this section, the Labor Commissioner shall issue and serve a stop order prohibiting the use of the unregistered contractor or the unregistered subcontractor on all public works until the unregistered contractor or unregistered subcontractor is registered. The stop order shall not apply to work by registered contractors or subcontractors on the public work.
2) A stop order may be personally served upon the contractor or subcontractor by either of the following methods:
a) Manual delivery of the order to the contractor or subcontractor personally. b) Leaving signed copies of the order with the person who is apparently in charge at the site of the public work and by thereafter mailing copies of the order by first class mail, postage prepaid to the contractor or subcontractor at one of the following:
a. The address of the contractor or subcontractor on file with either the Secretary of State or the Contractors’ State License Board.
b. If the contractor or subcontractor has no address on file with the Secretary of State or the Contractors’ State License Board, the address of the site of the public work. 3) The stop order shall be effective immediately upon service and shall be subject to appeal by the party contracting with the unregistered contractor or subcontractor, by the unregistered 668
contractor or subcontractor, or both. The appeal, hearing, and any further review of the hearing decision shall be governed by the procedures, time limits, and other requirements specified in subdivision (a) of Section 238.1.
4) Any employee of an unregistered contractor or subcontractor who is affected by a work stoppage ordered by the commissioner pursuant to this subdivision shall be paid at his or her regular hourly prevailing wage rate by that employer for any hours the employee would have worked but for the work stoppage, not to exceed 10 days. (k) Failure of a contractor or subcontractor, owner, director, officer, or managing agent of the contractor or subcontractor to observe a stop order issued and served upon him or her pursuant to subdivision (j) is guilty of a misdemeanor punishable by imprisonment in county jail not exceeding 60 days or by a fine not exceeding ten thousand dollars ($10,000), or both. (l) This section shall apply to any bid proposal submitted on or after March 1, 2015, and any contract for public work entered into on or after April 1, 2015. This section shall also apply to the performance of any public work, as defined in this chapter, on or after January 1, 2018, regardless of when the contract for public work was entered.
(m) Penalties received pursuant to this section shall be deposited in the State Public Works Enforcement Fund established by Section 1771.3 and shall be used only for the purposes specified in that section. (n) This section shall not apply to work performed on a public works project of twenty-five thousand dollars ($25,000) or less when the project is for construction, alteration, demolition, installation, or repair work or to work performed on a public works project of fifteen thousand dollars ($15,000) or less when the project is for maintenance work.
4) Labor Code section 1771.4 states the following:
(a) All of the following are applicable to all public works projects that are otherwise subject to the requirements of this chapter:
(1) The call for bids and contract documents shall specify that the project is subject to compliance monitoring and enforcement by the Department of Industrial Relations. (2) The awarding body shall post or require the prime contractor to post job site notices, as prescribed by regulation.
(3) (A)Each contractor and subcontractor shall furnish the records specified in Section1776 directly to the Labor Commissioner, in the following manner:
(i) At least monthly or more frequently if specified in the contract with the awarding body.

For purposes of this clause, “monthly” means that a submission of records shall be made at least once every 30 days while work is being performed on the project and within 30 days after the final day of work performed on the project. (ii) In an electronic format, in the manner prescribed by the Labor Commissioner, on the department's internet website.
(B) A contractor or subcontractor who fails to furnish records pursuant to subparagraph (A), relating to its employees, shall be subject to a penalty by the Labor Commissioner of one hundred dollars ($100) per each day in which that party was in violation of subparagraph (A), not to exceed a total penalty of five thousand dollars ($5,000) per project. Penalties received pursuant to this paragraph shall be deposited in the State Public Works Enforcement Fund established by Section 1771.3 and shall be used only for the purposes specified in that section.
(C) The Labor Commissioner shall not levy a penalty pursuant to subparagraph (B) until a contractor or subcontractor fails to furnish the records pursuant to subparagraph (A) 14 days after the requirement set forth in clause (i) of subparagraph (A). 669
(D) Penalties pursuant to subparagraph (B) may only accrue to the actual contractor or subcontractor that failed to furnish the records pursuant to subparagraph (A). (4) If the contractor or subcontractor is not registered pursuant to Section 1725.5 and is performing work on a project for which registration is not required because of subdivision (f) of Section 1725.5, the unregistered contractor or subcontractor is not required to furnish the records specified in Section 1776 directly to the Labor Commissioner but shall retain the records specified in Section 1776 for at least three years after completion of the work. (5) The department shall undertake those activities it deems necessary to monitor and enforce compliance with prevailing wage requirements.
(b) The Labor Commissioner may exempt a public works project from compliance with all or part of the requirements of subdivision (a) if either of the following occurs:
(1) The awarding body has enforced an approved labor compliance program, as defined in Section 1771.5, on all public works projects under its authority, except those deemed exempt pursuant to subdivision (a) of Section 1771.5, continuously since December 31, 2011. (2) The awarding body has entered into a collective bargaining agreement that binds all contractors performing work on the project and that includes a mechanism for resolving disputes about the payment of wages.
(c)
(1) The requirements of paragraph (1) of subdivision (a) shall only apply to contracts for public works projects awarded on or after January 1, 2015.
(d) The requirements of paragraph (3) of subdivision (a) shall apply to all contract for public work, whether new or ongoing, on or after January 1, 2016.
(9) Compliance with California Labor Code section 1720.9 (1)Labor Code section 1720.9 expanded the definition of “public works” under the California Prevailing Wage Law to include the following:
(a) Hauling and delivery of ready-mixed concrete to carry out a public works, contract, with respect to contracts involving any state agency, including the California State University and the University of California, or any pollical subdivision of the state.
(2)Section 1720.9 defines the term “ready-mixed concrete” and specifies that rate of pay shall be the current prevailing wage “for the geographic area in which the factory or batching plant is located” as determined by the DIR. The entity hauling or delivering ready-mixed concrete to carry out a public works contract shall enter into a written subcontract agreement with the party that engaged the entity to supply the ready-mixed concrete. The written agreement shall require compliance with Prevailing Wage Law. (3)Section 1720.9 requires that the entity hauling or delivering ready-mixed concrete to carry out a public works contract shall submit a certified copy of the payroll records required by subdivision (a) of Section 1776 to the party that engaged the entity and to the general contractor within five working days after the employee has been paid, accompanied by a written time record that shall be certified by each driver for the performance of job duties in Section 1720.9(c).
(4)Section 1720.9(e) the entity hauling or delivering ready-mixed concrete for public works project shall be considered subcontractors and must register with the DIR as per Labor Code 1725.5.

B. STATE PUBLIC WORKS APPRENTICESHIP REQUIREMENTS

1. State Public Works Apprenticeship Requirements:
670
The Contractor is responsible for compliance with Labor Code section 1777.5 and the California Code of Regulations, title 8, sections 230 – 230.2 for all apprenticeable occupations (denoted with “#” symbol next to craft name in DIR Prevailing Wage Determination), whether employed by the Contractor, subcontractor, vendor or consultant. Included in these requirements is (1) the Contractor’s requirement to provide notification (i.e. DAS-140) to the appropriate apprenticeship committees; (2) pay training fund contributions for each apprenticeable hour employed on the Contract; and (3) utilize apprentices in a minimum ratio of not less than one apprentice hour for each five journeyman hours by completion of Contract work (unless an exception is granted in accordance with Labor Code section 1777.5) or request for the dispatch of apprentices.

Any apprentices employed to perform any of the Scope of Work shall be paid the standard wage to apprentices under the regulations of the craft or trade for which such apprentice is employed, and such individual shall be employed only for the work of the craft or trade to which such individual is registered. Only apprentices, as defined in California Labor Code section 3077, who are in training under apprenticeship standards and written apprenticeship agreements under California Labor Code sections 3070 et seq. are eligible to be employed for the Scope of Work. The employment and training of each apprentice shall be in accordance with the provisions of the apprenticeship standards and apprentice agreements under which such apprentice is training.

2. Compliance with California Labor Code section 1777.5 requires all public works contractors to:
(1) Submit Contract Award Information (DAS-140)
a. Although there are a few exemptions (identified below), all Contractors, regardless of union affiliation, must submit contract award information when performing on a California public works project.
b. The DAS-140 is a notification “announcement” of the Contractor’s participation on a public works project—it is not a request for the dispatch of an apprentice. c. Contractors shall submit the contract award information (you may use form DAS 140) within 10 days of the execution of the prime contract or subcontract, but in no event later than the first day in which the Contractor has workers employed on the public work project. d. Contractors who are already approved to train apprentices (i.e. check “Box 1” on the DAS-140) shall only be required to submit the form to their approved program. e. Contractors who are NOT approved to train apprentices (i.e. those that check either “Box 2” or “Box 3” on the DAS-140) shall submit the DAS-140 TO EACH of the apprenticeship program sponsors in the area of your public works project. For a listing of apprenticeship programs see http://www.dir.ca.gov/Databases/das/pwaddrstart.asp.
(2) Employ Registered Apprentices
a. Labor Code section 1777.5 requires that a contractor performing work in an “apprenticeable” craft must employ one (1) hour of apprentice work for every five (5) hours performed by a journeyman.

This ratio shall be met prior to the Contractor’s completion of work on the project. “Apprenticeable” crafts are denoted with a pound symbol “#” in front of the craft name on the prevailing wage determination.
b. All Contractors who do not fall within an exemption category (see below) must request for dispatch of an apprentice from an apprenticeship program (for each apprenticeable craft or trade) by giving the program actual notice of at least 72 hours (business days only) before the date on which apprentices are required.
c. Contractors may use the “DAS-142” form for making a request for the dispatch of an apprentice. d. Contractors who are participating in an approved apprenticeship training program and who did not receive sufficient number of apprentices from their initial request must request dispatch of apprentices from ALL OTHER apprenticeship committees in the project area in order to fulfill this requirement.
e. Contractor should maintain and submit proof (when requested) of its DAS-142 submittal to the apprenticeship committees (e.g. fax transmittal confirmation). A Contractor has met its requirement 671
to employ apprentices only after it has successfully made a dispatch request to all apprenticeship programs in the project area.
f. Only “registered” apprentices may be paid the prevailing apprentice rates and must, at all times work under the supervision of a Journeyman (Cal. Code Regs., tit 8, § 230.1). (3) Make Training Fund Contributions
a. Contractors performing in apprenticeable crafts on public works projects, must make training fund contributions in the amount established in the prevailing wage rate publication for journeymen and apprentices.
b. Contractors may use the “CAC-2” form for submittal of their training fund contributions. c. Contractors who do not submit their training fund contributions to an approved apprenticeship training program must submit their contributions to the California Apprenticeship Council (CAC), PO Box 420603, San Francisco, CA 94142-0603.
d. Training fund contributions to the CAC are due and payable on the 15th day of the month for work performed during the preceding month.
e. The “training” contribution amount identified on the prevailing wage determination shall not be paid to the worker, unless the worker falls within one of the exemption categories listed below.

3. Exemptions to Apprenticeship Requirements:

The following are exempt from having to comply with California apprenticeship requirements. These types of contractors do not need to submit a DAS-140, DAS-142, make training fund contributions, or utilize apprentices.
a. When the Contractor holds a sole proprietor license (“Owner-Operator”) and no workers were employed by the Contractor. In other words, the contractor performed the entire work from start to finish and worked alone.
b. Contractors performing in non-apprenticeable crafts. “Apprenticeable” crafts are denoted with a pound symbol “#” in front of the craft name on the prevailing wage determination. c. When the Contractor has a direct contract with the Public Agency that is under $30,000. d. When the project is 100% federally-funded and the funding of the project does not contain any city, county, and/or state monies (unless the project is administered by a state agency in which case the apprenticeship requirements apply).
e. When the project is a private project not covered by the definition of public works as found in Labor Code section 1720.

4. Exemption from Apprenticeship Ratios:

The Joint Apprenticeship Committee shall have the discretion to grant a certificate, which shall be subject to the approval of the Administrator of Apprenticeship, exempting the Contractor from the 1-to-5 ratio set forth in this Section when it finds that any one of the following conditions are met:
(1) Unemployment for the previous three-month period in such area exceeds an average of fifteen percent (15%); or
(2) The number of apprentices in training in such area exceeds a ratio of 1-to-5 in relation to journeymen; or
(3) The Apprenticeable Craft or Trade is replacing at least one-thirtieth (1/30) of its journeymen annually through apprenticeship training, either on a statewide basis or on a local basis; or (4) If assignment of an apprentice to any work performed under the Contract Documents would create a condition which would jeopardize such apprentice's life or the life, safety or property of fellow employees or the public at large, or if the specific task to which the apprentice is to be assigned is of such a nature that training cannot be provided by a journeyman.

When such exemptions from the 1-to-5 ratio between apprentices and journeymen are granted to an organization which represents contractors in a specific trade on a local or statewide basis, the member contractors will not be required to submit individual applications for approval to local Joint Apprenticeship Committees, provided they are already covered by the local apprenticeship standards. 672

5. Contractor’s Compliance:

The responsibility of compliance with this Section for all Apprenticeable Trades or Crafts is solely and exclusively that of the Contractor. All decisions of the Joint Apprenticeship Committee(s) under this Section are subject to the provisions of California Labor Code section 3081 and penalties are pursuant to Labor Code section 1777.7 and the determination of the Labor Commissioner. 673
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
1 HUD-4010 U.S. Department of Housing and Urban Development Federal Labor Standards Provisions Office of Davis-Bacon and Labor Standards A. 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. Minimum wages and fringe benefits
i. All laborers and mechanics employed or working upon the site of the work (or otherwise working in construction or development of the project under a development statute), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of basic hourly wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. As provided in 29 CFR

5.5(d) and (e), the appropriate wage determinations are effective by operation of law even if they have not been attached to the contract. Contributions made or costs reasonably anticipated for bona fide fringe benefits under the Davis-Bacon Act (40 U.S.C. 3141(2)(B)) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a)(1)(v) of these contract clauses; 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 must be paid the appropriate wage rate and fringe benefits on the wage determination for the classification(s) of work actually performed, without regard to skill, except as provided in 29 CFR 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 classifications and wage rates conformed under 29 CFR 5.5(a)(1)(iii)) and the Davis-Bacon poster (WH-1321) must be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. ii. Frequently recurring classifications
A. In addition to wage and fringe benefit rates that have been determined to be prevailing under the procedures set forth in 29 CFR part 1, a wage determination may contain, pursuant to § 1.3(f), wage and fringe benefit rates for classifications of laborers and mechanics for which conformance requests are regularly submitted pursuant to 29 CFR 5.5(a)(1)(iii), provided that:

1. The work performed by the classification is not performed by a classification in the wage determination for which a prevailing wage rate has been determined;

2. The classification is used in the area by the construction industry; and

3. The wage rate for the classification bears a reasonable relationship to the prevailing wage rates contained in the wage determination.

B. The Administrator will establish wage rates for such classifications in accordance with 29 CFR

5.5(a)(1)(iii)(A)(3). Work performed in such a classification must be paid at no less than the wage and fringe benefit rate listed on the wage determination for such classification. iii. Conformance
A. The contracting officer must require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract be 674
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
2 classified in conformance with the wage determination. Conformance of an additional classification and wage rate and fringe benefits is appropriate 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 used 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.

B. The conformance process may not be used to split, subdivide, or otherwise avoid application of classifications listed in the wage determination.

C. If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken will be sent by the contracting officer by email to [email protected]. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30–day period that additional time is necessary.

D. In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer will, by email to [email protected], refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30–day period that additional time is necessary.

E. The contracting officer must promptly notify the contractor of the action taken by the Wage and Hour Division under 29 CFR 5.5 (a)(1)(iii)(C) and (D). The contractor must furnish a written copy of such determination to each affected worker or it must be posted as a part of the wage determination. The wage rate (including fringe benefits where appropriate) determined pursuant to 29 CFR 5.5 (a)(1)(iii)(C) or (D) must 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.
iv. Fringe benefits not expressed as an hourly rate
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 may either pay the benefit as stated in the wage determination or may pay another bona fide fringe benefit or an hourly cash equivalent thereof.
v. Unfunded plans
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, in accordance with the criteria set forth in 29 CFR 5.28, 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.
vi. Interest In the event of a failure to pay all or part of the wages required by the contract, the contractor will be required to pay interest on any underpayment of wages. 675
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
3 2. Withholding
i. Withholding requirements
The U. S. Department of Housing and Urban Development may, upon its own action, or must, upon written request of an authorized representative of the Department of Labor, withhold or cause to be withheld from the contractor so much of the accrued payments or advances as may be considered necessary to satisfy the liabilities of the prime contractor or any subcontractor for the full amount of wages and monetary relief, including interest, required by the clauses set forth in 29 CFR 5.5(a) for violations of this contract, or to satisfy any such liabilities required by any other Federal contract, or federally assisted contract subject to Davis-Bacon labor standards, that is held by the same prime contractor (as defined in 29 CFR 5.2). The necessary funds may be withheld from the contractor under this contract, any other Federal contract with the same prime contractor, or any other federally assisted contract that is subject to Davis-Bacon labor standards requirements and is held by the same prime contractor, regardless of whether the other contract was awarded or assisted by the same agency, and such funds may be used to satisfy the contractor liability for which the funds were withheld. In the event of a contractor’s failure to pay any laborer or mechanic, including any apprentice or helper working on the site of the work (or otherwise working in construction or development of the project under a development statute) all or part of the wages required by the contract, or upon the contractor’s failure to submit the required records as discussed in 29 CFR 5.5(a)(3)(iv), HUD may on its own initiative and after written notice to the contractor, sponsor, applicant, owner, or other entity, as the case may be, 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.
ii. Priority to withheld funds
The Department has priority to funds withheld or to be withheld in accordance with 29 CFR

5.5(a)(2)(i) or (b)(3)(i), or both, over claims to those funds by:

A. A contractor’s surety(ies), including without limitation performance bond sureties and payment bond sureties;
B. A contracting agency for its reprocurement costs;
C. A trustee(s) (either a court-appointed trustee or a U.S. trustee, or both) in bankruptcy of a contractor, or a contractor’s bankruptcy estate;
D. A contractor’s assignee(s);
E. A contractor’s successor(s); or
F. A claim asserted under the Prompt Payment Act, 31 U.S.C. 3901-3907.

3. Records and certified payrolls
i. Basic record requirements
A. Length of record retention. All regular payrolls and other basic records must be maintained by the contractor and any subcontractor during the course of the work and preserved for all laborers and mechanics working at the site of the work (or otherwise working in construction or development of the project under a development statute) for a period of at least 3 years after all the work on the prime contract is completed.

B. Information required Such records must contain the name; Social Security number; last known address, telephone number, and email address of each such worker; each worker’s correct classification(s) of work actually performed; 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 40 U.S.C. 3141(2)(B) of the Davis-Bacon Act); daily and weekly number of hours actually worked in total and on each covered contract; deductions made; and actual wages paid.

C. Additional records relating to fringe benefits. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(v) that the wages of any laborer or mechanic include the amount of any 676
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
4 costs reasonably anticipated in providing benefits under a plan or program described in 40 U.S.C. 3141(2)(B) of the Davis-Bacon Act, the contractor must 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 cost incurred in providing such benefits.

D. Additional records relating to apprenticeship Contractors with apprentices working under approved programs must maintain written evidence of the registration of apprenticeship programs, the registration of the apprentices, and the ratios and wage rates prescribed in the applicable programs.
ii. Certified payroll requirements
A. Frequency and method of submission The contractor or subcontractor must submit weekly, for each week in which any DBA- or Related Acts-covered work is performed, certified payrolls to HUD if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the certified payrolls to the applicant, sponsor, owner, or other entity, as the case may be, that maintains such records, for transmission to HUD. The prime contractor is responsible for the submission of all certified payrolls by all subcontractors. A contracting agency or prime contractor may permit or require contractors to submit certified payrolls through an electronic system, as long as the electronic system requires a legally valid electronic signature; the system allows the contractor, the contracting agency, and the Department of Labor to access the certified payrolls upon request for at least 3 years after the work on the prime contract has been completed; and the contracting agency or prime contractor permits other methods of submission in situations where the contractor is unable or limited in its ability to use or access the electronic system B. Information required The certified payrolls submitted must set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i)(B), except that full Social Security numbers and last known addresses, telephone numbers, and email addresses must not be included on weekly transmittals. Instead, the certified payrolls need only include an individually identifying number for each worker (e.g., the last four digits of the worker’s Social Security number). The required weekly certified payroll information may be submitted using Optional Form WH-347 or in any other format desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at https://www.dol.gov/ sites/dolgov/files/WHD/legacy/files/wh347.pdf or its successor website. It is not a violation of this section for a prime contractor to require a subcontractor to provide full Social Security numbers and last known addresses, telephone numbers, and email addresses to the prime contractor for its own records, without weekly submission by the subcontractor to the sponsoring government agency (or the applicant, sponsor, owner, or other entity, as the case may be, that maintains such records).

C. Statement of Compliance Each certified payroll submitted must be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor, or the contractor’s or subcontractor’s agent who pays or supervises the payment of the persons working on the contract, and must certify the following:

1. That the certified payroll for the payroll period contains the information required to be provided under 29 CFR 5.5(a)(3)(ii), the appropriate information and basic records are being maintained under 29 CFR 5.5 (a)(3)(i), and such information and records are correct and complete;

2. That each laborer or mechanic (including each helper and apprentice) working 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 677
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
5 from the full wages earned, other than permissible deductions as set forth in 29 CFR part 3; and

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(s) of work actually performed, as specified in the applicable wage determination incorporated into the contract.

D. Use of Optional Form WH-347 The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 will satisfy the requirement for submission of the “Statement of Compliance” required by 29 CFR 5.5(a)(3)(ii)(C).

E. Signature The signature by the contractor, subcontractor, or the contractor’s or subcontractor’s agent must be an original handwritten signature or a legally valid electronic signature.

F. Falsification The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 3729.

G. Length of certified payroll retention The contractor or subcontractor must preserve all certified payrolls during the course of the work and for a period of 3 years after all the work on the prime contract is completed.
iii. Contracts, subcontracts, and related documents The contractor or subcontractor must maintain this contract or subcontract and related documents including, without limitation, bids, proposals, amendments, modifications, and extensions. The contractor or subcontractor must preserve these contracts, subcontracts, and related documents during the course of the work and for a period of 3 years after all the work on the prime contract is completed. iv Required disclosures and access
A. Required record disclosures and access to workers The contractor or subcontractor must make the records required under 29 CFR 5.5(a)(3)(i)–(iii), and any other documents that HUD or the Department of Labor deems necessary to determine compliance with the labor standards provisions of any of the applicable statutes referenced by 29 CFR 5.1, available for inspection, copying, or transcription by authorized representatives of HUD or the Department of Labor, and must permit such representatives to interview workers during working hours on the job.

B. Sanctions for non-compliance with records and worker access requirements If the contractor or subcontractor fails to submit the required records or to make them available, or refuses to permit worker interviews during working hours on the job, the Federal agency may, after written notice to the contractor, sponsor, applicant, owner, or other entity, as the case may be, that maintains such records or that employs such workers, 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, or to permit worker interviews during working hours on the job, may be grounds for debarment action pursuant to 29 CFR 5.12. In addition, any contractor or other person that fails to submit the required records or make those records available to WHD within the time WHD requests that the records be produced will be precluded from introducing as evidence in an administrative proceeding under 29 CFR part 6 any of the required records that were not provided or made available to WHD. WHD will take into consideration a reasonable request from the contractor or person for an extension of the time for submission of records. WHD will determine the reasonableness of the request and may consider, among other things, the location of the records and the volume of production.

C. Required information disclosures Contractors and subcontractors must maintain the full Social Security number and last known address, telephone number, and email address of each covered worker, and must provide them upon request to HUD if the agency is a party to 678
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
6 the contract, or to the Wage and Hour Division of the Department of Labor. If the Federal agency is not such a party to the contract, the contractor, subcontractor, or both, must, upon request, provide the full Social Security number and last known address, telephone number, and email address of each covered worker to the applicant, sponsor, owner, or other entity, as the case may be, that maintains such records, for transmission to HUD, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or other compliance action.

4. Apprentices and equal employment opportunity
i. Apprentices
A. Rate of pay Apprentices will be permitted to work at less than the predetermined rate for the work they perform 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 (OA), or with a State Apprenticeship Agency recognized by the OA. A person who is not individually registered in the program, but who has been certified by the OA or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice, will be permitted to work at less than the predetermined rate for the work they perform in the first 90 days of probationary employment as an apprentice in such a program. In the event the OA or a State Apprenticeship Agency recognized by the OA withdraws approval of an apprenticeship program, the contractor will no longer be permitted to use apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

B. Fringe benefits Apprentices must 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, fringe benefits must be paid in accordance with that determination.

C. Apprenticeship ratio The allowable ratio of apprentices to journeyworkers on the job site in any craft classification must not be greater than the ratio permitted to the contractor as to the entire work force under the registered program or the ratio applicable to the locality of the project pursuant to 29 CFR 5.5(a)(4)(i)(D). Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated in 29 CFR

5.5(a)(4)(i)(A), must 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 this section must be paid not less than the applicable wage rate on the wage determination for the work actually performed.

D. Reciprocity of ratios and wage rates Where a contractor is performing construction on a project in a locality other than the locality in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyworker’s hourly rate) applicable within the locality in which the construction is being performed must be observed. If there is no applicable ratio or wage rate for the locality of the project, the ratio and wage rate specified in the contractor’s registered program must be observed. ii Equal employment opportunity The use of apprentices and journeyworkers under this part must 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. 679
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
7 6 Subcontracts. The contractor or subcontractor must insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (11), along with the applicable wage determination(s) and such other clauses or contract modifications as the U.S. Department of Housing and Urban Development may by appropriate instructions require, and a clause requiring the subcontractors to include these clauses and wage determination(s) in any lower tier subcontracts. The prime contractor is responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in this section. In the event of any violations of these clauses, the prime contractor and any subcontractor(s) responsible will be liable for any unpaid wages and monetary relief, including interest from the date of the underpayment or loss, due to any workers of lower-tier subcontractors, and may be subject to debarment, as appropriate.
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 the contracting agency, the U.S. Department of Labor, or the employees or their representatives.

10. Certification of eligibility.
i. By entering into this contract, the contractor certifies that neither it 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 40 U.S.C. 3144(b) or 29 CFR 5.12(a). ii. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of 40 U.S.C. 3144(b) or 29 CFR 5.12(a). iii. The penalty for making false statements is prescribed in the U.S. Code, Title 18 Crimes and Criminal Procedure, 18 U.S.C. 1001.
11 Anti-retaliation It is unlawful for any person to discharge, demote, intimidate, threaten, restrain, coerce, blacklist, harass, or in any other manner discriminate against, or to cause any person to discharge, demote, intimidate, threaten, restrain, coerce, blacklist, harass, or in any other manner discriminate against, any worker or job applicant for:
i. Notifying any contractor of any conduct which the worker reasonably believes constitutes a violation of the DBA, Related Acts, or 29 CFR parts 1, 3, or 5; ii. Filing any complaint, initiating or causing to be initiated any proceeding, or otherwise asserting or seeking to assert on behalf of themselves or others any right or protection under the DBA, Related Acts, or 29 CFR parts 1, 3, or 5;
iii. Cooperating in any investigation or other compliance action, or testifying in any proceeding under the DBA, Related Acts, or 29 CFR parts 1, 3, or 5; or
iv. Informing any other person about their rights under the DBA, Related Acts, or 29 CFR parts 1, 3, or 5.

B. Contract Work Hours and Safety Standards Act (CWHSSA) The Agency Head must cause or require the contracting officer to insert the following clauses set forth in 29 CFR 5.5(b)(1), (2), (3), (4), and (5) in full, or (for contracts covered by the Federal Acquisition Regulation) by reference, in any contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses must 680
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
8 be inserted in addition to the clauses required by 29 CFR 5.5(a) or 4.6. As used in this paragraph, the terms “laborers and mechanics” include watchpersons and guards.

1. Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty 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 29 CFR 5.5(b)(1) the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages and interest from the date of the underpayment. 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 watchpersons and guards, employed in violation of the clause set forth in 29 CFR 5.5(b)(1), in the sum of $31 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in 29 CFR 5.5(b)(1).

3. Withholding for unpaid wages and liquidated damages
i. Withholding process The U.S Department of Housing and Urban Development or the recipient of Federal assistance may, upon its own action, or must, upon written request of an authorized representative of the Department of Labor, withhold or cause to be withheld from the contractor so much of the accrued payments or advances as may be considered necessary to satisfy the liabilities of the prime contractor or any subcontractor for any unpaid wages; monetary relief, including interest; and liquidated damages required by the clauses set forth in 29 CFR 5.5(b) on this contract, 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 that is held by the same prime contractor (as defined in 29 CFR 5.2). The necessary funds may be withheld from the contractor under this contract, any other Federal contract with the same prime contractor, or any other federally assisted contract that is subject to the Contract Work Hours and Safety Standards Act and is held by the same prime contractor, regardless of whether the other contract was awarded or assisted by the same agency, and such funds may be used to satisfy the contractor liability for which the funds were withheld.
ii Priority to withheld funds The Department has priority to funds withheld or to be withheld in accordance with 29 CFR 5.5(a)(2)(i) or (b)(3)(i), or both, over claims to those funds by:

A. A contractor’s surety(ies), including without limitation performance bond sureties and payment bond sureties;
B. A contracting agency for its reprocurement costs;
C. A trustee(s) (either a court-appointed trustee or a U.S. trustee, or both) in bankruptcy of a contractor, or a contractor’s bankruptcy estate;
D. A contractor’s assignee(s);
E. A contractor’s successor(s); or
F. A claim asserted under the Prompt Payment Act, 31 U.S.C. 3901-3907.

4. Subcontracts. The contractor or subcontractor must insert in any subcontracts the clauses set forth in 29 CFR 5.5(b)(1) through (5) and a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor is responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in 29 CFR 5.5(b)(1) through (5). In the event of any violations of these clauses, the prime contractor and any subcontractor(s) responsible will be liable for any unpaid wages and monetary relief, including interest from the date of the underpayment or loss, 681
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
9 due to any workers of lower-tier subcontractors, and associated liquidated damages and may be subject to debarment, as appropriate.
5 Anti-retaliation It is unlawful for any person to discharge, demote, intimidate, threaten, restrain, coerce, blacklist, harass, or in any other manner discriminate against, or to cause any person to discharge, demote, intimidate, threaten, restrain, coerce, blacklist, harass, or in any other manner discriminate against, any worker or job applicant for:
i. Notifying any contractor of any conduct which the worker reasonably believes constitutes a violation of the Contract Work Hours and Safety Standards Act (CWHSSA) or its implementing regulations in 29 CFR part 5;
ii. Filing any complaint, initiating or causing to be initiated any proceeding, or otherwise asserting or seeking to assert on behalf of themselves or others any right or protection under CWHSSA or 29 CFR part 5;
iii. Cooperating in any investigation or other compliance action, or testifying in any proceeding under CWHSSA or 29 CFR part 5; or
iv. Informing any other person about their rights under CWHSSA or 29 CFR part 5.

C. CWHSSA required records clause In addition to the clauses contained in 29 CFR 5.5(b), in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other laws referenced by 29 CFR 5.1, the Agency Head must cause or require the contracting officer to insert a clause requiring that the contractor or subcontractor must maintain regular payrolls and other basic records during the course of the work and must preserve them for a period of 3 years after all the work on the prime contract is completed for all laborers and mechanics, including guards and watchpersons, working on the contract. Such records must contain the name; last known address, telephone number, and email address; and social security number of each such worker; each worker’s correct classification(s) of work actually performed; hourly rates of wages paid; daily and weekly number of hours actually worked; deductions made and actual wages paid. Further, the Agency Head must cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph must be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the (write the name of agency) and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview workers during working hours on the job.

D. Incorporation of contract clauses and wage determinations by reference Although agencies are required to insert the contract clauses set forth in this section, along with appropriate wage determinations, in full into covered contracts, and contractors and subcontractors are required to insert them in any lower-tier subcontracts, the incorporation by reference of the required contract clauses and appropriate wage determinations will be given the same force and effect as if they were inserted in full text.

E. Incorporation by operation of law The contract clauses set forth in this section (or their equivalent under the Federal Acquisition Regulation), along with the correct wage determinations, will be considered to be a part of every prime contract required by the applicable statutes referenced by 29 CFR 5.1 to include such clauses, and will be effective by operation of law, whether or not they are included or incorporated by reference into such contract, unless the Administrator grants a variance, tolerance, or exemption from the application of this paragraph. Where the clauses and applicable wage determinations are effective by operation of law under this paragraph, the prime contractor must be compensated for any resulting increase in wages in accordance with applicable law. 682
Previous editions obsolete Form HUD-4010, (10/2023)
ref. Handbook 1344.1
10 F. HEALTH AND SAFETY
The provisions of this paragraph (F) are applicable where the amount of the prime contract exceeds $100,000.

1. No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his or her health and safety, as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation.

2. The contractor shall comply with all regulations issued by the Secretary of Labor pursuant to 29 CFR Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract Work Hours and Safety Standards Act, (Public Law 91-54, 83 Stat 96), 40 U.S.C. § 3701 et seq.

3. The contractor shall include the provisions of this paragraph in every subcontract, so that such provisions will be binding on each subcontractor. The contractor shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions.
683
SECTION 3
(Information for the Section 3 Report will be input on LCPtracker) Section 3 Purpose
Section 3 of the Housing and Urban Development Act of 1968, as amended (12 U.S.C. 1701(u)) (“Section 3”) requires the San Bernardino County Community Development and Housing Department (“County”) to ensure that employment, training, contracting and other economic and business opportunities generated by certain United States Department of Housing and Urban Development (“HUD”) financial assistance, to the greatest extent feasible, is directed to public housing residents and other low‐ and very low-income persons, particularly recipients of government housing assistance, and business concerns.

Applicability
As a federal participating jurisdiction, the County receives Community Development Block Grant (“CDBG”) funds and Home Investment Partnerships Program (“HOME”) funds on an annual basis from HUD. These funds activate Section 3 which applies to any such jurisdiction, and any of its organizations, subrecipients, or other entities receiving in excess of $200,000 combined from HUD in any one year. The County occasionally may receive additional funding that may contain a Section 3 requirement.

If developers, contractors, and subcontractors and every Sub-tier need to hire new personnel or subcontract portions of Section 3 covered work, they must, to the greatest extent feasible, ensure that employment and other economic opportunities are directed to low-and very lowincome persons (Section 3 workers and Targeted Section 3 workers) and to eligible businesses (Section 3 Business) and requires the same of its contractors.

Prime Contractor, Subcontractor and every Sub-tier shall agree to do the following on project(s) that are subject to Section 3 rules as described in 24 CFR Part 75:

A. Prior to the beginning of work and upon completion of a project, contractors, subcontractors and every Sub-tier will be required to certify that they will make or have made best efforts to follow the prioritization of efforts requirements for Section 3 workers, Targeted Section 3 workers, and Section 3 business concerns as described in 24 CFR Part 75.

B. After completion of the project contractors, subcontractors and every Sub-tier will be required to certify that they have followed the prioritization of effort requirements. If the Safe Harbor benchmark requirements as described in 24 CFR Part 75 (see below) were not met, evidence of efforts made to assist low and very low-income persons with employment and training opportunities will need to be provided.

1. Twenty-five (25) percent or more of the total number of labor hours worked by all workers on a Section 3 project are Section 3 workers; and

2. Five (5) percent or more of the total number of labor hours worked by all workers on a Section 3 project are Targeted Section 3 workers, as defined at 24 CFR Part 75.

C. Contractor will be responsible to implement efforts to achieve Section 3 compliance. Contractors submitting bids or proposals will be required to certify that they will comply with prioritization of efforts for employment, training and contracting as described in 24 CFR Part 75.

D. Contractors, Subcontractors and every Sub-tier must make their best efforts to award contracts and subcontract to business concerns that provide economic opportunities to Section 3 workers in the following priority:

1. Business concerns that provide economic opportunities to Section 3 workers residing within the metropolitan area (or non-metropolitan county) 684
in which assistance is located in the following order of priority (where feasible).
a. Section 3 business concerns that provide economic opportunities to Section 3 workers residing within the service area or the neighborhood of the project; and
b. YouthBuild programs.

E. Contractors, Subcontractor and every Sub-tier will provide a Self-Certification Section 3 Worker and Targeted Worker Eligibility Form for qualified Section 3 worker and Targeted Section 3 workers as defined in 24 CFR Part 75. For the purpose of Section 3 worker eligibility, the Contractor, Subcontractor and sub-tier will use the individual income to determine eligibility. The income limits will be determined annually using the guideline published at
https://www.huduser.gov/portal/datasets/il.html.

F. In the event Section 3 covered projects include multiple sources of funds, including public housing financial assistance and housing and community development assistance, the Contractor, Subcontractor and Sub-tier may be required to follow the definition of Section 3 worker and Targeted Section 3 worker as defined in subpart B or subpart C of 24 CFR Part 75.

G. Contractors, Subcontractor and every Sub-tier that feel that they meet the Section 3 business requirements may self-register in the HUD Business Registry, here:
http://www.hud.gov/Sec3Biz. Business may seek Section 3 business concern preference by demonstrating that it meets one or more of the following criteria:

1. At least 51 percent of the business is owned and controlled by low-or very lowincome persons; or

2. At least 51 percent of the business is owned and controlled by current public housing residents or residents who currently live in Section 8-assisted housing; or

3. Over 75 percent of the labor hours performed for the business over the prior three-month period are performed by Section 3 workers.

H. Contractor, Subcontractor and every Sub-tier agree to collect, at the time of bid/proposal, a Self-Certification Section 3 Business Concern Eligibility form from any business that seeks a Section 3 preference and that meets the Section 3 business criteria as described above and in 24 CFR Part 75.

I. Contractors, Subcontractor and every Sub-tier will incorporate the Section 3 language in all Section 3 covered contracts or agreements to ensure contractors meet the requirements of 24 CFR Part 75.

J. Contractors agree to submit a Section 3 Cumulative Report monthly, annually and upon the completion of a project. Monthly reporting will need to be submitted at the beginning of each month for the preceding month. Additionally, reporting shall be submitted on an annual basis and at the end of each project. 685
61561 Federal Register/ Vol. 85, No. 189 / Tuesday, September 29, 2020 / Rules and Regulations 3051 (42 U.S.C. 14043e et seq.); E.O. 13279,
67 FR 77141, 3 CFR, 2002 Comp., p. 258; and
E.O. 13559, 75 FR 71319, 3 CFR 2010 Comp.,
p. 273.
§ 5.105 [Amended]
■ 2. Amend § 5.105(a) by removing ‘‘;
section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C.
1701u) and implementing regulations at
24 CFR part 135.’’
PART 14—IMPLEMENTATION OF THE

EQUAL ACCESS TO JUSTICE ACT IN

ADMINISTRATIVE PROCEEDINGS
■ 3. The authority for part 14 continues
to read as follows:

Authority: 5 U.S.C. 504(c)(1); 42 U.S.C.
3535(d).
§ 14.115 [Amended]
■ 4. Amend § 14.115 by removing and
reserving paragraph (a)(5).
■ 5. Add part 75 to read as follows:

PART 75—ECONOMIC

OPPORTUNITIES FOR LOW- AND

VERY LOW-INCOME PERSONS
Subpart A—General Provisions
Sec.

75.1 Purpose.

75.3 Applicability.

75.5 Definitions.

75.7 Requirements applicable to HUD
NOFAs for Section 3 covered programs.

Subpart B—Additional Provisions for Public
Housing Financial Assistance

75.9 Requirements.

75.11 Targeted Section 3 worker for public
housing financial assistance.

75.13 Section 3 safe harbor.

75.15 Reporting.

75.17 Contract provisions.

Subpart C—Additional Provisions for
Housing and Community Development
Financial Assistance

75.19 Requirements.

75.21 Targeted Section 3 worker for housing
and community developmentfinancial
assistance.

75.23 Section 3 safe harbor.

75.25 Reporting.

75.27 Contract provisions.

Subpart D—Provisions for Multiple Funding
Sources, Recordkeeping and Compliance

75.29 Multiple funding sources.

75.31 Recordkeeping.

75.33 Compliance.

Authority: 12 U.S.C. 1701u; 42 U.S.C.
3535(d).

Subpart A—General Provisions
§ 75.1 Purpose.

This part establishes the requirementsto
be followed to ensure the objectives of
Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C.
1701u) (Section 3) are met. The purpose
of Section 3 is to ensure that economic
opportunities, most importantly
employment, generated by certain HUD
financial assistance shall be directed to
low- and very low-income persons,
particularly those who are recipients of
government assistance for housing or
residents of the community in which the
Federal assistance is spent.
§ 75.3 Applicability.
(a) General applicability. Section 3
applies to public housing financial
assistance and Section 3 projects, as
follows:
(1) Public housing financial
assistance. Public housing financial
assistance means:
(i) Development assistance provided
pursuant to section 5 of the United States
Housing Act of 1937 (the 1937Act);
(ii) Operations and management
assistance provided pursuant to section
9(e) of the 1937 Act;
(iii) Development, modernization, and
management assistance provided pursuant
to section 9(d) of the 1937 Act;and
(iv) The entirety of a mixed-finance
development project as described in 24
CFR 905.604, regardless of whether the
project is fully or partially assisted with
public housing financial assistance as
defined in paragraphs (a)(1)(i) through
(iii) of this section.
(2) Section 3 projects. (i) Section 3
projects means housing rehabilitation,
housing construction, and other public
construction projects assisted under
HUD programs that provide housing and
community development financial
assistance when the total amount of
assistance to the project exceeds a
threshold of $200,000. The threshold is
$100,000 where the assistance is from
the Lead Hazard Control and Healthy
Homes programs, as authorized by
Sections 501 or 502 of the Housing and
Urban Development Act of 1970 (12
U.S.C. 1701z–1 or 1701z–2), the LeadBased Paint Poisoning Prevention Act (42 U.S.C 4801 et seq.); and the Residential
Lead-Based Paint Hazard Reduction Act of
1992 (42 U.S.C. 4851et seq.). The project
is the site or sites together with any
building(s) and improvements located on
the site(s) thatare under common
ownership, management, and financing.
(ii) The Secretary must update the
thresholds provided in paragraph
(a)(2)(i) of this section not less than once
every 5 years based on a national
construction cost inflation factor through
Federal Register notice not subject to
public comment. When the Secretary finds
it is warranted to ensure
compliance with Section 3, the
Secretary may adjust, regardless of the
national construction cost factor, such
thresholds through Federal Register
notice, subject to public comment.
(iii) The requirements in this part
apply to an entire Section 3 project,
regardless of whether the project is fully
or partially assisted under HUD
programs that provide housing and
community development financial
assistance.
(b) Contracts for materials. Section 3
requirements do not apply to material
supply contracts.
(c) Indian and Tribal preferences.

Contracts, subcontracts, grants, or
subgrants subject to Section 7(b) of the
Indian Self-Determination and
Education Assistance Act (25 U.S.C.
5307(b)) or subject to tribal preference
requirements as authorized under 101(k)
of the Native American Housing
Assistance and Self-Determination Act
(25 U.S.C. 4111(k)) must provide
preferences in employment, training,
and business opportunities to Indians
and Indian organizations, and are
therefore not subject to the requirements
of this part.
(d) Other HUD assistance and other
Federal assistance. Recipients that are
not subject to Section 3 are encouraged
to consider ways to support the purpose
of Section 3.
§ 75.5 Definitions.

The terms HUD, Public housing, and
Public Housing Agency (PHA) are
defined in 24 CFR part 5. The following
definitions also apply to this part:
1937 Act means the United States
Housing Act of 1937, 42 U.S.C. 1437 et
seq.

Contractor means any entity enteringinto a
contract with:
(1) A recipient to perform work in
connection with the expenditure of
public housing financial assistance or
for work in connection with a Section
3 project; or
(2) A subrecipient for work in
connection with a Section 3 project.

Labor hours means the number ofpaid
hours worked by persons on a Section
3 project or by persons employed with
funds that include public housing
financial assistance.

Low-income person means a person as
defined in Section 3(b)(2) of the 1937 Act.

Material supply contracts means contracts
for the purchase of products and
materials, including, but not limitedto,
lumber, drywall, wiring, concrete, pipes,
toilets, sinks, carpets, and office supplies.

Professional services means nonconstruction services that require an 686
61562 Federal Register/ Vol. 85, No. 189 / Tuesday, September 29, 2020 / Rules and Regulations advanced degree or professional licensing,
including, but not limited to, contracts for
legal services, financial consulting,
accounting services, environmental
assessment, architecturalservices, and
civil engineering services.

Public housing financial assistance
means assistance as defined in
§ 75.3(a)(1).

Public housing project is defined in24
CFR 905.108.

Recipient means any entity that receives
directly from HUD public housing financial
assistance or housingand community
development assistancethat funds
Section 3 projects, including,but not
limited to, any State, local government,
instrumentality, PHA, or other public
agency, public or private nonprofit
organization.

Section 3 means Section 3 of the Housing
and Urban Development Act of1968, as
amended (12 U.S.C. 1701u).

Section 3 business concern means:
(1) A business concern meeting at
least one of the following criteria,
documented within the last six-month
period:
(i) It is at least 51 percent owned and
controlled by low- or very low-income
persons;
(ii) Over 75 percent of the labor hours
performed for the business over the prior
three-month period are performedby
Section 3 workers; or (iii) It is a business at least 51 percent owned and controlled by current public
housing residents or residents who
currently live in Section 8-assisted
housing.
(2) The status of a Section 3 business
concern shall not be negatively affectedby
a prior arrest or conviction of its owner(s)
or employees.
(3) Nothing in this part shall be
construed to require the contracting or
subcontracting of a Section 3 business
concern. Section 3 business concernsare
not exempt from meeting the
specifications of the contract.

Section 3 project means a project
defined in § 75.3(a)(2).

Section 3 worker means:
(1) Any worker who currently fits or
when hired within the past five years fit
at least one of the following categories,
as documented:
(i) The worker’s income for the
previous or annualized calendar year is
below the income limit established by
HUD.
(ii) The worker is employed by a
Section 3 business concern.
(iii) The worker is a YouthBuild
participant.
(2) The status of a Section 3 worker
shall not be negatively affected by a prior
arrest or conviction.
(3) Nothing in this part shall be
construed to require the employment of
someone who meets this definition of a
Section 3 worker. Section 3 workers are
not exempt from meeting the
qualifications of the position to be
filled.

Section 8-assisted housing refers to
housing receiving project-based rental
assistance or tenant-based assistance
under Section 8 of the 1937 Act.

Service area or the neighborhood of the
project means an area within one mile
of the Section 3 project or, if fewerthan
5,000 people live within one mile of a
Section 3 project, within a circle
centered on the Section 3 project that is
sufficient to encompass a population of
5,000 people according to the most
recent U.S. Census.

Small PHA means a public housing
authority that manages or operates fewer
than 250 public housing units.

Subcontractor means any entity thathas
a contract with a contractor to
undertake a portion of the contractor’s
obligation to perform work in
connection with the expenditure of
public housing financial assistance orfor
a Section 3 project.

Subrecipient has the meaning provided
in the applicable programregulations or
in 2 CFR 200.93.

Targeted Section 3 worker has the
meanings provided in §§ 75.11, 75.21, or

75.29, and does not exclude an
individual that has a prior arrest or
conviction.

Very low-income person means the
definition for this term set forth in
section 3(b)(2) of the 1937 Act.

YouthBuild programs refers to
YouthBuild programs receiving
assistance under the Workforce
Innovation and Opportunity Act(29
U.S.C. 3226).
§ 75.7 Requirements applicable to HUD
NOFAs for Section 3 covered programs.

All notices of funding availability
(NOFAs) issued by HUD that announce
the availability of funding covered by
§ 75.3 will include notice that this partis
applicable to the funding and may
include, as appropriate for the specific
NOFA, points or bonus points for the
quality of Section 3 plans.

Subpart B—Additional Provisions for
Public Housing Financial Assistance
§ 75.9 Requirements.
(a) Employment and training. (1)
Consistent with existing Federal, state,
and local laws and regulations, PHAs or
other recipients receiving public
housing financial assistance, and their
contractors and subcontractors, must
make their best efforts to provide
employment and training opportunities
generated by the public housing
financial assistance to Section 3
workers.
(2) PHAs or other recipients, and their
contractors and subcontractors, must
make their best efforts described in
paragraph (a)(1) of this section in the
following order of priority:
(i) To residents of the public housing
projects for which the public housing
financial assistance is expended;
(ii) To residents of other public
housing projects managed by the PHA
that is providing the assistance or for
residents of Section 8-assisted housing
managed by the PHA;
(iii) To participants in YouthBuild
programs; and
(iv) To low- and very low-income
persons residing within the
metropolitan area (or nonmetropolitan
county) in which the assistance is
expended.
(b) Contracting. (1) Consistent with
existing Federal, state, and local laws
and regulations, PHAs and other
recipients of public housing financial
assistance, and their contractors and
subcontractors, must make their best
efforts to award contracts and
subcontracts to business concerns that
provide economic opportunities to
Section 3 workers.
(2) PHAs and other recipients, and
their contractors and subcontractors,
must make their best efforts described in
paragraph (b)(1) of this section in the
following order of priority:
(i) To Section 3 business concerns
that provide economic opportunities for
residents of the public housing projects
for which the assistance is provided;
(ii) To Section 3 business concerns
that provide economic opportunities for
residents of other public housing
projects or Section-8 assisted housing
managed by the PHA that is providing
the assistance;
(iii) To YouthBuild programs; and
(iv) To Section 3 business concerns
that provide economic opportunities to
Section 3 workers residing within the
metropolitan area (or nonmetropolitan
county) in which the assistance is
provided.
§ 75.11 Targeted Section 3 worker for
public housing financial assistance.
(a) Targeted Section 3 worker. A
Targeted Section 3 worker for public
housing financial assistance means a
Section 3 worker who is:
(1) A worker employed by a Section
3 business concern; or
(2) A worker who currently fits or
when hired fit at least one of the
following categories, as documented
within the past five years:
(i) A resident of public housing or
Section 8-assisted housing;
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61563 Federal Register/ Vol. 85, No. 189 / Tuesday, September 29, 2020 / Rules and Regulations (ii) A resident of other public housing
projects or Section 8-assisted housing
managed by the PHA that is providing
the assistance; or (iii) A YouthBuild participant.
(b) [Reserved]
§ 75.13 Section 3 safe harbor.
(a) General. PHAs and other
recipients will be considered to have
complied with requirements in this part,
in the absence of evidence to the
contrary, if they:
(1) Certify that they have followed the
prioritization of effort in § 75.9; and
(2) Meet or exceed the applicable
Section 3 benchmarks as described in
paragraph (b) of this section.
(b) Establishing benchmarks. (1) HUD
will establish Section 3 benchmarks for
Section 3 workers or Targeted Section 3
workers or both through a document
published in the Federal Register. HUD
may establish a single nationwide
benchmark for Section 3 workers and a
single nationwide benchmark for
Targeted Section 3 workers, or may
establish multiple benchmarks based on
geography, the type of public housing
financial assistance, or other variables.

HUD will update the benchmarks through
a document published in the Federal
Register, subject to public comment, not
less frequently than once every 3 years.

Such notice shall include aggregate data
on labor hours and the proportion of
PHAs and other recipients meeting
benchmarks, as well as other metrics
reported pursuant to § 75.15 as deemed
appropriate by HUD, for the 3 most
recent reporting years.
(2) In establishing the Section 3
benchmarks, HUD may consider the
industry averages for labor hours
worked by specific categories of workers
or in different localities or regions;
averages for labor hours worked by
Section 3 workers and Targeted Section
3 workers as reported by recipients
pursuant to this section; and any other
factors HUD deems important. In
establishing the Section 3 benchmarks,
HUD will exclude professional services
from the total number of labor hours as
such hours are excluded from the total
number of labor hours to be reported per
§ 75.15(a)(4).
(3) Section 3 benchmarks will consist
of the following two ratios:
(i) The number of labor hours worked
by Section 3 workers divided by the
total number of labor hours worked by
all workers funded by public housing
financial assistance in the PHA’s or
other recipient’s fiscal year.
(ii) The number of labor hours worked
by Targeted Section 3 workers, as
defined in § 75.11(a), divided by the
total number of labor hours worked by
all workers funded by public housing
financial assistance in the PHA’s or
other recipient’s fiscal year.
§ 75.15 Reporting.
(a) Reporting of labor hours. (1) For
public housing financial assistance,
PHAs and other recipients must report
in a manner prescribed by HUD:
(i) The total number of labor hours
worked;
(ii) The total number of labor hours
worked by Section 3 workers; and
(iii) The total number of labor hours
worked by Targeted Section 3 workers.
(2) Section 3 workers’ and Targeted
Section 3 workers’ labor hours may be
counted for five years from when their
status as a Section 3 worker or Targeted
Section 3 worker is established pursuant
to § 75.31.
(3) The labor hours reported under
paragraph (a)(1) of this section must
include the total number of labor hours
worked with public housing financial
assistance in the fiscal year of the PHA or
other recipient, including labor hours
worked by any contractors and
subcontractors that the PHA or other
recipient is required, or elects pursuant
to paragraph (a)(4) of this section, to
report.
(4) PHAs and other recipients
reporting under this section, as well as
contractors and subcontractors who
report to PHAs and recipients, may report
labor hours by Section 3 workers, under
paragraph (a)(1)(ii) of this section,and
labor hours by Targeted Section 3
workers, under paragraph (a)(1)(iii) of
this section, from professional services
without including labor hours from
professional services in the total number
of labor hours worked under paragraph
(a)(1)(i) of this section. If a contract
covers both professional services and
other work and the PHA, other recipient,
contractor, or subcontractor chooses not
to report labor hours from professional
services, the labor hours under the
contract that are not from professional
services must still be reported.
(5) PHAs and other recipients may
report on the labor hours of the PHA, the
recipient, a contractor, or a subcontractor
based on the employer’s good faith
assessment of the labor hoursof a fulltime or part-time employee informed by the employer’s existing salary or time
and attendance based payroll systems,
unless the project or activity is otherwise
subject to requirements specifying time
and attendance reporting.
(b) Additional reporting if Section 3
benchmarks are not met. If the PHA’s or
other recipient’s reporting under
paragraph (a) of this section indicates
that the PHA or other recipient has not
met the Section 3 benchmarks described
in § 75.13, the PHA or other recipient
must report in a form prescribed by HUD
on the qualitative nature of its Section 3
compliance activities and those of its
contractors and subcontractors. Such
qualitative efforts may, for example,
include but are not limited to the
following:
(1) Engaged in outreach efforts to
generate job applicants who are
Targeted Section 3 workers.
(2) Provided training or
apprenticeship opportunities.
(3) Provided technical assistance to
help Section 3 workers compete for jobs
(e.g., resume assistance, coaching).
(4) Provided or connected Section 3
workers with assistance in seeking
employment including: drafting resumes,
preparing for interviews, andfinding job
opportunities connecting residents to job
placement services.
(5) Held one or more job fairs.
(6) Provided or referred Section 3
workers to services supporting work
readiness and retention (e.g., work
readiness activities, interview clothing,
test fees, transportation, child care).
(7) Provided assistance to apply for/or
attend community college, a four-year
educational institution, or vocational/
technical training.
(8) Assisted Section 3 workers to
obtain financial literacy training and/or
coaching.
(9) Engaged in outreach efforts to
identify and secure bids from Section 3
business concerns.
(10) Provided technical assistance to
help Section 3 business concerns
understand and bid on contracts.
(11) Divided contracts into smaller
jobs to facilitate participation by Section
3 business concerns.
(12) Provided bonding assistance,
guaranties, or other efforts to support
viable bids from Section 3 business
concerns.
(13) Promoted use of business
registries designed to create
opportunities for disadvantaged and
small businesses.
(14) Outreach, engagement, or
referrals with the state one-stop systemas
defined in Section 121(e)(2) of the
Workforce Innovation and Opportunity
Act.
(c) Reporting frequency. Unless
otherwise provided, PHAs or other
recipients must report annually to HUD
under paragraph (a) of this section, and,
where required, under paragraph (b) of
this section, in a manner consistent with
reporting requirements for the
applicable HUD program.
(d) Reporting by Small PHAs. Small
PHAs may elect not to report under
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61564 Federal Register/ Vol. 85, No. 189 / Tuesday, September 29, 2020 / Rules and Regulations paragraph (a) of this section. Small PHAs
that make such election are required to
report on their qualitative efforts, as
described in paragraph (b) of this section,
in a manner consistent withreporting
requirements for the applicable HUD
program.
§ 75.17 Contract provisions.
(a) PHAs or other recipients must
include language in any agreement or
contract to apply Section 3 to
contractors.
(b) PHAs or other recipients must
require contractors to include language
in any contract or agreement to apply
Section 3 to subcontractors.
(c) PHAs or other recipients must
require all contractors and
subcontractors to meet the requirements
of § 75.9, regardless of whether Section
3 language is included in contracts.

Subpart C—Additional Provisions for
Housing and Community Development
Financial Assistance
§ 75.19 Requirements.
(a) Employment and training. (1) To
the greatest extent feasible, and
consistent with existing Federal, state,
and local laws and regulations,
recipients covered by this subpart shall
ensure that employment and training
opportunities arising in connection with
Section 3 projects are provided to
Section 3 workers within the
metropolitan area (or nonmetropolitan
county) in which the project is located.
(2) Where feasible, priority for
opportunities and training described in
paragraph (a)(1) of this section should
be given to:
(i) Section 3 workers residing within
the service area or the neighborhood of
the project, and
(ii) Participants in YouthBuild
programs.
(b) Contracting. (1) To the greatest
extent feasible, and consistent with
existing Federal, state, and local laws
and regulations, recipients covered by
this subpart shall ensure contracts for
work awarded in connection with
Section 3 projects are provided to
business concerns that provide
economic opportunities to Section 3
workers residing within the
metropolitan area (or nonmetropolitan
county) in which the project is located.
(2) Where feasible, priority for
contracting opportunities described in
paragraph (b)(1) of this section should
be given to:
(i) Section 3 business concerns that
provide economic opportunities to
Section 3 workers residing within the
service area or the neighborhood of the
project, and
(ii) YouthBuild programs.
§ 75.21 Targeted Section 3 worker forhousing
and community development financial
assistance.
(a) Targeted Section 3 worker. A
Targeted Section 3 worker for housing
and community development financial
assistance means a Section 3 worker
who is:
(1) A worker employed by a Section
3 business concern; or
(2) A worker who currently fits or
when hired fit at least one of the
following categories, as documented
within the past five years:
(i) Living within the service area or
the neighborhood of the project, asdefined
in § 75.5; or (ii) A YouthBuild participant.
(b) [Reserved]
§ 75.23 Section 3 safe harbor.
(a) General. Recipients will be
considered to have complied with
requirements in this part, in the absence
of evidence to the contrary if they:
(1) Certify that they have followed the
prioritization of effort in § 75.19; and
(2) Meet or exceed the applicable
Section 3 benchmark as described in
paragraph (b) of this section.
(b) Establishing benchmarks. (1) HUD
will establish Section 3 benchmarks for
Section 3 workers or Targeted Section 3
workers or both through a document
published in the Federal Register. HUD
may establish a single nationwide
benchmark for Section 3 workers and a
single nationwide benchmark for
Targeted Section 3 workers, or may
establish multiple benchmarks based on
geography, the nature of the Section 3
project, or other variables. HUD will
update the benchmarks through a
document published in the Federal
Register, subject to public comment, not
less frequently than once every 3 years.

Such notice shall include aggregate data
on labor hours and the proportion of
recipients meeting benchmarks, as well
as other metrics reported pursuant to
§ 75.25 as deemed appropriate by HUD,for
the 3 most recent reporting years.
(2) In establishing the Section 3
benchmarks, HUD may consider the
industry averages for labor hours worked
by specific categories of workersor in
different localities or regions; averages for
labor hours worked by Section 3 workers
and Targeted Section 3 workers as
reported by recipients pursuant to this
section; and any other factors HUD deems
important. In establishing the Section 3
benchmarks, HUD will exclude
professional services from the total
number of labor hours as such hours are
excluded from the total number of labor
hours to be reported per
§ 75.25(a)(4).
(3) Section 3 benchmarks will consist
of the following two ratios:
(i) The number of labor hours worked
by Section 3 workers divided by the total
number of labor hours worked by all
workers on a Section 3 project in the
recipient’s program year.
(ii) The number of labor hours worked
by Targeted Section 3 workers as defined
in § 75.21(a), divided by the total
number of labor hours worked by all
workers on a Section 3 project in the
recipient’s program year.
§ 75.25 Reporting.
(a) Reporting of labor hours. (1) For
Section 3 projects, recipients must
report in a manner prescribed by HUD:
(i) The total number of labor hours
worked;
(ii) The total number of labor hours
worked by Section 3 workers; and
(iii) The total number of labor hours
worked by Targeted Section 3 workers.
(2) Section 3 workers’ and Targeted
Section 3 workers’ labor hours may be
counted for five years from when their
status as a Section 3 worker or Targeted
Section 3 worker is established pursuant
to § 75.31.
(3) The labor hours reported under
paragraph (a)(1) of this section must
include the total number of labor hours
worked on a Section 3 project, including
labor hours worked by any subrecipients,
contractors and subcontractors that the
recipient is required, or elects pursuant
to paragraph (a)(4) of this section, to
report.
(4) Recipients reporting under this
section, as well as subrecipients,
contractors and subcontractors who
report to recipients, may report labor
hours by Section 3 workers, under
paragraph (a)(1)(ii) of this section, and
labor hours by Targeted Section 3
workers, under paragraph (a)(1)(iii) of
this section, from professional services
without including labor hours from
professional services in the total number
of labor hours worked under paragraph
(a)(1)(i) of this section. If a contract
covers both professional services and
other work and the recipient or contractor
or subcontractor chooses not to report
labor hours from professional services, the
labor hours under the contract that are
not from professional services must still
be reported. (5) Recipients may report their own
labor hours or that of a subrecipient,
contractor, or subcontractor based on the
employer’s good faith assessment ofthe
labor hours of a full-time or part- time
employee informed by the employer’s
existing salary or time and attendance
based payroll systems, unless the project
or activity is
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61565 Federal Register/ Vol. 85, No. 189 / Tuesday, September 29, 2020 / Rules and Regulations otherwise subject to requirements
specifying time and attendance
reporting.
(b) Additional reporting if Section 3
benchmarks are not met. If the
recipient’s reporting under paragraph (a)
of this section indicates that the
recipient has not met the Section 3
benchmarks described in § 75.23, the
recipient must report in a form
prescribed by HUD on the qualitative
nature of its activities and those its
contractors and subcontractors pursued.

Such qualitative efforts may, for
example, include but are not limited to
the following:
(1) Engaged in outreach efforts to
generate job applicants who are
Targeted Section 3 workers.
(2) Provided training or
apprenticeship opportunities.
(3) Provided technical assistance to
help Section 3 workers compete for jobs
(e.g., resume assistance, coaching).
(4) Provided or connected Section 3
workers with assistance in seeking
employment including: drafting
resumes, preparing for interviews, and
finding job opportunities connecting
residents to job placement services.
(5) Held one or more job fairs.
(6) Provided or referred Section 3
workers to services supporting work
readiness and retention (e.g., work
readiness activities, interview clothing,
test fees, transportation, child care).
(7) Provided assistance to apply for/or
attend community college, a four-year
educational institution, or vocational/
technical training.
(8) Assisted Section 3 workers to
obtain financial literacy training and/or
coaching.
(9) Engaged in outreach efforts to
identify and secure bids from Section 3
business concerns.
(10) Provided technical assistance to
help Section 3 business concerns
understand and bid on contracts.
(11) Divided contracts into smaller
jobs to facilitate participation by Section
3 business concerns.
(12) Provided bonding assistance,
guaranties, or other efforts to support
viable bids from Section 3 business
concerns.
(13) Promoted use of business
registries designed to create
opportunities for disadvantaged and
small businesses.
(14) Outreach, engagement, or
referrals with the state one-stop system
as defined in Section 121(e)(2) of the
Workforce Innovation and Opportunity
Act.
(c) Reporting frequency. Unless
otherwise provided, recipients must
report annually to HUD under
paragraph (a) of this section, and, where
required, under paragraph (b) of this
section, on all projects completed within
the reporting year in a manner
consistent with reporting requirements
for the applicable HUD program.
§ 75.27 Contract provisions.
(a) Recipients must include language
applying Section 3 requirements in any
subrecipient agreement or contract for a
Section 3 project.
(b) Recipients of Section 3 funding
must require subrecipients, contractors,
and subcontractors to meet the
requirements of § 75.19, regardless of
whether Section 3 language is included
in recipient or subrecipient agreements,
program regulatory agreements, or
contracts.

Subpart D—Provisions for Multiple
Funding Sources, Recordkeeping, and
Compliance
§ 75.29 Multiple funding sources.
(a) If a housing rehabilitation, housing
construction or other public
construction project is subject to Section
3 pursuant to § 75.3(a)(1) and (2), the
recipient must follow subpart B of this
part for the public housing financial
assistance and may follow either
subpart B or C of this part for the
housing and community development
financial assistance. For such a project,
the following applies:
(1) For housing and community
development financial assistance, a
Targeted Section 3 worker is any worker
who meets the definition of a Targeted
Section 3 worker in either subpart B or
C of this part; and
(2) The recipients of both sources of
funding shall report on the housing
rehabilitation, housing construction, or
other public construction project as a
whole and shall identify the multiple
associated recipients. PHAs and other
recipients must report the following
information:
(i) The total number of labor hours
worked on the project;
(ii) The total number of labor hours
worked by Section 3 workers on the
project; and
(iii) The total number of labor hours
worked by Targeted Section 3 workers
on the project.
(b) If a housing rehabilitation, housing
construction, or other public
construction project is subject to Section
3 because the project is assisted with
funding from multiple sources of
housing and community development
assistance that exceed the thresholds in
§ 75.3(a)(2), the recipient or recipients
must follow subpart C of this part, and
must report to the applicable HUD
program office, as prescribed by HUD.
§ 75.31 Recordkeeping.
(a) HUD shall have access to all
records, reports, and other documents or
items of the recipient that are
maintained to demonstrate compliance
with the requirements of this part, or
that are maintained in accordance with
the regulations governing the specific
HUD program by which the Section 3
project is governed, or the public
housing financial assistance is provided
or otherwise made available to the
recipient, subrecipient, contractor, or
subcontractor.
(b) Recipients must maintain
documentation, or ensure that a
subrecipient, contractor, or
subcontractor that employs the worker
maintains documentation, to ensure that
workers meet the definition of a Section
3 worker or Targeted Section 3 worker,
at the time of hire or the first reporting
period, as follows:
(1) For a worker to qualify as a
Section 3 worker, one of the following
must be maintained:
(i) A worker’s self-certification that
their income is below the income limit
from the prior calendar year;
(ii) A worker’s self-certification of
participation in a means-tested program
such as public housing or Section 8-
assisted housing;
(iii) Certification from a PHA, or the
owner or property manager of projectbased Section 8-assisted housing, or the administrator of tenant-based Section 8-
assisted housing that the worker is a
participant in one of their programs;
(iv) An employer’s certification that
the worker’s income from that employer
is below the income limit when based
on an employer’s calculation of what
the worker’s wage rate would translate
to if annualized on a full-time basis; or
(v) An employer’s certification that
the worker is employed by a Section 3
business concern.
(2) For a worker to qualify as a
Targeted Section 3 worker, one of the
following must be maintained:
(i) For a worker to qualify as a
Targeted Section 3 worker under
subpart B of this part:
(A) A worker’s self-certification of
participation in public housing or
Section 8-assisted housing programs;
(B) Certification from a PHA, or the
owner or property manager of projectbased Section 8-assisted housing, or the administrator of tenant-based Section 8-
assisted housing that the worker is a
participant in one of their programs;
(C) An employer’s certification that
the worker is employed by a Section 3
business concern; or
(D) A worker’s certification that the
worker is a YouthBuild participant.
690
61566 Federal Register/ Vol. 85, No. 189 / Tuesday, September 29, 2020 / Rules and Regulations (ii) For a worker to qualify as a
Targeted Section 3 worker under
subpart C of this part:
(A) An employer’s confirmation that a
worker’s residence is within one mile of
the work site or, if fewer than 5,000
people live within one mile of a work
site, within a circle centered on the work
site that is sufficient to encompassa
population of 5,000 people accordingto
the most recent U.S. Census;
(B) An employer’s certification that
the worker is employed by a Section 3
business concern; or (C) A worker’s self-certification that the worker is a YouthBuild participant.
(c) The documentation described in
paragraph (b) of this section must be
maintained for the time period required
for record retentions in accordance with
applicable program regulations or, in
the absence of applicable program
regulations, in accordance with 2 CFR
part 200.
(d) A PHA or recipient may report on
Section 3 workers and Targeted Section 3
workers for five years from when their
certification as a Section 3 worker or
Targeted Section 3 worker is established.
§ 75.33 Compliance.
(a) Records of compliance. Each
recipient shall maintain adequate
records demonstrating compliance with
this part, consistent with other
recordkeeping requirements in 2 CFR
part 200.
(b) Complaints. Complaints alleging
failure of compliance with this part may
be reported to the HUD program office
responsible for the public housing
financial assistance or the Section 3
project, or to the local HUD field office.
(c) Monitoring. HUD will monitor
compliance with the requirements of
this part. The applicable HUD program
office will determine appropriate methods
by which to oversee Section 3 compliance.

HUD may impose appropriate remedies
and sanctions in accordance with the laws
and regulations for the program under
whichthe violation was found.

PART 91—CONSOLIDATED

SUBMISSIONS FOR COMMUNITY

PLANNING AND DEVELOPMENT

PROGRAMS
■ 6. The authority citation for part 91
continues to read as follows:

Authority: 42 U.S.C. 3535(d), 3601–3619,
5301–5315, 11331–11388, 12701–12711,
12741–12756, and 12901–12912.
§ 91.215 [Amended]
■ 7. Amend § 91.215(j) by removing ‘‘24
CFR part 135’’ and adding, in its place
‘‘24 CFR part 75’’.
§ 91.225 [Amended]
■ 8. Amend § 91.225(a)(7) by removing
‘‘24 CFR part 135’’ and adding, in its
place ‘‘24 CFR part 75’’.
§ 91.325 [Amended]
■ 9. Amend § 91.325(a)(7) by removing
‘‘24 CFR part 135’’ and adding, in its
place ‘‘24 CFR part 75’’.
§ 91.425 [Amended]
■ 10. Amend § 91.425(a)(1)(vii) by
removing ‘‘24 CFR part 135’’ and
adding, in its place ‘‘24 CFR part 75’’.

PART 92—HOME INVESTMENT

PARTNERSHIPS PROGRAM
■ 11. The authority citation for part 92
continues to read as follows:

Authority: 42 U.S.C. 3535(d), 12 U.S.C.
1701x and 4568.
■ 12. Amend § 92.508 as follows:
■ a. Remove paragraph (a)(7)(i)(B);
■ b. Redesignate paragraph (a)(7)(i)(C) as
(a)(7)(i)(B); and
■ c. Add paragraph (a)(7)(xi).

The addition reads as follows:
§ 92.508 Recordkeeping.
(a) * * *
(7) * * *
(xi) Documentation of actions
undertaken to meet the requirements of
24 CFR part 75 which implements
section 3 of the Housing Development
Act of 1968, as amended (12 U.S.C.
1701u).
* * * * *
PART 93—HOUSING TRUST FUND
■ 13. The authority citation for part 93
continues to read as follows:

Authority: 42 U.S.C. 3535(d), 12 U.S.C.
4568.
■ 14. Amend § 93.407 as follows:
■ a. Redesignate paragraphs (a)(5)(ii)
through (ix) as paragraphs (a)(5)(iii)
through (x);
■ b. Remove paragraph (a)(5)(i)(B);
■ c. Redesignate paragraph (a)(5)(i)(A)
as paragraph (a)(5)(ii);
■ d. In newly redesignated paragraph
(a)(5)(iv), remove ‘‘24 part 35’’ and add
in its place ‘‘24 CFR part 35’’; and
■ e. Add paragraph (a)(5)(xi).

The addition reads as follows:
§ 93.407 Recordkeeping.
(a) * * *
(5) * * *
(xi) Documentation of actions
undertaken to meet the requirements of
24 CFR part 75, which implements
section 3 of the Housing and Urban
Development Act of 1968, as amended
(12 U.S.C. 1701u).
* * * * *
CHAPTER I—OFFICE OF ASSISTANT

SECRETARY FOR EQUAL OPPORTUNITY,

DEPARTMENT OF HOUSING AND URBAN
DEVELOPMENT [AMENDED]
■ 15. Under the authority of 42 U.S.C.
3535(d), in chapter I, remove designated
subchapter headings A and B.

PART 135 —[REMOVED]
■ 16. Remove part 135.

PART 266—HOUSING FINANCE

AGENCY RISK-SHARING PROGRAM

FOR INSURED AFFORDABLE

MULTIFAMILY PROJECT LOANS
■ 17. The authority citation for part 266
continues to read as follows:

Authority: 12 U.S.C. 1707; 42 U.S.C.
3535(d).
§ 266.220 [Amended]
■ 18. Amend § 266.220(c) by removing
‘‘; section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C.
1701u), as implemented by 24 CFR part
135’’.

PART 570—COMMUNITY

DEVELOPMENT BLOCK GRANTS
■ 19. The authority citation for part 570
continues to read as follows:

Authority: 12 U.S.C. 1701x, 1701 x–1; 42U.S.C.
3535(d) and 5301–5320.
§ 570.487 [Amended]
■ 20. Amend § 570.487(d) by removing
‘‘24 CFR part 135’’ and adding in its
place ‘‘24 CFR part 75’’.
§ 570.607 [Amended]
■ 21. Amend § 570.607(b) by removing
‘‘24 CFR part 135’’ and adding in its
place ‘‘24 CFR part 75’’.

PART 574—HOUSING OPPORTUNITIES

FOR PERSONS WITHAIDS
■ 22. The authority citation for part 574
continues to read as follows:

Authority: 12 U.S.C. 1701x, 1701 x–1; 42U.S.C.
3535(d) and 5301–5320.
§ 574.600 [Amended]
■ 23. Amend § 574.600 by adding ‘‘and
part 75’’ after the phrase ‘‘24 CFR part
5’’.

PART 576—EMERGENCY SOLUTIONS

GRANTS PROGRAM
■ 24. The authority citation for part 576
continues to read as follows:

Authority: 12 U.S.C. 1701x, 1701 x–1; 42
U.S.C. 11371 et seq., 42 U.S.C. 3535(d).
691
61567 Federal Register/ Vol. 85, No. 189 / Tuesday, September 29, 2020 / Rules and Regulations § 576.407 [Amended]
■ 25. Amend § 576.407(a) by removing
‘‘24 CFR part 135’’ and adding in its
place ‘‘24 CFR part 75’’.

PART 578—CONTINUUM OF CARE

PROGRAM
■ 26. The authority citation for part 578
continues to read as follows:

Authority: 12 U.S.C. 1701x, 1701 x–1; 42
U.S.C. 11381 et seq., 42 U.S.C. 3535(d).
§ 578.99 [Amended]
■ 27. Amend § 578.99 by removing
‘‘federal’’ in the section heading and
adding in its place ‘‘Federal’’ and
removing ‘‘24 CFR part 135’’ in
paragraph (i) and adding in its place ‘‘24
CFR part 75’’.

PART 905—THE PUBLIC HOUSING

CAPITAL FUND PROGRAM
■ 28. The authority citation for part 905
continues to read as follows:

Authority: 42 U.S.C. 1437g, 42 U.S.C. 1437z–2,
42 U.S.C. 1437z–7, and 3535(d).
§ 905.308 [Amended]
■ 29. Amend § 905.308(b)(10) by
removing ‘‘24 CFR part 135’’ and adding
in its place ‘‘24 CFR part 75’’.

PART 964—TENANT PARTICIPATION

AND TENANT OPPORTUNITIES IN

PUBLIC HOUSING

30. The authority citation for part 964
continues to read as follows:

Authority: 42 U.S.C. 1437d, 1437g, 1437r,
3535(d).
■ 31. Revise § 964.320 to read as
follows:
§ 964.320 HUD Policy on training, employment,
contracting and subcontracting of public
housing residents.

In accordance with Section 3 of the
Housing and Urban Development Act of
1968 and the implementing regulations
at 24 CFR part 75, PHAs, their contractors
and subcontractors shall make best
efforts, consistent with existing Federal,
State, and local laws and regulations, to
give low and very low-income persons
the training and employment
opportunities generated bySection 3
covered assistance (as this term is
defined in 24 CFR 75.3) and to give
Section 3 business concerns the
contracting opportunities generated by
Section 3 covered assistance.

PART 983—PROJECT-BASED

VOUCHER (PBV) PROGRAM
■ 32. The authority citation for part 983
continues to read as follows:

Authority: 42 U.S.C. 1437f and 3535(d).
§ 983.4 [Amended]

33. Amend § 983.4 by removing the
definition of ‘‘Section 3—Training,
employment and contracting
opportunities in development’’.
§ 983.154 [Amended]
■ 34. Amend § 983.154 by removing (c)
introductory text and paragraph (c)(1)
and redesignating paragraph (c)(2) as
paragraph (c).

PART 1000—NATIVE AMERICAN

HOUSING ACTIVITIES
■ 35. The authority citation for part
1000 continues to read as follows:

Authority: 25 U.S.C. 4101 et seq.; 42
U.S.C. 3535(d).
■ 36. Revise § 1000.42 to read as
follows:
§ 1000.42 Are the requirements of Section3
of the Housing and Urban Development Act
of 1968 applicable?
No. Recipients shall comply with Indian
preference requirements of Section 7(b)
of the Indian Self- Determination and
Education Assistance Act (25 U.S.C.
5307(b)), oremployment and contract
preference laws adopted by the
recipient’s tribe inaccordance with
Section 101(k) of NAHASDA.

Benjamin S. Carson, Sr.,
Secretary.
[FR Doc. 2020–19185 Filed 9–28–20; 8:45 am]
BILLING CODE 4210–67–P
692

AFFIRMATIVE ACTION COMPLIANCE GUIDELINES FOR

CONSTRUCTION AND NON-CONSTRUCTION

CONTRACTORS
693

AFFIRMATIVE ACTION COMPLIANCE

GUIDELINES FOR CONSTRUCTION AND

NON-CONSTRUCTION CONTRACTORS
These Affirmative Action Compliance Guidelines have been designed to provide Contractors with information necessary to comply with Federal regulations found under Title 41, Part 60 of the Code of Federal Regulations. It is the intent of these guidelines to ensure that equal opportunity for
employment is practiced by the Contractor without regard to race, color, sex, religion, national origin, disability, and veteran’s status. These guidelines provide the minimum
information necessary to comply with EEO and affirmative action requirements, including the preparation of an
Affirmative Action Plan that complies with federal regulations regarding Affirmative Action for federally assisted projects.

Contractors are urged to contact the implementing entity or the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) officer for any necessary
technical assistance in meeting Affirmative Action
requirements if they are considering bidding under this contract.

I. AFFIRMATIVE ACTION COMPLIANCE PROGRAM
A. The Affirmative Action program embodies the
following principles:

1. Discrimination because of race, color, age, sex,
religion, national origin, marital status, disability,
or veteran’s status is inconsistent with the
constitution, laws, and policies of the United
States, State of California and San Bernardino
County.

2. The implementing entity is committed to ensure
that there be no discrimination by vendors,
Contractors (including professional services and
consultants), lessors, or lessees doing business
with the implementing entity.

3. Contractors and Subcontractors agree to take
affirmative personnel actions to hire and promote
workers who traditionally have been discriminated
against in the job market, including women,
minorities, members of certain ethnic and
religious groups, individuals with disabilities, and
veterans.

B. Affirmative Action Step Requirements for
CONSTRUCTION Contractors and Subcontractors:

1. Personnel affirmative action in recruitment, hiring, and promotion is required by Contractor and
Subcontractors who have entered into a federally
assisted construction or non-construction contract
that exceed $10,000 or $10,000 in the aggregate
over a 12-month period.

2. Contractors and Subcontractors who enter into a
CONSTRUCTION CONTRACT in excess of
$10,000 must take 16 specific affirmative action
steps to ensure equal employment opportunity.

These steps are included in 41 CFR 60-4.3 (a) (7)
and are also included under "Standard Federal
Equal Employment Opportunity Construction
Contract Specifications" of Attachment "D" of the
bid package.

C. Affirmative Action Plan requirements for NONCONSTRUCTION Contractors:

1. All Contractors who have entered into a NONCONSTRUCTION CONTRACT and who: 1) do business in the amount of $50,000 or more with
the implementing entity in any one fiscal year
and, 2) employ 50 or more employees, must
develop a written Affirmative Action Program
within 120 days after the contract award date.

2. All Subcontractors rendering services or supplies
to a Contractor in the amount of $50,000 or more
and employ 50 or more employees, must develop
a written Affirmative Action Program within 120
days after the contract award date.

D. Exemptions under 41 CFR 60:

The following persons/contracts shall be exempt from
this program:

1. A contract or contracts by a Contractor that do not
exceed $10,000 in the aggregate over a 12-month
period.

2. Contracts for Work outside the United States

3. State and Local Governments

4. Contracts with certain educational institutions

5. Work on or near Indian Reservations

6. Specific contracts and facilities found exempt by
Deputy Assistant Secretary

7. Contracts with religious entities

8. National security contracts
Any Contractor who feels qualified for an exemption
should contact the local Contract Compliance Officer
or the U.S. Department of Labor's OFCCP Officer for
further information.

II. SATISFYING AFFIRMATIVE ACTION PLAN
A. Affirmative Action Plan requirements for NONCONSTRUCTION Contractors can be met through the following:

1. Completing a Contract Compliance Qualifying
Report for Non-construction Contractors and
Vendors, (refer to the form found in the "Additional
Required Documents/Sample Documents" section
of Attachment "D" of the bid package).

2. Completing a Contractor’s Affirmative Action
Policy, including methods of recruiting minorities
and women. If the Contractor does not have its
own Affirmative Action Policy, it may adopt the
County's model Affirmative Action Policy ((refer to
the form found in the "Additional Required
Documents/Sample Documents" section of
Attachment "D" of the bid package).

3. Following Federal Affirmative Action Plan
guidelines which comply with the requirements of
41 CFR 60.2.10.
694

DEFINITIONS
Unless a provision of a contract otherwise requires, certain words and phrases shall be defined as follows:

A. “Affirmative Action” is a commitment to increase the number of minorities and women in the work force by
setting employment goals and timetables, including
action to achieve objectives. Affirmative Action seeks
to ensure that discrimination is eliminated in dealings with employees or applicants for employment whether
the discrimination is intentional or unintentional. In
addition, Affirmative Action seeks to improve job
standards and productivity through the removal of
artificial and unnecessary barriers to employment and
promotion and ensure that all job actions are related to job performance measures.

B. “Affirmative Action Plan” is a written affirmative plan required of Contractors and Subcontractors who have
50 or more employees and have entered into a
contract with the implementing entity that exceeds
$50,000, or $50,000 in contracts over a 12-month
period.

C. “Contract” means a federally assisted purchase order, offer and acceptance, lease, agreement or other
arrangement creating an obligation to which the
implementing entity is a party, which would make one
of the parties within the definition a Contractor.

D. “Construction” means the construction, rehabilitation, alteration, conversion, extension, demolition or repair of buildings, highways or other changes or
improvements to real property, including facilities
providing utility services.

E. “Contractor” means a prime Contractor or
Subcontractor.

F. "Covered Area" means the geographical area
described in the solicitation from which the contract
resulted;
G. "Director" means Director, OFCCP, U.S. Dept. of
Labor, or any person to whom the Director delegates
authority to;
H. “Employee” means one who performs work for
compensation, or a person who is permanently or
regularly employed by the Contractor or
Subcontractor.

I. "Employer Identification Number" means the Federal
Social Security Number;
J. “Disability” means any individual who:

1. Has a physical or mental impairment, which
substantially limits one or more major life activities
of such individual;

2. Has a record or such impairment or,

3. Is generally regarded as having such an
impairment.

K. "Employer Identification Number" means the Federal
Social Security Number;
L. “Implementing Entity” means public jurisdiction who is administering the contract.

M. “Minority” includes:

1. Black (all persons having origins in any 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 or 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);

4. American Indian or Alaskan native (all persons
having origins in any of the native peoples of
North America and maintaining identifiable tribal
affiliations through membership and participation
in community identification).

N. “Non-construction Contract” means any contract that
does not fall within the definition of “Construction
Contract”.

O. “Officer” means the Contract Compliance Officer of
the implementing entity or U.S. Department of Labor
Office of Federal Contract Compliance Program
(OFCCP) Officer.

P. “Persons” means any individual, firm, co-partnership, public service, joint venture, association, social club, fraternal organization, corporation, estate, trust
receiver, syndicate CITY, county, municipal
corporation, district or other political subdivision, or any other group or combination acting as a unit.

Q. “Underutilization” means having fewer minorities or
women in a particular job classification than would
reasonably be expected by their availability.

R. “Vietnam-Era Veteran” means a person who:

1. Served on actual duty for a period of more than
180 days, any part of which occurred between
August 5, 1964, and May 7, 1975, and was
discharged or released therefrom with other than
a dishonorable discharge; or

2. Was discharged or released from active duty for a
service-connected disability if any part of such
active duty was performed between August 5,
1964, and May 7, 1975.
695

S. Violation and Appeal Procedure:

1. A Contractor found in violation of equal
opportunity/affirmative action laws will be referred
to the U.S. Department of Labor’s OFCCP
Division, and the Solicitor for Labor, Associate
Solicitor of Labor Relations and Civil Rights
Regional Solicitors and Regional Attorney are
authorized to institute enforcement proceedings
by filing a complaint and serving that compliant to
the Contractor (defendant), in accordance with
procedures set forth in 41 CFR 60-30.5. The
complaint shall contain information on the alleged
violation, a prayer regarding the relief being
sought, and the name and address of the attorney
representing the Government. Within 20 days
after receiving the complaint, the defendant shall
file an answer with the Chief Administrative Law
Judge, if the case has not been assigned to an
Administrative Law judge.

2. The answer shall contain a statement of the facts
which constitute the ground of defense, and shall:
1) specifically admit, explain, or deny each of the
allegations of the complaint unless the defendant
is without knowledge, or 2) state that the
defendant admits all the allegations contained in
the complaint. The answer may contain a waiver
for a hearing and if not, a separate paragraph in
the answer shall request a hearing. The answer
shall contain the name and address of the
defendant, or of the attorney representing the
defendant. Failure to file an answer or plead
specifically to an allegation of the complaint shall
constitute an admission of such allegation.

3. Contractor agrees to fully comply with the laws and
programs (including regulations issued pursuant thereto) identified herein. Such compliance is required to the
extent such laws, programs and their regulations are, by their own terms, applicable to this contract. Contractor warrants that he will make himself thoroughly familiar
with the applicable provisions of said laws, programs,
and regulations prior to commencing performance of the
contract. Copies of said laws, programs, and regulations are available upon request from the implementing
entity’s Contract Compliance Officer, or from the U.S.

Department of Labor's OFCCP Officer to the extent
applicable the provisions of said laws programs and
regulations are deemed to be a part of this contract as if fully set forth herein.

4. Vietnam Era Veterans’ Readjustment Assistance Acts of 1972 and 1974, as amended. Pub. L. 92-540, Title V,
Sec 503(a), Pub. L 93-508. Title IV, Sec. 402. (38
USCA 2011-2013).

5. Rehabilitation Act of 1973, as amended (disability) Pub. l 93-112 as amended. (29 USCA 701-794).

6. California Fair Employment Practice Act. Labor Code
Sec. 1410 et seq.

5. Civil Rights Act of 1964, as amended (42 USCA 2000a
to 2000H-6) and Executive Order No. 11246, September
24, 1965, as amended.
696

EQUAL OPPORTUNITY CLAUSES
The Contractor and Subcontractors not found
exempt under 41 CFR 60-1.5, are required to
comply with the following equal opportunity
clauses as a condition of being awarded a federally
assisted contract. Each nonexempt prime
Contractor shall include equal employment
opportunity clauses in each of its nonexempt
Subcontractors.

EQUAL OPPORTUNITY CLAUSE FOR

FEDERALLY ASSISTED CONSTRUCTION

CONTRACTS
This clause is inserted pursuant to Executive Order 11246 of September 24, 1965, as amended, and Title VII of the Civil Rights Act of 1964, and is applicable pursuant to 41 CFR Sec. 60-1.4. The following requirements apply to Contractors and Subcontractors
(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, 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 by
the contracting officer setting forth the provisions of this nondiscrimination clause.
(2) The Contractor will, in all solicitations or
advertisements for employees placed by or on behalf
of the Contractor, state that all qualified applicants will receive consideration for employment without regard
to race, color, religion, sex, or national origin.
(3) The Contractor will send to each labor union or
representative of workers with which he has a
collective bargaining agreement or other contract or
understanding, a notice to be provided by the agency
contracting officer, advising the labor union or
workers’ representative of the Contractor’s
commitments under Section 202 of Executive Order
11246 of September 24, 1965, and shall post copies
of the notice in conspicuous places available to
employees and applicants for employment.
(4) The Contractor will comply with all provisions of
Executive Order 11246 of September 24, 1965 and of
the rules, regulations, and relevant orders of the
Secretary of Labor.
(5) The Contractor will furnish all information and reports required by Executive Order 11246 of September 24,
1965, and by rules, regulations and orders of the
Secretary of Labor, pursuant thereto, and will permit
access to his books, records, and accounts by the
administering agency and 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 such rules, regulations or orders, this contract may be canceled, terminated or suspended in whole
or in part, and the Contractor may be declared
ineligible for further Government contracts in
accordance with procedures 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 the contracting agency may direct
as a means of enforcing such provisions, including
sanctions for noncompliance: Provided, however, that
in the event the Contractor becomes involved in, or is
threatened with, litigation with a Subcontractor or
vendor as a result of such direction by the contracting agency, the Contractor may request the United States
to enter into such litigation to protect the interests of the United states.

The applicant further agrees that it will be bound by
the above equal opportunity clause with respect to its
own employment practices when it participates in
federally assisted construction work; provided, that if the applicant so participating is a state or local
government, the above equal opportunity clause is
not applicable to any agency, instrumentality or
subdivision of such government which does not
participate in work on or under the contract.

The applicant agrees that it will assist and cooperate
actively with the administering agency and the
Secretary of Labor in obtaining the compliance of
Contractors and Subcontractors with the equal
opportunity clause and the rules, regulations, and
relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of
Labor in obtaining the compliance of Contractors and
Subcontractors with the equal opportunity clause and
the rules, regulations, and relevant orders of the
Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information
as they may require for the supervision of such
compliance, and that it will otherwise assist the
administering agency in the discharge of the agency’s
primary responsibility for securing compliance.
697

The applicant further agrees that it will refrain from
entering into any contract or contract modification
subject to Executive Order 1124 of September 24,
1965, with a Contractor debarred from, or who has
not demonstrated eligibility for Government
contracts and federally assisted construction
contracts pursuant to the Executive Order and will
carry out such sanctions and penalties for violation
of the equal opportunity clause as may be imposed
upon Contractors and Subcontractors by the
administering agency or the Secretary of Labor
pursuant to Part II, Subpart D of the Executive
Order. In addition, the applicant agrees that if it fails or refuses to comply with these undertakings, the
administering agency may take any or all of the
following actions: Cancel, terminate, or suspend in
whole or in part this grant (contract, loan, insurance, guarantee), refrain from extending any further
assistance to the applicant under the program with
respect to which the failure or refund occurred until
satisfactory assurances of future compliance has
been received from such applicant, and refer the
case to the Department of Justice for appropriate
legal proceedings.

In addition to the above, Contractor will agree to
furnish all information and reports, including
Standard form EEO-1, if applicable, to the U.S.

Equal Employment Opportunity Commission
(EEOC) and the U.S. Department of Labor's
OFCCP, as required by Executive Order No. 11246
of September 24, 1965.

EQUAL OPPORTUNITY CLAUSE FOR

SPECIAL DISABLED VETERANS

AND VETERANS OF THE VIETNAM ERA
This clause is inserted pursuant to Executive Order 11701 of January 24, 1973 and the Vietnam Era Veterans
Readjustment Assistance Acts of 1972 and 1974 (P.L. 92- 540, 93-508), and is applicable pursuant to 41 CFR Sec. 60- 250.
(1) The Contractor will not discriminate against any
employee or applicant for employment because he
or she is a disabled veteran or veteran of the
Vietnam Era in regard to any position for which the
employee or applicant for employment is qualified.

The Contractor agrees to take affirmative action to
employ, advance in employment and otherwise treat
qualified disabled veterans and veterans of the
Vietnam Era without discrimination based upon their
disability or veterans’ status in all employment
practices such as the following: employment,
upgrading, demotion or transfer, recruitment,
advertising, layoff or termination, rates of pay or
other forms of compensation, and selection for
training, including apprenticeship.
(2) The Contractor agrees that all suitable employment
openings of the Contractor which exist at the time of
the execution of this contract and those which occur
during the performance of this contract, including
those not generated by this contract and including
those occurring at an establishment of the
Contractor other than the one wherein the contract
is being performed but excluding those of
independently operated corporate affiliates, shall be
listed at an appropriate local office of the State
Employment Service System wherein the opening
occurs. The Contractor further agrees to provide
such reports to such local office regarding
employment openings and hires as may be
required.
(3) Listings of employment openings with the
employment service system pursuant to this clause
shall be made at least concurrently with the use of
any other recruitment source or effort and shall
involve the normal obligations which attach to the
placing of a bona fide job order, including the
acceptance of referrals of veterans and nonveterans. The listing of employment openings does not require the hiring of any particular job applicant
or from any particular group of job applicants, and
nothing herein is intended to relieve the Contractor
from any requirements in Executive Orders or
regulations regarding nondiscrimination in
employment.
(4) The reports required by paragraph (2) of this clause shall include, but not be limited to, periodic reports
which shall be filed at least quarterly with the
appropriate local office or, where the Contractor has
more than one hiring location in a State, with the
central office of that State Employment Service.

Such reports shall indicate for each hiring location,
(a) the number of individuals hired during the
reporting period, (b) the number of non-disabled
veterans of the Vietnam Era hired, (c) the number of
disabled veterans of the Vietnam Era hired, and (d)
the total number of disabled veterans hired. The
reports shall include covered veterans hired for onthe-job training under 38 USC Sec. 1787. The Contractor shall submit a report within 30 days after
the end of each reporting period wherein any
performance is made on this contract identifying
data for each hiring location. The Contractor shall
maintain at each hiring location, copies of the
reports submitted until the expiration of one year
after final payment under the contract, during which
time these reports and related documentation shall
be made available, upon request, for examination
by any authorized representatives of the contracting
officer or of the Secretary of Labor. Documentation
would include personnel records respecting job
openings, recruitment and placement.
(5) Whenever the Contractor becomes contractually
bound to the listing provisions of this clause, it shall advise the employment service system in each
State where it has establishments of the name and
location of each hiring location in the State. As long
as the Contractor is contractually bound to these
provisions and has so advised the State system,
there is no need to advise the State system of
subsequent contracts. The Contractor may advise
the State system when it is no longer bound by this
contract clause.
(6) This clause does not apply to the listing of
employment openings, which occur and are filled
outside of the 50 States, the District of Columbia,
Puerto Rico, Guam and the Virgin Islands.
698

(7) The provisions of paragraphs (2), (3), (4) and (5) of this clause do not apply to openings which the
Contractor proposes to fill from within his own
organization or to fill pursuant to a customary and
traditional employer - union hiring arrangement.

This exclusion does not apply to a particular
opening once an employer decides to consider
applicants outside of his own organization or
employer - union arrangement for that opening.
(8) As used in this clause:
a. “All suitable employment openings” includes,
but is not limited to, openings which occur in
the following job categories: production and
non-production; plant and office; laborers and
mechanics; supervisory and non-supervisory;
technical; and executive, administrative and
professional openings as are compensated on
a salary basis of less than $25,000 per year.

The term includes full-time employment,
temporary employment of more than three
days duration, and part-time employment. It
does not include openings which the
Contractor proposes to fill from within his own
organization or to fill pursuant to a customary
and traditional employer - union hiring
arrangement or openings in an educational
institution which are restricted to students of
that institution. Under most compelling
circumstances an employment opening may
not be suitable for listing, including such
situations where the needs of the Government
cannot reasonably be otherwise supplied,
where listing would be contrary to national
security, or where the requirement of listing
would otherwise not be for the best interest of
the Government.
b. “Appropriate office of the State Employment
Service System” means the local office of the
federal - state national system of public
employment offices with assigned
responsibility for serving the area where the
employment opening is to be filled, including
the District of Colombia, Guam, Puerto Rico
and the Virgin Islands.
c. “Openings which the Contractor proposes to
fill from within his own organization” means
employment openings for which no
consideration will be given to persons outside
the Contractor’s organization (including any
affiliates, subsidiaries and the parent
companies) and includes any openings which
the Contractor proposes to fill from regularly
established “recall” lists.
d. “Openings which the Contractor proposes to
fill pursuant to a customary and traditional
employer - union hiring arrangement” means
employment openings which the Contractor
proposes to fill from union halls, which is part
of the customary and traditional hiring
relationship which exists between the
Contractor and representatives of his
employees.
(9) The Contractor agrees to comply with the rules,
regulations and relevant orders of the Secretary of
Labor issued pursuant to the Act.
(10) In the event of the Contractor’s noncompliance with the requirements of this clause, actions for
noncompliance may be taken in accordance with
the rules, regulations and relevant orders of the
Secretary of Labor issued pursuant to the Act.
(11) The Contractor agrees to post in conspicuous
places, available to employees and applicants for
employment, notices in a form to be prescribed by
the Director, provided by or through the contracting
officer. Such notices shall state the Contractor’s
obligation under the law to take affirmative action to
employ and advance in employment qualified
disabled veterans and veterans of the Vietnam Era
for employment, and the rights of applicants and
employees.
(12) The Contractor will notify each labor union or
representative of workers with which it has a
collective bargaining agreement or other contract
understanding, that the Contractor is bound by the
terms of the Vietnam Era Veterans’ Readjustment
Assistance Act, and is committed to take affirmative
action to employ and advance in employment
qualified disabled veterans and veterans of the
Vietnam Era.
(13) The Contractor will include the provisions of this clause in every subcontract or purchase order of
$10,000 or more unless exempted by rules,
regulations or orders of the Secretary issued
pursuant to the Act, so that such provisions will be
binding upon each Subcontractor or vendor. The
Contractor will take such action with respect to any
subcontract or purchase order as the Director of the
Office of Federal Contract Compliance Programs
may direct to enforce such provisions, including
action for noncompliance.
(14) Collective bargaining agreement or other contract
understanding that the Contractor is bound by the
terms of the Vietnam Era Veterans’ Readjustment
Assistance Act, and is committed to take affirmative
action to employ and advance in employment
qualified disabled veterans and veterans of the
Vietnam Era.
(15) The Contractor will include the provisions of this clause in every subcontract or purchase order of
$10,000 or more unless exempted by rules,
regulations or orders of the Secretary issued
pursuant to the Act, so that such provisions will be
binding upon each Subcontractor or vendor. The
Contractor will take such action with respect to any
subcontract or purchase order as the Director of the
Office of Federal Contract Compliance Programs
may direct to enforce such provisions, including
action for noncompliance.
699

EQUAL OPPORTUNITY CLAUSE FOR

WORKERS WITH DISABILITIES
This clause is inserted pursuant to the Rehabilitation Act of 1973 (P.L. 93-112) and 41 CFR Sec. 60-741-4.
(1) The Contractor will not discriminate against any
employee or applicant for employment because of
physical or mental disability in regard to any position for which the employee or applicant for employment
is qualified. The Contractor agrees to take
affirmative action to employ, advance in
employment and otherwise treat qualified
(2) disabled individuals without discrimination based
upon their physical or mental disability in all
employment practices such as the following:
employment, upgrading, demotion or transfer,
recruitment, advertising, layoff or termination, rates
of pay or other forms of compensation, and
selection for training, including apprenticeship.
(3) The Contractor agrees to comply with the rules,
regulations and relevant orders of the Secretary of
Labor issued pursuant to the Act.
(4) In the event of the Contractor’s non-compliance with the requirements of this clause, actions for
noncompliance may be taken in accordance with
the rules, regulations and relevant orders of the
Secretary of Labor issued pursuant to the Act.
(5) The Contractor agrees to post in conspicuous
places, available to employees and applicants for
employment, notices in a form to be prescribed by
the Director, provided by or through the contracting
officer.
(6) Such notices shall state the Contractor’s obligation under the law to take affirmative action to employ
and advance in employment qualified disabled
employees and applicants for employment, and the
rights of applicants and employees.
(7) The Contractor will notify each labor union or
representative of workers with which it has a
collective bargaining agreement or other contract
understanding, that the Contractor is bound by the
terms of Section 503 of the Rehabilitation Act of
1973, and is committed to take affirmative action to
employ and advance in employment physically and
mentally disabled individuals.
(8) The Contractor will include the provisions of this
clause in every subcontract or purchase order of
$2,500.00 or more unless exempted by rules,
regulations or orders of the Secretary issued
pursuant to Section 503 of the Act, so that such
provisions will be binding upon each Subcontractor
or vendor. The Contractor will take such action with
respect to any subcontract or purchase order as the
Director of the Office of Federal Contract
Compliance Programs may direct to enforce such
provisions, including action for noncompliance.
700

STANDARD FEDERAL EQUAL

EMPLOYMENT OPPORTUNITY

CONSTRUCTION CONTRACT PROVISIONS
(EXECUTIVE ORDER 11246, PURSUANT TO
41 CFR 60-4.3 (a)

1. As used in these specifications:
a. “Covered area” means the geographical area
described in the solicitation from which this
contract resulted;
b. “Director” means Director, Office of Federal
Contract Compliance Programs, United States
Department of Labor, or any person to whom the
Director delegates authority;
c. “Employer identification number” means the
Federal Social Security number used on the
Employer’s Quarter Federal Tax Return. U.S.

Treasury Department form 941.
d. “Minority” includes:
(i) Black (all persons having origins in any of
the Black African racial groups not of
Hispanic origin);
(ii) Hispanic (all persons of Mexican, Puerto
Rican, Cuban, Central or South American or
other Spanish Culture or origin, regardless
of race);
(iii) Asian and Pacific Islander (all persons
having origins in any of the original peoples
of the Far East, Southeast Asia, the Indian
Subcontinent, or the Pacific Islands); and
(iv) American Indian or Alaskan Native (all
persons having origins in any of the original
peoples of North America and maintaining
identifiable tribal affiliations through
membership and participation or community
identification).

2. Whenever the Contractor, or any Subcontractor at
any tier, subcontracts a portion of the work involving
any construction trade, it shall physically include in
each subcontract in excess of $10,000 the provisions
of these specifications and the Notice which contains
the applicable goals for minority and female
participation and which is set forth in the solicitations from which this contract resulted.

3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S.

Department of Labor in the covered area either
individually or through an association, its affirmative action obligations on all work in the Plan area
(including goals and timetables) shall be in
accordance with the plan for those trades which have
unions participating in the Plan. Contractors must be
able to demonstrate their participation in and
compliance with the provisions of any such
Hometown Plan. Each Contractor or Subcontractor
participating in an approved 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 Plan goals and timetables.

4. The Contractor shall implement the specific
affirmative action standards provided in paragraphs
7a through p of these specifications. The goals set
forth in the solicitation from which the contract
resulted are expressed as percentages of the total
hours of employment and training of minority and
female utilization the Contractor should reasonable
the able to achieve in each construction trade in
which it has employees in the covered area.

Covered construction Contractors performing
construction work in geographical areas 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 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 nonworking training hours of
apprentices and trainees to be counted in meeting
the goals, such apprentices and trainees must be
employed by the Contractor during the training
period and the Contractor must have made
commitment to employ the apprentices and trainees
at the completion of their training, subject to the
availability of employment opportunities. Trainees
must be trained pursuant to training programs
approved by the U.S. Department of Labor.

7. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The
evaluation of the Contractor’s compliance with these
specifications shall be based upon its effort to
achieve maximum results from its actions. The
Contractor shall document these efforts fully, and
701

shall implement affirmative action steps at least as
extensive as the follow 16 steps:
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 shall
specifically ensure that all foremen,
superintendents, and other on-site
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 bargaining agreement has not
referred to the Contractor a minority
person or woman sent by the
Contractor, or when the Contractor has
other information that the union referral
process has impeded the Contractor’s
efforts to meet its obligations.
e. Develop on-the-job training
opportunities and/or participate in
training programs for the area which
expressly include minorities and
women, including upgrading programs
and apprenticeship and trainee
programs relevant to the Contractor’s
employment needs, especially those
programs funded or approved by the
Department of Labor. The Contractor
shall provide notice of these programs
to the sources 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 that each
location where construction work is
performed.
g. Review, at least annually, the
company’s EEO policy and affirmative
action obligations under these
specifications with all employees
having any responsibility for hiring,
assignment, layoff, termination or other
employment decisions including
specific review of these items with
onsite supervisory personnel such as
Superintendents, General Foremen,
etc., prior to the initiation of
construction work at any job site. A
written record shall be made and
maintained identifying the item and
place of these meetings, persons
attending, subject matter discussed,
and disposition of the subject manner.
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 source, the
Contractor shall send written
702

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
work force.
k. Validate all tests and other selection
requirements where there is an
obligation to do so under 41 CFR Part
60-3.
l. Conduct, at least annually, an inventory
and evaluation at least of all minor8ty
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 supervisors; adherence to and
performance under the Contractor’s
EEO policies and affirmative action
obligations.

8. Contractors are encouraged to participate in
voluntary associations which assist in fulfilling
one or more of their affirmative action
obligations (7a – p). The efforts of a Contractor
association, joint Contractor-union, Contractorcommunity or other similar group of which the Contractor is a member and participant may be
asserted as fulfilling any one or more of its
obligations 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 failure of such a group to
fulfill an obligation shall not be a defense for the
Contractor’s noncompliance.

9. A single goal for minorities and a separate single
goal for women have been established. The
Contractor, however, is required to provide
equal employment opportunity and to take
affirmative action for all minority groups, both
male and female, and all women, both minority
and non-minority. Consequently, the Contractor
may be in violation of the executive order if a
particular group is employed in a substantially
disparate manner (for example, even though the
Contractor has achieved its goals for women
generally, the Contractor may be in violation of
the Executive Order if a specific minority group
of women is underutilized).

10. The Contractor shall not use the goals and
timetables or affirmative action standards to
discriminate against any person because of
race, color, religion, sex, or national origin.

11. The Contractor shall not enter into any
Subcontract with any person or firm debarred
from Government contracts pursuant to
Executive Order 11246.

12. The Contractor shall carry out such sanctions
and penalties for violation of these specifications
and of the Equal Opportunity Clause, including
suspension, termination and cancellation of
existing subcontracts as may be imposed or
ordered pursuant to Executive Order 11246, as
amended, and its implementing regulations, by
the Office of Federal Contract Compliance
Programs. Any Contractor who fails to carry out
such sanctions and penalties shall be in violation
of these specifications and Executive Order
11246, as amended.

13. The Contractor, in fulfilling its obligations under these specifications, shall implement specific
affirmative action steps, at least as extensive as
those standards prescribed in paragraph 7 of
these specifications, so as to achieve maximum
703

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 CRF 60-4.6.

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 lease include for each employee the name,
address, telephone numbers, construction trade,
union affiliation if any, employee identification
number when assigned, social security number,
race, sex, status (e.g., mechanic, apprentice
trainee, helper, or laborer) dates of changes in
status, hours worked per week in the indicated
trade, rate of pay, and locations at which the
work was performed. Records shall be
maintained in an easily understandable and
retrievable form; however, to the degree that
existing records satisfy this 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).
a) The notice set forth in 41 CFR 60-4.2 and
the specifications set forth in 41 CFR 60-4.3
replace the New Form for Federal Equal
Employment Opportunity Bid conditions for
Federal and federally Assisted Construction
published at 41 CFR 32482 and commonly
known as the Model Federal EEO Bid
Conditions, and the New Form shall not be
used after the regulations in 41 CFR Part
60-4 become effective.

Minority Goals
The goal for the utilization of women employees on
federally assisted construction contracts is set at 6.9%.

The goal for utilization of minorities, based on the
Standard metropolitan Statistical Area (SMSA) for
Riverside/San Bernardino County is 19%.

For additional information on these goals, please contact the OFCCP-Pacific Region at (415) 848-6969.
704

CERTIFICATION OF COMPLIANCE WITH AIR AND WATER ACTS
(Applicable to federally assisted construction contracts and related subcontracts exceeding $100,000)
During the performance of this Contract, the Contractor and all Subcontractors shall comply with the requirements of the Clean Air act, as amended, 42 U.S.C. 1857 et. seq., the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et. seq., and the regulations of the Environmental Protection Agency with respect thereto, at 40 CFR Part 15, as amended.

In addition to the forgoing requirements, all nonexempt Contractors and Subcontractors shall furnish to the owner, the following:
(1) A stipulation by the Contractor or Subcontractors, that any facility to be utilized in the performance of any nonexempt Contract or subcontract, is not listed on the List of Violating Facilities issued by the Environmental Protection Agency (EPA) pursuant to 40 CFR 15.20. (2) Agreement by the Contractor to comply with all requirements of Section 114 of the Clean Air Act, as amended, (42 U.S.C. 1857c-8) and Section 308 of the Federal Water Pollution Control Act, as amended, (33 U.S.C. 1318) relating to inspection, monitoring entry, reports and information, as well as all other requirements specified in said Section 114 and Section 308, and all regulations and guidelines issued thereunder.
(3) A stipulation that as a condition for the award of the Contract, prompt notice will be given of any notification received from the Director, Office of Federal Activities, EPA, indicating that a facility utilized, or to be utilized for the Contract, is under consideration to be listed on the EPA List of Violating Facilities.
(4) Agreement by the Contractor to include, or cause to be included, the criteria and requirements in paragraph (1) through (3) of this section in every nonexempt subcontract and requiring that the Contractor will take such action as the Government may direct as a means of enforcing such provisions.
705

SAMPLE DOCUMENTS
706
LCF 16-100 Created 3/12 – 08/17
Community Development &
Housing Agency

CONTRACTOR INFORMATION FORM
PROJECT NAME: ________________________________________________________________ PROJECT CODE: ____________________________________ COMPANY NAME: ___________________________________________________________________________________________________________________________ PLEASE CHECK ONE OF THE FOLLOWING: PRIME CONTRACTOR SUBCONTRACTOR SUB-TIER A. PRIME CONTRACTOR: OUR company IS a “Prime Approver” and IS ENTERED in Community Development and Housing’s Contractor Database. If checked, complete and sign only the shaded area below (DO NOT COMPLETE ENTIRE FORM).

B. PRIME CONTRACTOR: OUR company IS NOT a “Prime Approver” but IS ENTERED in Community Development and Housing’s Contractor Database. We have designated the following company personnel as acting “Prime Approver(s)” Name: ________________________________________________________________ Email: _________________________________________________________________ Name: ________________________________________________________________ Email: ______________________________________________________________ C. PRIME CONTRACTOR: OUR company IS NOT a “Prime Approver” and IS NOT ENTERED in Community Development and Housing’s Contractor Database. We have designated the following company personnel as acting “Prime Approver(s)” Name: ________________________________________________________________ Email: ______________________________________________________________ Name: ________________________________________________________________ Email: ______________________________________________________________ D. SUBCONTRACTOR/SUB-TIER: OUR company IS ENTERED in Community Development and Housing’s Contractor Database. If checked, complete and sign only the shaded area below (DO NOT COMPLETE ENTIRE FORM).

E. SUBCONTRACTOR/SUB-TIER: OUR company IS NOT ENTERED in Community Development and Housing’s Contractor Database.
1) Federal Tax Id No.:__________________ 2) D-U-N-S NO.:__________________ 3) Public Works Reg. No.:_______________________________ 4) Contractor License No.:_____________ 5) Contractor License Expiring Date:__________ 6)Contractor Lic. No.:__________________ (or 10-Digit Phone Number/User ID Number) (To Display on Certified Payroll) 7) Insurance Certificate No.:__________________ 8) Specialty License No.:_________________ 9) Business Lic.No.:____________________ 10) Motor Carrier Permit No.:____________________________ 11) Worker’s Compensation Policy No.:________________________________ 11) Union Status:_____________________ 12) Type:_______________ 13) Ethnicity:________________14)Type of Trade:____________________ 15) Principal Name:______________________16) Principal Title:_____________________________ 17) Contact Name:_______________________ 18) Phone No.:_________________ 19) Contact Fax:_________________ 20) Contact E-Mail:________________________________________________ 21) Address 1:____________________________________________________City:__________________________________ State:____ Zip Code:____________ Owner Operator: LCPtracker User ID Number:_______________ (If Different From Contractor License Number) 22) Business Certifications:__________________________________________________________ 23) Certifying Agency:______________________________________ 24) Issued Date:___________________ 25) Expiration Date:_____________ 26) Estimated Start Date:________________ 27) Estimated End Date:______________ 28)Contract Amount:___________________________ I certify the information above is true and complete to the best of my knowledge and belief. _______________________________________________________________________ ______________________________________________________________________ Contractor (Print Name) Title
_________________________________________________________________________ _____________________________________________________________________ Contractor Signature Date
707
1 E – SIGNATURE AUTHORIZATION FORM
(LCF 16‐1.0)
To simplify the reporting burden associated with federally funded construction activities, the San Bernardino County Community Development and Housing Department (CDH) utilizes an online software system called, LCP Tracker, for construction site compliance management, certified payroll(s) and workforce reporting.  As a business who has received an award to work on a federally funded construction project, there several forms and certifications that you will be required to sign as part of the CDH’s Labor Compliance Program.

Authorization Agreement
I am an owner, partner, executive officer, or authorized employee/designee of the above‐listed contractor and have authority to enter into agreements on behalf of the above‐listed contractor. By signing this e(Electronic)‐Signature Authorization Agreement, I authorize CDH to accept, via electronic submission, documents submitted from the above‐listed contractor as required by CDH’s Online Certified Payroll and Compliance System, which may include, but is not limited to: Certified Payroll Records, Statements of Compliance and other required documents.

To establish a pin (e‐signature password) that will allow you the ability to submit your labor compliance related documents electronically, please read the authorization statement below and provide your signature in blue or black ink accepting the terms of this certification.

You may choose to delegate your signatory authority to other employees of your firm by acquiring their signature on the same form and by identify the employee(s) you wish to designate as an authorized co‐signer on page 2 of this same form.

The original hardcopy of this Agreement containing an original wet signature(s) must be submitted to the County of San Bernardino Community Development and Housing Department, 560 E. Hospitality Lane, Suite 200, San Bernardino. CA 92415‐0043.

By signing the E‐Signature Authorization form, I certify to comply with the following:
 I agree for the above‐listed business will exclusively use CDH’s Online Certified Payroll and Compliance System for all County of San Bernardino projects on which the above‐listed business is required to submit Certified Payroll Reports, Statements of Compliance and other required documents electronically.  I understand that CDH may change the Online Certified Payroll and Compliance System from time to time.  I agree that the above‐ listed business will electronically sign, by use of an established Personal Identification Number (PIN), all documents requiring a signature that are submitted to CDH via its Online Certified Payroll System.  I agree that my Personal Identification Number (PIN) which I establish on CDH’s Online Certified Payroll and Compliance System constitutes my electronic signature.
 I understand that any information and documents submitted using my PIN is electronically certifying my signature.  I understand that I am legally bound, obligated, and responsible by use of my PIN/electronic signature as much as I would be by my handwritten signature.  I agree that I will protect my PIN/electronic signature from unauthorized use, and that I will contact CDH immediately, upon discovery that my PIN/electronic signature has been lost, stolen, or otherwise compromised.  I certify that my PIN/electronic signature is for my own use, that I will keep it confidential, and that I will not delegate it or share it with any individual.  This request is in effect immediately upon receipt by CDH and will remain in effect until I choose to cancel this request via written notification to the CDH.  I understand that it is my responsibility to update and notify CDH within three (3) business days, of any circumstances, including my departure or terminated association with the above‐listed Company.

Company Name:

Address:

Phone number:

Project Name:

Project Code:

Print Name   Title Signature Date
Print Name   Title Signature   Date
Print Name   Title Signature   Date
Community Development and Housing Department
SAMPLE 708
2 E – SIGNATURE AUTHORIZATION FORM
(LCF 16‐1.0)
Authorized Designee(s) Section
I   certify that I am the owner, partner, executive officer, of the company listed above and further certify that the following employees as shown below are employees of this company and is/are authorized to enter into agreement(s)      on behalf of the above company and can sign any  contract(s), agreement(s), document(s) and Statement of Compliance where federally      funded construction activities(s), the San Bernardino County Community Development and Housing Department (CDH) requires for the       duration of the period the E‐Signature Authorization form is in effect or until otherwise directed.

Authorized Designee(s)
Company Name:

Address:

Phone Number:

Project Name:

Project Code:

Print Name Title Signature   Date
Print Name Title Signature Date
Community Development and Housing Department
SAMPLE 709

AFFIRMATIVE ACTION COMPLIANCE FORM FOR CONSTRUCTION
CONTRACTS OVER $10,000
(LCF DB16-2.2)
Project Name
Project Address:

Company Name:

As the undersigned Contractor, Prime/Subcontractor/Sub-Tier, (Subcontractor/Sub-Tier having executed a contract with the above named contractor on the above referenced project), hereby make the following certification and acknowledgment. Please check the box that applies to your company to affirm an understanding and implementation of AFFIRMATIVE ACTION COMPLIANCE requirements and that you have read and completed the requirements for the project as noted below:

I / We have reviewed and understand the “CONSTRUCTION CONTRACT LABOR COMPLIANCE PROVISIONS (ATTACHMENT D)” of the bid package and/or “ LABOR COMPLIANCE CONTRACT ADDENDUM".

I / We DO currently maintain an effective Affirmative Action Program. The Affirmative Action Program complies with the Standard Federal Equal Employment Opportunity Construction Contract Provisions Executive Order 11246, pursuant to 41 CFR 60-4.3 (a) and will furnish a copy upon request.

OR
I / We DO NOT currently maintain an Affirmative Action Program. I / We agree to the Equal Opportunity Clause for Federally-Assisted Construction Contracts (Executive Order 11246), as amended, and Title VII of the Civil Rights Act of 1964, and is applicable pursuant to 41 CFR 60-1.4) of “CONSTRUCTION CONTRACT LABOR COMPLIANCE PROVISIONS (ATTACHMENT D)” of the bid package and/or “LABOR COMPLIANCE CONTRACT ADDENDUM”.

Personnel affirmative action in recruitment, hiring and promotion is required by Prime Contractors, Subcontractors and Sub-Tiers who have entered into a federally-assisted construction contract that exceeds $10,000 or $10,000 in the aggregate over a 12-month period. Prime Contractors, Subcontractors or Sub-Tiers who enter into a “Construction Contract” in excess of $10,000 must take 16 specific affirmative action steps to ensure equal employment opportunity.

These steps are included in 41 CFR 60-4.3 (a) (7) and are also included under “Standard Federal Equal Employment Opportunity Construction Contract Specifications” of “CONSTRUCTION CONTRACT LABOR COMPLIANCE PROVISIONS (ATTACHMENT D)” of the bid package and/or “LABOR COMPLIANCE CONTRACT ADDENDUM”.

Print Name of Authorized E-Signature Signer Title Date
Created 3/12 Rev. 2.2022
Community Development and Housing Department
SAMPLE 710
LCF CA16-3.4 Created 11/16 – Revised 2/22

AFFIDAVIT OF COMPLIANCE WITH CALIFORNIA PREVAILING WAGE LAW, CALIFORNIA LABOR CODES SECTIONS 1720-1815
The undersigned, being duly sworn, states as follows:

1. I the undersigned am the of the above named contractor a subcontractor/sub-tier (referred to as Subcontractor) to ______________________________________ on the above named project and location. I Responsible Employer / Contractor Name
am familiar with the payroll practices of the above named on the Project. One of my duties and responsibilities is to ensure that the above named complies with the California Prevailing Wage Law, California Labor Code sections 1720 through 1815 on the Project. I make this sworn statement pursuant to California Labor Code sections 1775, subdivision (b)(4), and 1777.7, subdivision (d)(4).

2. I have reviewed the payroll practices and the payroll records for the above named on the Project. The above named has paid the specified prevailing rate of wages to each of its employees on the Project as required by Prevailing Wage Law, and has paid any amounts due such employees under California Labor Code section 1813. The above named has employed the required number of apprentices on the Project.

3. If applicable, I have also reviewed the payroll practices of each of the above named sub­tier subcontractors on the Project.

Each of our sub-tier subcontractors has paid the specified prevailing rate of wages to its employees, has paid any amount due such employees under California Labor Code section 1813, has employed the required number of apprentices on the Project, and has provided the above named with an affidavit that complies with California Labor Code sections 1775, subdivision (b)(4), and 1777.7, subdivision (d)(4).

4. I understand that the Responsible Employer/Contractor is relying upon the truth of the contents of this sworn statement in making final payment to the above named for work performed on the Project and may suffer damages if my sworn representations were not true.

I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that this affidavit was executed on _________________________ in _______________________________, California.

Date Location
__________________________________________ ______________________ ________________________ Print Name of Authorized E-Signature Signer Title Date
Project Name:

Project Address:

Company Name:

Community Development and Housing Department
SAMPLE 711

APPRENTICES AND TRAINEES ACKNOWLEDGMENT FORM
Project Name:

Project Address:

Company Name:

The only workers who can be paid less than the wage rate on the wage decision for their work classification are “Apprentices” and “Trainees” registered in approved apprenticeship or training programs. Approved programs are those which have been registered with the Department of Labor (DOL) or a DOL‐recognized State Apprenticeship Council (SAC). Apprentices and Trainees are paid wage rates in accordance with the wage schedule in the approved program.

1. Probationary Apprentice: Can be paid as an Apprentice (less than the rate on the wage decision) if the DOL or SAC has certified that the person is eligible for probationary employment as an Apprentice.

2. Pre‐Apprentice: Someone who is not registered in a program and who hasn’t been DOL‐ or SAC‐ certified for Probationary Apprenticeship would not be considered an “Apprentice” and must be paid the full Journeyman’s rate on the wage decision for the classification of work they perform.

3. Ratio of Apprentices and Trainees to Journeymen: The maximum number of Apprentices or Trainees that you can use on the job site cannot exceed the ratio of Apprentices or Trainees to Journeymen allowed in the approved program. Compliance with the ratio is determined on a daily, not weekly basis.

4. Apprentices or Trainees: All required Apprentice / Trainee documents must be submitted and approved by the Community Development Housing Department before the first payroll on which any Apprentice or Trainee appears. Incomplete or missing Apprentice / Trainee documents will render that Apprentice / Trainee a Journeyman and must be paid the full Journeyman’s rate on the wage decision for the classification of work they perform.

REQUIRED DOCUMENTS FOR APPRENTICE PROGRAMS:
 Program Certification MUST be issued by the Department of Labor (DOL), Office of Apprenticeship (OA)  Copy of DOL Individual(s) Apprenticeship Certification Print out : SAMPLE ATTACHED  Copy of the Apprenticeship Program Appendix A which includes: SAMPLE ATTACHED • Level, Step or Period of the Apprentice
• Ratio Information
• Apprentice Wage Scale
• Schedule of Work Experience
• Schedule of Related Instructions
 Copy of Fringe Benefit Apprenticeship Percentage Form also referred to as Rate Sheet Copy of DIR-DAS Apprenticeship Programs (State only): SAMPLE ATTACHED

I acknowledge that I am aware of the foregoing requirements and that I am authorized to make this certification on behalf of the above-named contractor. I fully understand that failure to comply with any of the above requirements may result in the apprentice/trainee being rendered as improperly paid and will be intitled to the journeyman rate for the classification perform.

Print Name of Authorized E-Signature Signer Title Date
Community Development and Housing Department
SAMPLE 712
LCF 16-SAM 4
713
714
715
LCF 16-SAM 5
716

CERTIFICATION OF BIDDER REGARDING EQUAL EMPLOYMENT OPPORTUNITY (LCF DB16-2.1)
This certification is required pursuant to Executive Order 11246 (30 F.R. 12319-25). The implementing rules and regulations provide that any bidder (Prime Contractor, or any of their proposed Subcontractors/Sub- Tiers) shall state as an initial part of the bid or negotiations of the contract whether it has participated in any previous contract or subcontract subject to the Equal Opportunity Clause; and, if so, whether it has filed all compliance reports due under applicable instructions.

Where the certification indicates that the bidder has not filed a compliance report due under applicable instructions, such bidder shall be required to submit a compliance report within seven (7) calendar days after bid opening. No contract shall be awarded unless such report is submitted.

1. Bidder has participated in a previous contract or subcontract subject to the Equal Opportunity Clause.
(check box)
Yes (IF YES, identify the most recent contract)
No (IF NO, bidder may be required to submit an EEO-1 survey or other reports to the Equal Employment Opportunity Commission, contact EEOC at 800-669-4000 or online at https://www.eeocdata.org/eeo1.

2. Compliance reports were filed in connection with such contract or subcontract with the Joint Reporting Committee, the Deputy Assistant Secretary or the Equal Employment Opportunity Commission.
(check box)
Yes No None Required

3. Has Bidder ever been or is bidder being considered for sanction due to violation of EXECUTIVE ORDER 11246, as amended. https://www.dol.gov/agencies/ofccp/executive-order-11246/as-amended (check box)
Yes No
Print Name of Authorized E-Signature Signer Title Date
Created 3/12 – Revised 2/2022
Project Name:

Project Address:

Company Name:

Community Development and Housing Department
SAMPLE 717

CERTIFICATE OF UNDERSTANDING AND AUTHORIZATION FORM
(LCF 16-1.2)
The undersigned certifies that the company principal(s), or designee and the “Authorized Payroll Officer” have if project is subject to Davis-Bacon And Related Acts read the most current “LABOR STANDARDS” (A Contractor’s Guide to Prevailing Wage Requirements for Federally-Assisted Construction Projects) and if project is subject to California prevailing wage requirements is aware of the requirements of California Labor Code Sections 1720 et seq. and 1770 et seq. as well as California Code of Regulations, Title 8, Section 16000 et seq. (“PREVAILING WAGE LAWS”), which require the payment of prevailing wage rates and the performance of other requirements on certain “public works” and “maintenance” projects. The undersigned further certifies under penalty of perjury that the records or copies thereof submitted are the originals or true, full and correct copies of the originals which depict the payroll record(s) of the actual disbursements by way of cash, check, direct deposit or whatever form to the individual or individuals named. The undersigned have read, signed and submitted to the County of San Bernardino Community Development and Housing (CDH) the E-Signature Authorization form and have established Personal Identification Number (PIN), for CDH’s Online Certified Payroll System.

THE UNDERSIGNED IS A (OWNER, PARTNER, OFFICER, DESIGNEE) WITH THE AUTHORITY TO ACT FOR

AND ON BEHALF OF THE ABOVE NAMED CONTRACTOR DESIGNATE THE FOLLOWING PERSON(S) AS THE “AUTHORIZED PAYROLL OFFICER” AND IS HEREBY AUTHORIZED TO SIGN THE STATEMENT OF

COMPLIANCE WHICH WILL ACCOMPANY EACH WEEKLY CERTIFIED PAYROLL REPORT FOR THE ABOVE PROJECT.
__________________________________________________
Authorized Payroll Officer Date
Authorized Payroll Officer Date

Print Name of Authorized E-Signature Signer Title Date
Created 3/12 – Revised 02/2022
Project Name
Project Address:

Company Name:

Community Development and Housing Department
SAMPLE 718

Community Development and Housing Department
LABOR LAW REQUIREMENTS – (ONE-TIME FORM)
PLEASE CHECK ONE OF THE FOLLOWING: PRIME CONTRACTOR SUBCONTRACTOR SUB-TIER The FEDERAL AND STATE LABOR LAW REQUIREMENTS applicable to the contract are composed of, but not limited to, the following:

Payment of Prevailing Wage Rates
The contractor to whom the contract is awarded and its subcontractors hired for the public works project are required to pay not less than the specified general prevailing wage rates to all workers employed in the execution of the contract.

Labor Code Section 1770 et seq.

The contractor is responsible for ascertaining and complying with all current general prevailing wage rates for crafts and any rate changes that occur during the life of the contract. Information on all prevailing wage rates and all rate changes are to be posted at the job site for all workers to view. Additionally, current wage rate information can be found at the DLSR web site, www.dir.ca.gov/dlsr/statistics_research.html.

Apprentices
It is the duty of the contractor and subcontractors to employ registered apprentices on the public works project and to comply with all aspects of Labor Code Section 1777.5, relating to Apprentices on public Works. (1) Notify approved apprenticeship programs of contract award; (2) employ apprentices; (3) pay training fund contributions.

Penalties
There are penalties required for contractor’s/subcontractor’s failure to pay prevailing wages and for failure to employ apprentices, including forfeitures and debarment under Labor Code Sections 1775; 1776; 1777.1; 1777.7 and 1813.

Certified Payroll Reports
Under Labor Code Section 1776, contractors and subcontractors are required to keep accurate payroll records showing the name, address, social security number and work classification of each employee and owner performing work; also the straight time and overtime hours worked each day for each week, the fringe benefits, and, the actual per diem wage paid to each owner, journey person, apprentice worker or other employee hired in connection with the public works project.

This requirement includes and applies to all subcontractors performing work on Awarding Body projects even if their portion of the work is less than one half of one percent (0.05%) of the total amount of the contract.

The certified payroll records shall contain the same data fields listed on the Public Works Payroll Reporting Form (A-1- 131) and contain or is accompanied by a declaration made under penalty of perjury. (California Code of Regulations, Section 16401).

Prime Contractors are responsible for submittal of their payrolls and those of their respective subcontractors as one package. Any payroll not submitted in the proper form will be rejected. In the event that there has been no work performed during a given week, the Certified payroll report shall be annotated: “No work” for that week or a Non-performance Statement must be submitted.

Employee payroll records shall be certified and shall be made available for inspection at all reasonable hours at the principal office of the contractor/subcontractor, or shall be furnished to any employee, or his/her authorized representative on request, pursuant to Labor Code Section 1776.

Project Name:

Project Address:

Contractor (Company) Name:

SAMPLE 719

Community Development and Housing Department
Under Labor Code Section 1776(g) there are penalties required for contractor’s/subcontractor’s failure to maintain and submit copies of certified payroll records on request.

Nondiscrimination in Employment
There exist prohibitions against employment discrimination under Labor Code Sections 1735 and 1777.6, the Government Code, the Public Contracts Code, and Title VII of the Civil Rights Act of 1964.

Kickbacks Prohibited
Contractors and subcontractors are prohibited from recapturing wages illegally by accepting or extracting “kickbacks” from employee wages under Labor Code Section 1778.

Acceptance of Fees Prohibited
There exists a prohibition against contractor/subcontractor acceptance of fees for registering any person for public work under Labor Code Section 1779; or for filling work orders on public works contracts pursuant to Labor Code Section 1780.

Listing of Subcontractors
All prime contractors are required to list properly all subcontractors hired to perform work on the public works projects covering more than one-half of one percent, pursuant to Government Code Section 4104.

Proper Licensing
Contractors are required to be licensed properly and to require that all subcontractors be properly licensed. Penalties are required for employing workers while unlicensed under Labor Code Section 1021 and under the California Contractor License Law found at Business and Professions Code Section 7000 et seq.

Unfair Competition Prohibited
Contractors and sub-contractors are prohibited from engaging in unfair competition as specified under Business and Professions Code Sections 17200 to 17208.

Workers Compensation Insurance
Labor Code Section 1861 requires that contractors and subcontractors be insured properly for Workers Compensation.

OSHA
Contractors and subcontractors are required to abide by the Occupational, Safety and Health laws and regulations that apply to the particular construction project.

Proof of Eligibility/Citizenship
The federal prohibition against hiring undocumented workers, and the requirement to secure proof of eligibility/citizenship from all workers, is required.

Itemized Wage Statement
Labor Code Section 226 requires that employees be provided with itemized wage statements.

CERTIFICATION
I acknowledge that I have been informed and am aware of the foregoing requirements and that I am authorized to make this certification on behalf of the above named contractor. I fully understand that failure to comply with any of the above requirements may subject me, or my company, to penalties as provided above. ___________________________________________ _____________________ __________________ Print Name of Authorized E-Signature Signer Title Date
SAMPLE 720
________________________
CONTRACTOR’S CERTIFICATION OF COMPLIANCE WITH DAVIS-BACON AND

RELATED ACTS REQUIREMENTS
(LCF DB16‐2.0)
As the undersigned Contractor, Prime/Subcontractor/Sub-Tier, (Subcontractor/Sub-Tier having executed a contract with the above named contractor on the above referenced project), hereby make the following certification and acknowledgment with respect to the applicability of “DAVIS-BACON AND RELATED ACTS” requirements:
1) By entering into this contract I certify and acknowledge that the above referenced project is federally funded, as the Prime Contractor, I am solely responsible, or as the Subcontractor/Sub-Tier contractor I am responsible, for complying with the “DAVIS-BACON AND RELATED ACTS” requirements; and 2) I am required to pay laborers and mechanics employed a wage not less than the highest wage applicable to their work classifications. If no federal work classification appears to apply to the employee duties, the Subcontractor/Sub-Tier shall make a written request to the Prime contractor to obtain the applicable work classification and wage rate prior to the start of construction. The Prime Contractor shall forward Subcontractor/Sub-Tier request and shall also make a written request to the County of San Bernardino to obtain the applicable work classification and wage rate prior to the start of construction. The Prime Contractor is solely responsible for ensuring that all Subcontractors/Sub-Tier are in compliance with the “ DAVIS-BACON AND RELATED ACTS” requirements.
3) I have read and understand the “LABOR COMPLIANCE CONTRACT ADDENDUM” including the applicable Wage Determination(s) for the above referenced project. I acknowledge the receipt and adherence to following provisions set forth in the “FEDERAL LABOR STANDARDS PROVISIONS” before participation on this project.
4) I will include the “LABOR COMPLIANCE CONTRACT ADDENDUM” including the applicable Wage Determination(s) for the above referenced project in any subcontracts/lower tier subcontracts/purchase orders executed. I will forward to Prime Contractor a copy of all executed sub- tier contracts/purchase orders to any lower tier subcontractors within seven (7) days of the execution date. _____________________________________________________
Print Name of Authorized E-Signature Signer Title
________________
Date
LCF DB16‐2.0 Created 3/12 – Revised 2/2022
Project Name:

Project Address:

Company Name:

Community Development and Housing Department
SAMPLE 721
LCF 16-1.3 Created 3-12 – Revised 2/2022

FRINGE BENEFIT STATEMENT
(LCF 16-1.3)
Project Name
Project Address:

Company Name:

Use this form to identify those bona fide Fringe Benefit Plan(s) in which your employees are participating. List all third-party plans, funds or trustees to which your firm makes fringe benefit payments in the interest of your employees. Provide an hourly equivalent of each fringe type (in dollars) below. Payrolls will be monitored to ensure the proper Fringe Benefit rates are being paid. Additional documentation may be required if paying.

Specify the fringe benefit hourly amount along with the name, address and contact name/ phone number.

Classification: Effective Date: Subsistence or Travel Pay $:

Fringe Benefit Hourly Amount: Name, Address and Contact Information of Plan, Fund or Program Health & Welfare $: Name:

Address:

Phone#:

Pension $: Name:

Address:

Phone#:

Vacation/ Holiday $: Name:

Address:

Phone#:

Apprentice/ Training $: Name:

Address:

Phone#:

Other $:

Specify:

Name:

Address:

Phone#:

Classification: Effective Date: Subsistence or Travel Pay $:

Fringe Benefit Hourly Amount: Name, Address and Contact Information of Plan, Fund or Program Health & Welfare $: Name:

Address:

Phone#:

Pension $: Name:

Address:

Phone#:

Vacation/ Holiday $: Name:

Address:

Phone#:

Apprentice/ Training $: Name:

Address:

Phone#:

Other $:

Specify:

Name:

Address:

Phone#:

All Fringes Paid in Cash
I certify under penalty of perjury that I have read and understand the instructions for completing the fringe benefit statement clauses pertaining to this project; and that Fringe Benefits are paid to the approved plans, funds, programs or employees as listed above; and during the progress of work on above project should a change in plan or rate of any of the classifications be made supplemental statements will be submitted precipitously.

Print Name (Authorized E-SignatureSigner) Title Date
Community Development and Housing Department
SAMPLE 722
LCF 16-1.3 Created 3-12 – Revised 2/2022

FRINGE BENEFIT STATEMENT INSTRUCTIONS
The Fringe Benefit Statement must be submitted by each contractor and subcontractor with the first certified payroll report. The form details the fringe benefit contributions and indicates whether these payments are paid to employees in cash or made to a third party trust fund. Supplemental statements must be submitted during the progress of the work should there be an increase or change in rates. Classification: Include all Trades/Classifications of employees that your company will use on the project, including apprentices. Do not list each employee by name. Please provide group number when applicable. For apprentices, please list the period levels.

Classification: List each craft(s) of employee(s) that you have working on the Project.

Effective Date: The date of the wage determination for the project.

Subsistence or Travel Pay: The amount shown in the wage decision of the craft of workers that require subsistence or travel at the Project location. If your company will be required to pay this fringe benefit insert the per diem amount within this section.

Fringe Benefit Hourly Amount: The amount of fringe benefits that are paid by craft. If any monies are paid on behalf of the employees they must be authorized in writing. All methods of payment must be shown on the form. Next to each listed Fringe Benefit, indicate the hourly rates for payments made to employees on the various classifications of work.

Do not include amounts that are paid directly by the employee.

Name, Address and Contact Information of Plan, Fund, or Program Paid To: Insert the name, address and phone# of the Plan, Fund or Program where the monies are being paid. If the benefit amount is to be paid directly to the employee, indicate Paid to Employee. Do not list each employee by name. Note: If you do not make your fringe benefit payments to the local union trust fund you may still claim your own benefit program paid on behalf of your employees, as long as the amounts do not exceed the total amount shown on the Department of Industrial Relations Wage Decision that is posted on their website. If the difference in the amount of your program is less than the amount shown in the wage determination then the difference must be paid to the employee as part as the basic wage rate. Remember that any Pension Fund payments must be irrevocably paid to a “Third Party Trust”. All fringe benefits must be irrevocably paid to an authorized Plan, Fund, Program or to the employee.

Please note that training fund contributions cannot be paid directly to employees (Check DIR website for exceptions) and must be paid to the California Apprentice Council (CAC) or to an approved fund such as a union trust fund. Note: A worker’s title or status with the employer is not determinative of an individual’s coverage by the prevailing wage laws.

What is determinative is whether the duties performed by the individual on the public works project constitute covered work. An individual who performs skilled or unskilled labor on a public works project is entitled to be paid the applicable prevailing wage rate for the time the work is performed, regardless of whether the individual holds a particular status such as partner, owner, owner-operator, independent contractor or sole proprietor, or holds a particular title with the employer such as president, vice-president, superintendent or foreman (Department of Industrial Relations (DIR) Public Works Manual).

Community Development and Housing Department
SAMPLE 723
LCF 16-1.3 Created 3-12 – Revised 02/2022
VACATION PLAN/PAID HOLIDAY DOCUMENTATION: CDH may require copies of your company’s policy for employer paid vacation and holidays. For vacation, if requested please explain how you track the vacation hours for each employee. Additionally if requested, please submit copies of monthly reports or statements from the bank/fund depository showing that the plan and vacation amounts are available for theworkers.

HEALTH AND WELFARE DOCUMENTATION: CDH may require copies of the plan documentation indicating monthly or quarterly billings for the covered benefits (and delineating all benefits per worker), as well as statements and copies of checks transmitted by your company to the trust fund or plan for these benefits.

PENSION PLAN DOCUMENTATION: CDH may require copies of the plan documentation from the Plan Administrator including the plan summary, account balances, monthly or quarterly transmittals into the account and copies of checks transmitted by your company as payments into the accounts.

TRAINING DOCUMENTATION: Please submit copies of the Apprentice/Training Certification Letter from your Federally Registered Program Sponsors. The apprenticeship program must be registered with the Department of Labor (DOL), Office of Apprenticeship. Include level, step or period of the apprentice; apprentice’s wage scale and ratio information. A training or apprentice wage can be paid only if the trainee is registered in a DOL approved apprenticeship or training program or with a State Apprenticeship Agency recognized by DOL. Otherwise, the individual is to be paid the DavisBacon and Related Acts (DBRA) prevailing wage rate for the classification of work that they are performing regardless of their skill level. (Federal regulations DO NOT REQUIRE the employment of apprentices on federally funded projects) OTHER DOCUMENTATION: CDH may require copies of explanation, monthly reports or statements and plan documentation from the Plan Administrator for all “OTHER” company paid plan(s). The implementing agency will verify plan(s) for employer to receive credit.

If your company does not operate under a collective bargaining agreement or contribute based on an hourly amount; you may use the following formulas to compute hourly benefits. Please be advised that examples are provided only to demonstrate how the formulas are used.

Annual Calculation: The annual calculation is based on 2080 hours per year (40hrs x 52 weeks per year) Formula: Employee’s Basic Hourly Rate x Number of Benefit Hours (8 Hrs a Day x Number of Days) divided by 2080 Hours.

Example: At $20/Hr, with 80 vacation hours a year, the hourly rate would calculate as follows:
$20 X 80 Hrs = $1,600 divided by 2,080 hours per year = $.77 Fringe Benefit Hourly Amount: $.77
Monthly Calculation: The monthly calculation factor 173.33 is based on 2080 hours per year divided by 12 months.

Formula: Monthly Benefit Plan Contribution divided by 173.33 Example: If employer pays $200/month for a medical benefit, the monthly hourly rate calculates as follows:

A monthly plan contribution of $200 divided by 173.33 = $1.15 Community Development and Housing Department
SAMPLE 724

PROJECT WAGE RATE SHEET
(LCF-16-1.1)
Project Name:

Project Address:

Company Name:

TYPE OF WAGE: DAVIS BACON APPRENTICE CLASSIFICATION
DAVIS BACON WAGE (DB) DECISION NUMBER/MODIFICATION NUMBER:

When completing form enter ONLY the DB Wage Decision Rates provided in the pre-con packet. Contractors employing apprentices on the project MUST complete a Project Wage Rate Sheet, be sure to list all available apprentice period/levels on form. For Apprentice rates, please forward to CDH a copy of the Appendix A and copy of the rate sheet with this form. All documents must be uploaded onto the applicable edocument type in LCPtracker.

Print Name of Authorized E-Signature signer Title Date
************************************************CDH USE ONLY************************************************ Rates confirmed: Apprentice Rate Request- Appendix A uploaded in LCP Tracker Created 3/12 – Revised 02/2022
Department of Labor Wage /Apprentice Classification
(For DB rate use classification as it appears on the DB decission) Base Rate: Fringe Benefit: Total Rate:

Community Development and Housing Department
SAMPLE 725

PUBLIC WORKS CONTRACT AWARD INFORMATION
Contract award information must be sent to your Apprenticeship Committee if you are approved to train. If you are not approved to train, you must send the information (which may be this form) to ALL applicable Apprenticeship Committees in your craft or trade in the area of the site of the public work. Go to: http://www.dir.ca.gov/databases/das/pwaddrstart.asp for information about programs in your area and trade. You may also consult your local Division of Apprenticeship Standards (DAS) office whose telephone number may be found in your local directory under California, State of, Industrial Relations, Division of Apprenticeship Standards.

Do not send this form to the Division of Apprenticeship Standards. NAME OF YOUR COMPANY CONTRACTOR'S STATE LICENSE NO MAILING ADDRESS- NUMBER & STREET, CITY, ZIP CODE AREA CODE & TELEPHONE NO.

NAME & ADDRESS OF PUBLIC WORKS PROJECT DATE YOUR CONTRACT EXECUTED

DATE OF EXPECTED OR ACTUAL START OF PROJECT

NAME & ADDRESS OF PUBLIC AGENCY AWARDING CONTRACT ESTIMATED NUMBER OF JOURNEYMEN HOURS

OCCUPATION OF APPRENTICE
THIS FORM IS BEING SENT TO: (NAME & ADDRESS OF APPRENTICESHIP PROGRAM(S)) ESTIMATED NUMBER OF APPRENTICE HOURS

APPROXIMATE DATES TO BE EMPLOYED
This is not a request for dispatch of apprentices.

Contractors must make a separate request for actual dispatch, in accordance with Section 230.1(a) California Code of Regulations Check One Of The Boxes Below

1. We are already approved to train apprentices by the
Apprenticeship Committee. We will employ and train under their Standards. Enter name of the Committee

2. We will comply with the standards of
Apprenticeship Committee for the duration of this job only. Enter name of the Committee

3. We will employ and train apprentices in accordance with the California Apprenticeship Council regulations, including § 230.1 (c) which requires that apprentices employed on public projects can only be assigned to perform work of the craft or trade to which the apprentice is registered and that the apprentices must at all times work with or under the direct supervision of journeyman/men.

Signature Date
Typed Name
Title
State of California - Department of Industrial Relations DIVISION DAS 140 (REV. 1/04) OF APPRENTICESHIP STANDARDS
SAMPLE 726
Explanation to box 1 ‐ 3 on form DAS 140
•     Box 1 is for contractors who are already approved to train by an apprenticeship program (signatory/member).
•     Box 2 indicates that a contractor is willing to comply with a program's Standards for the current project only. This generally means that the fringe benefits and the training funds will be paid to that Committee's Trust Fund. It also allows a contractor to take advantage of a more generous maximum ratio than the CAC Standards, but does not affect the minimum ratio of 1 apprentice hour for every 5 journeyman hours.
•     Box 3 means that a contractor will be governed by the regulations of the California Apprenticeship Council. Generally this means that the minimum and maximum ratio for apprentices is the same – 1 apprentice hour for every 5 journeyman hours per each craft, totaled at the end of the project. It also means the Training Fund Contribution is usually paid to the California Apprenticeship Council.

SAMPLE 727
REQUEST FOR DISPATCH OF AN APPRENTICE – DAS 142 FORM

DO NOT SEND THIS FORM TO DAS
You may use this form to request dispatch of an apprentice from the Apprenticeship Committee in the craft or trade in the area of the public work. Go to: http://www.dir.ca.gov/databases/das/pwaddrstart.asp for information about programs in your area and trade. You may also consult your local Division Apprenticeship Standards (DAS) office whose telephone number may be found in your local directory under California, State of, Industrial Relations, Division of Apprenticeship Standards. Except for projects with less than 40 hours of journeyworkers work, you must request and employ apprentices in no less than 8 hour increments.

List one occupation/craft per form
Date:
_____________________

To Applicable Apprenticeship Committee:

Name:

Address:

Tel. No. Fax No.

Contractor Requesting Dispatch:

Name:

Address:

License No.

PWC Registration Number:

Tel. No. Fax No.

Project Information: PWC Project Number _________________ Contract Number __________________________ Total Contract Amount. _____________________________ Sub-Contract Amount ___________________________ Name ofthe Project:

Address:

Dispatch Request Information:

Number of Apprentice(s) Needed: Craft or Trade:

Date Apprentice(s) to Report: (72 hrs. notice required) Timeto Report:

Name of Person to Reportto:

Address to Reportto:

You may use this form to make your written request for the dispatch of an apprentice. Requests for dispatch must be in writing and submitted at least 72 hours in advance (excluding weekends and holidays) via first class mail, fax or email. Proof of submission may be required. Please take note of California Code of Regulations, Title 8, § 230.1 (a) for all applicable requirements regarding apprenticeship requests and/or
visit https://www.dir.ca.gov/das/PublicWorksForms.htm
DAS 142 (Revised 10/18)
SAMPLE 728

________________________
Community Development and Housing Department
SECTION 3 ACTION AND OUTCOME PLAN
(LCF DB16-2.5)
Project Name
Project Code:

Company Name:

Contractor must complete and submit this form FOLLOWING the completion of the SECTION 3 RESOURCE PARTICIPATION CERTIFICATE. Contractor must provide information in EACH of the following sections and may attach additional sheets.

Action – Outcome: Section 3 Businesses
• Contractor will subcontract all or a portion of the work on this project: Yes No • Contractor must describe outreach effort(s) (action) and the results (Outcome) taken to provide opportunities to qualified Section 3 Businesses:

Action (Describe): Outcome(Summarize results of the actions taken):

Action – Outcome: Section 3 Residents
• Contractor will hire new personnel for all or a portion of the work on this project: Yes No • Contractor must describe outreach effort(s) (action) and the results (Outcome) taken to employ Section 3 Workers/Targeted Workers:

Action (Describe): Outcome(Summarize the results ):

Non-Construction Employment: Identify any new employees the Contractor has hired for Non-Construction jobs for this project.

Example Non-Construction Job Classifications: Office/Clerical – Technical – Professional Employee Name: Section 3 Resident: Yes/ No Date of Hire: Job Classification:

Contractor Certifications

1. Contractor has received a copy of San Bernardino County Section 3 Plan and the 24 CFR Part 75 regulations.

2. Contractor shall include the Labor Compliance Contract Addendum (LCCA - which includes the24 CFR Part 75 regulations) in all of Contractor’sexecuted Subcontractor contracts for this Project.

3. Contractor shall comply with the County’s Section 3 Plan, and this Contractor’s Section 3 Outreach Efforts and Outcome Plan.

4. Contractor will, to the greatest extent feasible, comply with the numerical Section 3 benchmarks set forth in the County’s Section 3 Plan for this project or subcontracting any of the work on this project.

5. Contractor will complete the HUD Section 3 Information tab on all employees (new and current) in LCPtracker.

I hereby declare under penalty of perjury in the State of California that the above information and statements contained in the Contractor’s Section 3 Action and Outcome Plan are true and correct. ________________________________________________________________________________ ________________________ Print Name of Authorized E-Signature Signer Title Date
Created 3/12 – Revised 02/22
SAMPLE 729
________________________
Community Development and Housing Department
SECTION 3 RESOURCE PARTICIPATION CERTIFICATE
(LCF DB16-2.4)
The undersigned certifies that the company principal(s), and any authorized personnel have read the County’s Section 3 Plan and will contact the Housing Authority of the County of San Bernardino (HACSB) and the County of San Bernardino Workforce Development Department (WDD). After contacting and receiving information from HACSB and WDD, the Contractor and HACSB and WDD must sign and date their signature block section of this form. **PLEASE ALLOW 72 HOURS TO RESPOND TIME**
Housing Authority of the County of San Bernardino
CONTACT INFORMATION:

Contractor has contacted the Housing Authority of the County of San Bernardino and has received information to participate in the practicable opportunity for Business and Employment Services including Section 3 business/ residents to participate in the construction of the project.

I hereby declare under penalty of perjury in the State of California that the above information and statements contained are true and correct.

HOUSING AUTHORITY SIGNATURE DATE
Comments:

Workforce Development Department
CONTACT INFORMATION: WDD - Curtis Compton (909)948-6625 [email protected] Contractor has contacted the County of San Bernardino Workforce Development Department and has received information to participate in the practicable opportunity for Business and Employment Services including Section 3 business/residents to participate in the construction of the project.

I hereby declare under penalty of perjury in the State of California that the above information and statements contained are true and correct.

WORKFORCE DEVELOPMENT SIGNATURE DATE
Comments
_________________________________________________________________ _________________________ Print Name of Authorized E-Signature Signer Title Date
Created 3/12 – Revised 02/2022
Project Name:

Project Code:

Company Name:

Telephone Number:

SAMPLE
Evan Miles (909) 890-5374 [email protected]
730
Community Development and Housing
SECTION 3 FORMS INSTRUCTIONS
(LCF DB16-2.4)
INTRODUCTION:

Employment opportunities for business and lower income persons in connection with assisted projects. Section 3 applies to housing rehabilitation, housing construction, and other public construction projects that exceed $200,000 or more of housing and community development financial assistance from one or more Housing and Urban Department (HUD) programs.

The County of San Bernardino Community Development and Housing Department (CDH) is the recipient of HUD financial assistance for public housing and housing as well as community development activities. These programs require compliance with Section 3 of the Housing and Urban Development Act of 1968. Section 3 requires that employment and other economic opportunities be directed toward low and extremely lowincome persons, particularly those who are recipients of federal assistance for housing, and to business concerns that employ these qualifying residents.

The Section 3 Plan handbook is provided as a guide to understand Section 3 County plan, and the business and employment goals related to this project. It is intended to assist contractors in complying with Section 3 requirements, but does not supersede the contract provisions.

SECTION 3 RESOURCE PARTICIPATION CERTIFICATE:
• Complete the information section at the top of the form. • Contact the Housing Authority of the County of San Bernardino (HACSB) • Complete an informational resource meeting with the HACSB • HACSB signs and dates their signature block section
• Contact the Workforce Development Department (WDD)
• Complete an informational resource meeting with WDD
• WDD signs and dates their signature block section
• Contractor signs and dates their signature block section • Contractor uploads document into LCPtracker
CONTRACTOR’S SECTION 3 ACTION AND OUTCOME PLAN:
• Complete the information section at the top of the form • List any “Action” (contractor) implemented for outreach to hire Section 3 Businesses • List any “Outcome” from the (contractor’s) outreach to Section 3 Businesses. • List any “Action” (contractor) implemented for outreach to employ Section 3Residents • List any “Outcome” from the (contractor’s) outreach to Section 3 residents • List any “Non-Construction Employment” (New Hires) for the project • Read “Contractor Certifications”
• Contractor signs and dates at bottom of page.
• Contractor uploads document into LCPtracker.

Created 3/12 – Revised 02/2022
731
SECTION 3 BUSINESS CERTIFICATION
Name of Business:

Address:

City: State: Zip Code:

Name of Business Owner:

Phone Number(s):

E‐Mail Address:

Name of Preferred Contact:

Phone Number of Preferred
Contact (if different from above):

Type of Business: Sole Proprietorship  Partnership  Corporation  Joint Venture  Certification Regarding Status as a Section 3 Business Concern The undersigned certifies that the company principal(s), and any authorized personnel have read the County’s Section 3 Plan. Before contract award, business must submit additional documentation to verify Section 3 eligibility and demonstrate capability. For further information regarding Section 3 Business Concern can be found at 24 CFR 75.5
“Section 3 Business Concern” means a business wherein (mark one):

At least 51% or more owned and controlled by low-or very-low income person (Refer to income guidelines found on page 2); or
At least 51% of the business is owned and controlled by current public housing residents or residents who currently live in Section 8-assisted housing; or
At least 75% of labor hours performed for the business over a the prior three-month period are performed by Section 3 workers.

Owner hereby declares under penalty of perjury in the State of California that the foregoing declaration of “Section 3 Business Certification” is true and correct.

OWNER SIGNATURE TITLE

PRINT NAME DATE
Community Development and Housing Department
EXHIBIT: I-1
SAMPLE 732
SECTION 3 Worker/Targeted Worker Eligibility Form
Company Name:

Employee Name:

Employee Address: City:

State: Zip Code:

Date of Hire: Phone Number:

The purpose of HUD’s Section 3 program is to provide employment, training and contracting opportunities to low-income individuals, particularly those who are recipients of government assistance for housing or other public assistance programs. Your response is voluntary, confidential, and has no effect on your employment.

A Section 3 worker seeking certification shall self-certify and submit this form to the recipient contractor or subcontractor, that the person is a Section 3 worker or Targeted Section 3 Workers as defined in 24 CFR Part 75.

Section 3 Worker eligibility qualification:

Individual Income for the previous or annualized calendar year is below the income limits established by HUD for the area where you currently reside.

Individual Income
Less than $10,000 $10,001 - $20,000 $20,001 -
$30,000 $30,001 - $40,000
$40,001 - $50,000 $50,001 - $60,000 $60,001 -
$70,000 More than $70,001
I am currently employed by a Section 3 business concern.

I am a Youthbuild participant (Section 3 Target Worker eligibility).

Section 3 Targeted Worker eligibility qualifications:

Currently Employed by a Section 3 business concern
Currently fits or when hired meets at least one of the following categories, as documented within the past five years:

Living within the service area or the neighborhood of the project; or I am a Youthbuild participant.

I affirm that the information on this form is true, complete, and correct to the best of my knowledge and belief.

I hereby certify, under penalty of law, that the following information is correct to the best of my knowledge.

SIGNATURE DATE

PRINT NAME

FOR EMPLOYER ADMINISTRATIVE USE ONLY
Is the employee a Section 3 worker based upon their self-certification? □ Y ES □ NO Is the employee a Targeted Section 3 worker based upon their self-certification? □ YES □ NO Was this an applicant who was hired as a result of the Section 3 project? □ YES □ NO EMPLOYERS MUST RETAIN THIS FORM IN THEIR SECTION 3 COMPLIANCE FILE FOR FIVE YEARS Community Development and Housing Department
SAMPLE 733
Community Development and Housing
SECTION 3 CUMULATIVE REPORT
Section 3 Reporting:

Total number of hours estimated/worked:

Total number of labor hours estimated/worked by Section 3 Worker:

Total number of labor hours estimated/worked by Section 3 Targeted worker:

Section 3 Benchmarks:
1) Section 3 Labor Hours/Total Labor Hours = 25%
And
2) Targeted Section 3 Laborer Hours/Total Labor Hours = 5% Initial Submission Report Progress/Final Report
☐ The qualitative activities mark below will be pursued in effort to meet Section 3 requirements:
☐ If Section 3 benchmarks were NOT met, mark all qualitative activities pursued to meet Section 3 requirements:
☐ Engaged in outreach efforts to generate job applicants who are Targeted Section 3 workers.
☐ Provided training or apprenticeship opportunities.
☐ Provided technical assistance to help Section 3 workers compete for jobs (e.g., resume assistance, coaching).
☐ Provided or connected Section 3 workers with assistance in seeking employment including: drafting resumes, preparing for interviews, and finding job opportunities connecting residents to job placement services.
☐ Held one or more job fairs.
☐ Provided or referred Section 3 workers to services supporting work readiness and retention (e.g., work readiness activities, interview clothing, test fees, transportation, child care).
☐ Provided assistance to apply for/or attend community college, a fouryear educational institution, or vocational/ technical training. ☐ Assisted Section 3 workers to obtain financial literacy training and/or coaching.
☐ Engaged in outreach efforts to identify and secure bids from Section 3 business concerns.
☐ Provided technical assistance to help Section 3 business concerns understand and bid on contracts.
☐ Divided contracts into smaller jobs to facilitate participation by Section 3 business concerns.
☐ Provided bonding assistance, guaranties, or other efforts to support viable bids from Section 3 business concerns.
☐ Promoted use of business registries designed to create opportunities for disadvantaged and small businesses.
☐ Outreach, engagement, or referrals with the state one-stop system as defined in Section 121(e)(2) of the Workforce Innovation and Opportunity Act.
☐ Engaged in outreach efforts to generate job applicants who are Targeted Section 3 workers.
☐ Provided training or apprenticeship opportunities.
☐ Provided technical assistance to help Section 3 workers compete for jobs (e.g., resume assistance, coaching).
☐ Provided or connected Section 3 workers with assistance in seeking employment including: drafting resumes, preparing for interviews, and finding job opportunities connecting residents to job placement services. ☐ Held one or more job fairs.
☐ Provided or referred Section 3 workers to services supporting work readiness and retention (e.g., work readiness activities, interview clothing, test fees, transportation, child care).
☐ Provided assistance to apply for/or attend community college, a fouryear educational institution, or vocational/ technical training. ☐ Assisted Section 3 workers to obtain financial literacy training and/or coaching.
☐ Engaged in outreach efforts to identify and secure bids from Section 3 business concerns.
☐ Provided technical assistance to help Section 3 business concerns understand and bid on contracts.
☐ Divided contracts into smaller jobs to facilitate participation by Section 3 business concerns.
☐ Provided bonding assistance, guaranties, or other efforts to support viable bids from Section 3 business concerns.
☐ Promoted use of business registries designed to create opportunities for disadvantaged and small businesses.
☐ Outreach, engagement, or referrals with the state one-stop system as defined in Section 121(e)(2) of the Workforce Innovation and Opportunity Act.

I affirm that we have made/will make best efforts to follow the prioritization of efforts requirements as follows 1) Section 3 workers residing within the services area of the neighborhood of the project, and 2) Participated in Youthbuild program. I hereby certify, under penalty of law, that the above statement is correct to the best of my knowledge.

Signature: Date
Print Name:

LCF DB 16-2.8
Company Name:

Address: City:

State: Zip Code:
☐ Initial Report
☐ Progress Report Reporting Period:
☐ Final Report
SAMPLE
Project Name:
734
_________________________

AUTHORIZATION FOR PAYROLL DEDUCTION(S)
Form MUST be signed by the EMPLOYEE who has "OTHER/GARNISH" deduction(s) subtracted from his/her payroll check.

Deduction types include: Alimony, Child Support, other Court-Ordered Deductions or Garnishments, Training, Uniforms, 401K, Loans, Advance Paybacks, or Voluntary Insurance, etc. This form is to be submitted BEFORE the first Certified Payroll Report (CPR) reflecting the deduction(s). SUPPORTING DOCUMENTATION for “Other/Garnish” deductions may be required, as requested.

Deduction Type: Explanation for Deduction(s): Weekly Amount:

I THE ABOVE NAMED EMPLOYEE, HEREBY AUTHORIZE THE ABOVE NAMED CONTRACTOR TO MAKE THE ABOVE LISTED DEDUCTION(S) FROM MY PAYROLL CHECK. IT IS UNDERSTOOD THAT THESE DEDUCTIONS ARE IN THE

INTEREST OF THE EMPLOYEE AND NOT A CONDITION OF EMPLOYMENT, OR A DIRECT OR INDIRECT FINANCIAL BENEFIT ACCRUING TO THE EMPLOYER, AND NOT FORBIDDEN BY LAW. __________________________________________________________ ______________________ Employee Signature Date
____________________________________________________________ _______________ Company Name/Name of Authorized E-Signature Signer Title Date COMPLETE ONE (1) FORM PER EMPLOYEE.

LCF 16‐1.4 Created 3/12 – Revised 8/22
Project Name:

Project Code:

Company Name:

Employee Name:

Last 4 digits of Social
Security:

Community Development and Housing Department
Clear form
SAMPLE 735
TRAlNlNG FUND

CONTRIBUTIONS
California Apprenticeship
Council
Please Mail this form and your check payable to the
California Apprenticeship Council to:

State of California
Department of Industrial Relations
California Apprenticeship Council
P.O. Box 511283
Los Angeles, CA 90051-7838
Report Period: Dates
Contract/Project No: DIR Project #
Jobsite: Jobsite name #1
Remittance for the Following Projects
COUNTY

SAN BERNARDINO

CLASSIFICATION

CARPENTERS
Submitter Contact Information
Submitter's name
Name of submitter
Generated: 1/8/2021
Submitter's title
Submitter Title
HOURS

28.00 Transaction JD:

Total Amount:

XXXXXX
$00.00
Contractor License: XXXXXX
Contractor's Name & Address:

Company name
Address 1
City, State Zip Code

CONTRIB
RATE
UTION
$0.62
Email address Phone#
Email address Phone #

AMOUNT SAMPLE
$17.36
736
12/30/2020 eCPR Form Application
https://efiling.dir.ca.gov/eCPR/pages/eCPROnlineFormPreFill.jsp 1/1 Your payroll submission request has been processed.

Please review the results of your submission. Should you have any questions please contact the eCPR unit at [email protected].

Contractor Name: Name of Contractor.

Contractor Address: Contractor Address
City, CA Zip Code Awarding Body: Name of Awarding Body
Project ID: 123456
Contract With: Name of Prime Contractor
Week Ending Date: 2020-12-20
Payroll Number: 1
Amendment Number: 0
4 employee payroll record(s) processed
Your Transaction ID is: 100000000
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View your submission
Submit another set of payroll records
eCPR Online Confirmation
SAMPLE
737
- Insert -

DAVIS-BACON WAGE DETERMINATION
738