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 b usiness 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 low- income persons ( Section 3 workers and Targeted Section 3 workers) and to eligible businesses (Section 3 Business) and requires the same of its contractors.
Prime Contracto r, Subcontractor and every Sub -tier shall agree to do th e 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 cert ify 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 busi ness concerns as described in 24 CFR Part 75.
B. After completion of the project cont ractors, subcontractors and every Sub -tier will be required to certify that they have followed the prioritization of effort requirements. If the Safe Harbor bench mark 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 la bor hours worked by all workers on a Section 3 project are Section 3 workers; and
2. Five (5) percent or m ore 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 b e 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 tha t provide ec onomic opportunities to Section 3 workers residing within the metropolitan area (or non-metropolitan county)
in which assistance is located in the following order of priority (where feasible).
a. Section 3 business concerns that provide economic oppor tunities t o 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 Fo rm for qua lified 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 ind ividual income to determine eligibility. The inco me l imits will b e determined annual ly 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 financ ial assistance and housing and communit y 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-ti er 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 m ay seek Secti on 3 b usiness 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 low- income persons; or
2. At least 51 percent of the bus iness is own ed 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 collec t, a t 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 Sect ion 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.
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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 co mmunity development financial
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 requirements to
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 f inancial
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 1937 Act);
(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 Lead-
Based 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. 4851 et seq.). The project
is the site or sites together with any
building(s) and improvements located on
the site(s) that are 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 r equirements 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 n ot 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)) o r 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 entering into a
contract with:
(1) A recipient to pe rform 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 of paid
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 limited to,
lumber, drywall, wiring, concrete, pipes,
toilets, sinks, carpets, and office supplies.
Professional services means non-
construction services that require an
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advanced degree or professional licensing,
including, but not limited to, contracts for
legal services, financial consulting,
accounting services, environmental
assessment, architectural services, and
civil engineering services.
Public housing financial assistance
means assistance as defined in
§ 75.3(a)(1).
Public housing project is defined in 24
CFR 905.108.
Recipient means any entity that receives
directly from HUD public housing financial
assistance or housing and community
development a ssistance that 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 of 1968, 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 performed by
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 affected by
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 concerns are
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 t he 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 fewer than
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 that has
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 or for
a Section 3 project.
Subrecipient has the meaning provided
in the applicable program regulations 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 part is
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 rec eiving publ ic
housing financial assistance, and their
contractors a nd s ubcontractors, 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 m anaged 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 th eir 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 c ontractors 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 w orker 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 o ne of the
following categories, as do cumented
within the past five years:
(i) A resident of public housing or
Section 8-assisted housing;
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(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 t his 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 c onsist
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 l abor h ours. (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 wo rker 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 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 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 b enchmarks 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, 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-yea r
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 bi ds 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, 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 w ith
reporting requirements for the
applicable HUD program.
(d) Reporting by Small PHAs. Small
PHAs may elect not to report under
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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 with reporting
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 neigh borhood of
the project, and
(ii) Participants in YouthBuild
programs.
(b) Contracting. (1) To the greatest
extent feasible, and consistent with
existing Federal, state, and l ocal laws
and regulations, recipients covered by
this s ubpart shall ensure contracts f or
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, pr iority 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 for housing
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, as defined
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 y ears.
Such notice shall i nclude 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 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
§ 75.25(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 h ours. (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 of the
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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otherwise subject to requirements
specifying time and attendance
reporting.
(b) Additional reporting if Section 3
benchmarks are not m et. 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 as sistance 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 litera cy training a nd/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 p articipation by Section
3 business concerns.
(12) Provided b onding 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 incl ude 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—Provisio ns 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 foll ow either
subpart B or C of this part for the
housing a nd c ommunity 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 o ther
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 n umber of labor hou rs
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 w ith
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 t he 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 project-
based 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 project-
based Section 8-a ssisted housing, or the
administrator of tenant-based Section 8-
assisted housing that the w orker 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 Y outhBuild participant.
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(ii) For a worker to qua lify 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 encompass a
population of 5,000 people according to
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 w ith 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
which the 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; 42 U.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 WITH AIDS
■ 22. The authority citation for part 574
continues to read as follows:
Authority: 12 U.S.C. 1701x, 1701 x–1; 42 U.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).
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§ 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 by Section 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 Section 3
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)), or employment and contract
preference laws adopted by the
recipient’s tribe in accordance 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
AFFIRMATIVE ACTION COMPLIANCE GUIDELINES FOR
CONSTRUCTION AND NON-CONSTRUCTION
CONTRACTORS
AFFIRMATIVE ACTION COMPLIANCE
GUIDELINES FOR CONSTRUCTION AND
NON-CONSTRUCTION CONTRACTORS
These Affirmative Action Compliance Guidelines have been designed to pro vide Contractors with in formation necessary to comply with Federal regulati ons 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 t he Contractor without regard to race, color, sex, re ligion, nati onal origin, disabi lity, 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 Affirmati ve A ction 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) offic er for any ne cessary technical assistance in meeting Affirm ative 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 beca use of race, color, age, sex,
religion, national or igin, marital status, disability, or veteran’s status is inconsistent wit h the
constitution, laws, and policies of the United
States, State of California a nd San Bernardino
County.
2. The i mplementing entity is committed to e nsure
that there be no disc rimination 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 S tep Requirements for
CONSTRUCTION Contractors and Subcontractors:
1. Personnel affirmative action in recruitment, hiri ng, and promotion is required by Contractor and
Subcontractors who have entered into a federally
assisted construction or non-c onstruction contract
that exceed $10,000 or $10,000 in t he 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 e nsure equal empl oyment o pportunity.
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 Acti on Plan r equirements for N ON-
CONSTRUCTION Contractors:
1. All Contractors who h ave ent ered into a NON-
CONSTRUCTION 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 Affirmati ve Action Pr ogram
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 Affirma tive Acti on Pro gram 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. C ontracts 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. Affirma tive Action Plan requirements f or NON-
CONSTRUCTION Contractors can be met through the
following:
1. Completing a Contract Compliance Quali fying
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 Affirma tive Action
Policy, including met hods of recruiting minorities
and women. If the Contract or does not have i ts
own Affirmative Action Policy, it may adopt the
County's model Affirmati ve Action Policy ((refer to
the form found in the "Additional Required
Documents/Sample Documents" section of
Attachment "D" of the bid package).
3. Following Federa l Affirm ative Ac tion Plan
guidelines which comply with the req uirements of
41 CFR 60.2.10.
DEFINITIONS
Unless a provision of a contract otherwise requires, certain words and phrases shall be defined as follows:
A. “Af firmative Action” is a commitment t o i ncrease the number of minorities and women in the work forc e by
setting employment goals a nd timetables, including
action to achieve objectives. Affirmative Action seeks to ensure that discrimination is eliminated in dealings with employees or applicant s for employment whether
the discrimination is intentional or unintentional. In addition, A ffirmative 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. “Affirmat ive 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 exc eeds
$50,000, or $50,000 in contracts over a 12- month
period.
C. “C ontract” 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, whi ch would make one
of the parties within the definition a Contractor.
D. “C onstruction” means the co nstruction, rehabilitation, alteration, conversion, extension, demolition or repai r of buildings, highways or other change s 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 t he solicitation from which the contract resulted;
G. "Director" means Director, OFCCP, U.S . Dept. o f
Labor, or any person to whom the Director delegates
authority to;
H. “Employee” means on e wh o performs work for
compensation, or a person who is permanently or
regularly employed by the Contractor or
Subcontractor.
I. "Employer Identification Number " means the Feder al Social Security Number;
J. “Disa bility” means any individual who:
1. Has a p hysical or mental impairment, which
substantially limits one or more major life activit ies of such individual;
2. Has a record or such impairment or,
3. Is general ly reg arded as havi ng 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. H ispanic (all persons of M
exican, Puerto Rican,
Cuban, Central or South American or other
Spanish Culture or origin, regardless of race);
3. Asian or Pacific Is lander (all persons having
origins in any o f the o riginal peoples of the Far
East, Southeast Asia, the Indian subcontinent or
the Pacific Islands);
4. American India n or Alaskan native (all persons
having origins in a ny of the native peoples of
North America and maintaining identifiable tribal
affiliations throug h membership and participation
in community identification).
N. “Non-construction Contract” means any contract that does not fall within the definition of “Cons truction
Contract”.
O. “Officer” means the Contract Compliance Officer of
the implementing entity o r U.S. Department of Labor
Office of Federal Contract Co mpliance Program
(OFCCP) Officer.
P. “Persons” means any individual, firm, co-partnership, public servic e, joint venture, as sociation, social club, fraternal organization, corporatio n, est ate, tr ust
receiver, syndicate CITY, county, municipal
corporation, district or other poli tical subdivision, or any other group or combination acting as a unit.
Q. “Underutilization” means hav ing fewer minorities or women in a particular job class ification t han w ould
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 betw een
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 w as performed between August 5,
1964, and May 7, 1975.
S. Violation and Appeal Procedure:
1. A C ontractor found in violation of equal
opportunity/affirmative action laws will be refer red
to the U.S. Department of Labor’s OFCCP
Division, and the Solicitor for Labor, Associate
Solicitor of Labor Relations and Civil Rights
Regional Solic itors and R egional Att orney are
authorized to institute enforcemen t proceeding s
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 a lleged
violation, a prayer regarding the relief being
sought, and the name and address of the attorney
representing the Government. Within 20 days
after receiv ing the com plaint, the defendant shall
file an answer with the Chief Administrative Law
Judge, if the case h as not been assigned to an
Administrative Law judge.
2. T he answer shall conta in 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 alleg ations 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 a nswer
shall contain th e name and address of the
defendant, or of t he attorney representing the
defendant. Failure to file an answer or plead
specifically to an allegatio n of the co mplaint shall
constitute an admission of such allegation.
3. C ontractor 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 term s, 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 co mmencing performance of the contract. Copies of said laws, programs, and regulations are a vailable upon request from the implementing
entity’s Contract Compliance Officer, o r from the U.S.
Department of Labor's OFCCP Officer to the extent
applicable the p rovisions 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 A cts of 1972 and 1974, as amended. Pub. L. 92- 540, Title V,
Sec 503(a), P ub. L 93 -508. Title IV, Sec. 4 02. (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 Emplo yment Practice Act. Labor Code
Sec. 1410 et seq.
5. Civil Rights Act of 1964, as ame nded (42 USCA 2000a to 2000H-6) and Executive Order No. 11246, September
24, 1965, as amended.
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 no nexempt prime
Contractor shall include equal employment
opportunity clauses in each of its no nexempt
Subcontractors.
EQUAL OPPORTUNITY CLAUSE FOR
FEDERALLY ASSISTED CONSTRUCTION
CONTRACTS
This clause is i nserted pursuant to Executive Order 11246 of September 24, 1965, as amended, and Title VII of the Civil Rights Act of 1964, and is applicable pu rsuant 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 employe d, and that employees are
treated during employment without regard to their
race, color, r eligion, sex, national origin. Such action shall include, but not be limited to the following:
Employment, upgrading, demotion, or transfer;
recruitment or recruitm ent advertising; layo ff or
termination; rates of pay or other forms of
compensation; and s election for train ing, 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 pla ced 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 u nion or
representative of worke rs 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 u nion or
workers’ representative of the Contractor’s
commitments under Section 202 of E xecutive Order
11246 of September 24, 1965, and s hall post copies
of the notice in conspicuous places available to
employees and applicants for employment.
(4) The Contractor will com ply 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 infor mation and reports required by Executive Order 11246 o f September 24,
1965, and by rules, regulations and order s of the
Secretary of Labor, purs uant 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 n oncompliance with the nondiscrimination clauses of this contract or with any of such rules, re gulations or orders, this contract may be canceled, terminated or suspended in whole
or in part, and the Contractor may be declared
ineligible for further Governm ent co ntracts in
accordance with procedures author ized in Executive
Order 11246 of September 24, 1965, and such ot her
sanctions may be imposed and remedies inv oked as
provided in Executive Order 11246 of September 24,
1965, or by rule, r egulation or order of the Secretary of Labor, or as otherwise provided by law.
(7) The Contrac tor 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 acti on with respect to any subcontract or
purchase order as the contracting agenc y 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 di rection by the contracting agency, the Contractor may request the United States
to enter into such litigation to p rotect the interests of the United states.
The applica nt further agrees that it will be bound by
the above equal opportunity clause with res pect to its own employment practices when it participates in
federally assisted construction w ork; provided, that if the applicant so participating is a state or lo cal
government, t he above equal opportunity clause is
not applicable to any agency, instrument ality or
subdivision of such government which does not
participate in work on or under the contract.
The applicant agrees that it will assist and cooperat e actively with th e 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 obtaini ng the compliance of Contractor s and
Subcontractors with the equal opportunity clause and
the rules, reg ulations, and relevant orders of the
Secretary of Labor, that it will furnish the admi nistering agency and the Secretary of Labor such information
as th ey may require for the supervis ion of such
compliance, and that it will otherwise assist the
administering agency in the discharge of the agency’ s
primary responsibility for securing compliance.
The applicant further agrees that it will refrain from
entering into any contract or cont ract m odification
subject to Executive Order 1124 of September 24,
1965, with a Contractor debarred from, or who h as
not demonstrated eligibility for Government
contracts and federa lly assisted construction
contracts pursuant to the Executive Order and wil l
carry out such sanctions and penalties for violation
of the equal opportunity clause as may be imposed
upon Contractor s and Subcontractors by the
administering agency o r the S ecretary of Labor
pursuant to Part II, Subpart D of the Exec utive
Order. In addition, the applicant agrees that if it fails or refuses to comply with t hese undertakings, th e
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 as surances of f uture compliance has
been received from such applicant, and refer the
case to t he Department of Justice for appropriate
legal proceedings.
In addition to the above, Contractor will agree to
furnish all information and reports, includin g
Standard form EEO-1, if applicable, to the U.S.
Equal Employment Opportunity Commission
(EEOC) an d th e 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 Act s of 1972 and 1974 (P .L. 92 - 540, 93-508), and is applicable pursuant to 41 CFR Sec. 60 - 250.
(1) The Contrac tor will not discriminate against any
employee or applicant for employment becaus e 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 su ch a s the followi ng: employment,
upgrading, demotion or trans fer, recruit ment,
advertising, layoff or termination, rates of pay or
other forms of compensation, and selection for
training, including apprenticeship.
(2) The Contractor agrees that all suit able employment openings of the Contractor which exist at the time of
the execution of this contract and those which occur
during the perf ormance of this contract, including
those not generated by this contract and including
those occurring at an establishment of t he
Contractor other than the one wherein the contract
is being performed but excluding t hose o f
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 t o such local office regarding
employment openings and hires as may be
required.
(3) Listings of employment openings with the
employment service syst em pursuant to this clause
shall be made at lea st concurrently with the use of
any other recruitment source or effort and shall
involve the norm al obligations which attach to the
placing of a bona fide job order, including the
acceptance of referrals of veterans and non-
veterans. The listing of employ ment 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 nondiscrim ination i n
employment.
(4) The reports required by paragraph (2) of this claus e shall include, but not be limited to, periodic reports
which shall be filed at least quart erly with the
appropriate local office or, where the Contractor has
more than one hiring location i n a State , with the
central office of that State Employment Service.
Such reports s hall 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 d isabled veterans hired. The
reports shall include covered veterans hired for on-
the-job tr aining under 38 USC Sec. 1787. The
Contractor shall submit a report w ithin 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 expirati on of one y ear
after final payment under the contract, during wh ich
time these reports and relate d documentation shall
be made available, upon request, for examination
by any authorized representatives of the contracting
officer or of the Secretary of Labor. D ocumentation
would include personnel records respecting job
openings, recruitment and placement.
(5) Whenever the Contractor becomes c ontractually
bound to the listing provisions of this c lause, it shall advise the employment service system in each
State where i t has establishments of the name and
location of each hiring location in the State. A s 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 con tracts. The C ontractor may advise
the State system when it is no longer bound by this
contract clause.
(6) This clause does not apply to the listing of
employment openings, which occur and are filled
outside of the 50 States, the District of Columbia,
Puerto Rico, Guam and the Virgin Islands.
(7) The provisions of paragraphs (2), (3), (4) and (5) of this clause do not apply to openings which the
Contractor proposes to fill from within his own
organization or to fill pursuant to a customary and
traditional e mployer - u nion hi ring arrangement.
This exclusion does not apply to a part icular
opening once a n em ployer decides to consider
applicants outside of his own organizati on or
employer - union arrangement for that opening.
(8) As used in this clause:
a. “All suitable em ployment openings” includes,
but is not limited to, openings which occur in
the foll owing job categories: production and
non-production; plant and office; la borers and
mechanics; s upervisory and non-supervisory;
technical; and executive, adminis trative a nd
professional openings as are compensated on
a salary basis of le ss than $25,000 per year.
The term includes full-time employ ment,
temporary employment of more than three
days dur ation, and part -time employment. It
does not include openings wh ich t he
Contractor proposes to fill from within his own
organization or to f ill pursuant to a c ustomary
and traditional employer - union hiring
arrangement or openings in an educational
institution which are restricted to students of
that institution. Unde r mos t co mpelling
circumstances an employment opening may
not be suitable for listing, including such
situations where the needs of the G overnment
cannot reasonably be otherwise supplied,
where listing would be contrary to national
security, or where the r equirement of list ing
would otherwise not be for the best intere st of
the Government.
b. “Appro priate office of the State Employment
Service System” means the local o ffice of the
federal - s tate national system of public
employment offices with assigned
responsibility for s erving the area where the
employment opening is to be fi lled, including
the D istrict of Colombia, Guam, Puerto Rico
and the Virgin Islands.
c. “Openings which the Contractor proposes to
fill from within his own organization” means
employment op enings for which no
consideration will be given to pers ons outside
the Contractor ’s or ganization (including any
affiliates, subs idiaries 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 p ursuant to a custom ary an d traditional
employer - union hirin g arrangement” means
employment openings which the Contractor
proposes to fill from union halls, which is part
of the c ustomary and tradi tional hiring
relationship which exists between the
Contractor and representati ves 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) I n 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 a grees to post in c onspicuous
places, available to employees and applicants f or
employment, noti ces in a form to be prescribed by
the Director, provided by or through the contracting
officer. Such notices shal l 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 employm ent, and the rights of applicants and
employees.
(12) The Contractor will no tify
each labor union or
representative of work ers w ith which it ha s a
collective bargaining agreement or other contract
understanding, that t he Contractor is bound by the
terms of the Vietnam Era Veterans’ Readjust ment
Assistance Act, and is committed to take affirmative
action to employ and advance i n emp loyment
qualified disabled veterans and veterans of the
Vietnam Era.
(13) T he 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 eac h Subcontractor or ve ndor. The
Contractor will take such act ion with respect to any
subcontract or purchase order as the Director of the
Office of Federal Contract Compliance Programs
may direct to e nforce such provisions, including
action for noncompliance.
(14) Collective bar gaining 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 employ ment
qualified disabled veteran s 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 ex empted by rules,
regulations or orders of the Secretary issued
pursuant to the Act, so that suc h 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 Di rector of the
Office of Federal Contract Compliance Programs
may direct to e nforce such provisi ons, i ncluding
action for noncompliance.
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 discrim inate 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 qualif ied. The C ontractor agrees to take
affirmative action to employ , advance in
employment and otherwise treat qualified
(2) disabled individuals without discrimination bas ed
upon their physical or mental dis ability in all
employment practices such as the follow ing:
employment, up grading, demotion or transfer,
recruitment, advertising, layoff or terminat ion, r ates of pay or other forms of compensation, and
selection for training, including apprenticeship.
(3) The Cont ractor agrees to comply with the rules,
regulations and relevant or ders 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 relevan t 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 co ntracting
officer.
(6) Such notices shall state the Contractor’s obligation under the law to tak e affirmative action to employ
and advance in employment qualifi ed disab led
employees and applicants for employ ment, and the
rights of applicants and employees.
(7) T he 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 S ection 503 of the Rehabilitation Act of
1973, and is com mitted to t ake 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 b y rules,
regulations or orders of the Secretary issued
pursuant to Section 503 of the Ac t, s o that such
provisions will be binding u pon each Sub contractor
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 enforc e su ch
provisions, including action for noncompliance.
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. “C overed area” means the geographical area
described in the solicitation from which this
contract resulted;
b. “Director” means Director, Office of Federal
Contract Com pliance Pro grams, 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 person s 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 Cu lture or origin, regardless
of race);
(iii) Asian and Pacific Islander (all persons
having origins in any o f the original peoples
of the Far East, Southeast Asia, the Indian
Subcontinent, or the Pacific Islands); and
(iv) Ame rican Indian or Alaskan Native (all
persons having origins in any of the original
peoples of North America and maintaining
identifiable tribal a ffiliations through
membership and participation or community
identification).
2. Whenever the Contractor , or a ny Subc ontractor at
any tier, subcontracts a portion of th e work in volving any construction trade, it shall phy sically incl ude 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 b y the U.S.
Department of Labor in the covered area either
individually or through an as sociation, its affirmative action obligations on all work in the Plan area
(including goals and t imetables) 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 Sub contractor
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 und er the Plan in each trade in which it
has employees. The overall good fa ith performance
by other Contractors or Subcontractors toward a goal
in an approved Plan does not excuse any cover ed
Contractor’s or Sub contractor’s failure to t ake good
faith efforts to achieve Plan goals and timetables.
4. The Contrac tor shall implement t he s pecific
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 e xpressed as percentages of the total
hours of employment and training of mi nority 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 ap ply the minority and
female goals established for the geographical area
where the work i s being p erformed. Go als are
published periodically in the FEDE RAL REGISTER
in notice form, an d such notices may be obtained
from any Office of Federal C ontract Compli ance
programs Office or from f ederal proc urement
contracting officers. The Contractor i s expecte d to
make s ubstantially uniform progress in meeting its
goals in each craft during the period specified.
5. Neither the pr ov
isions of any collective bargaining
agreement, nor the failure by a union w ith whom the
Contractor has a collective bargaining agreement, to
refer either minorities or women shall excuse the
Contractor’s obligations und er t hese specifications,
Executive Order 112 46 or the regulations
promulgated pursuant thereto.
6. In order for the nonworking training hours of
apprentices and trainees to be count ed in meeting
the goals, such apprentices and trainees m ust be
employed by th e Contractor during the training
period and the Contractor must have ma de
commitment to employ the apprentices and trainees
at the completion of their training, subject t o the
availability of employment opportunities. Trainees
must be trained pursuant t o trai ning programs
approved by the U.S. Department of Labor.
7. The Contractor shall take specific affirmative acti ons to ensure equal employment opportunity. Th e
evaluation of the Contractor’s compliance with these
specifications shall be based upon its eff ort to
achieve maximum results from its acti ons. The
Contractor shall document these efforts fully, and
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 ensu re that a ll foremen,
superintendents, and other on- site
supervisory personnel are aware of and
carry out the Contractor ’s obligation to
maintain such a working environm ent,
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 f emale 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 cur rent 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 recr uitment
source or co mmunity organization and
of what action was taken with r espect
to each such i ndividual. If such
individual was sent to the union hiring
hall for referral and was not referred
back to the C ontractor by the union or,
if referred, not employed by the
Contractor, this shall be documented in
the file with the reason therefore, along
with w hatever additional actions the
Contractor may have taken.
d. Provide immediate written notification
to the Dir ector when the union or
unions bargaining agreement has not
referred to the Contractor a minority
person or wom an sent by t he
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 traini ng
opportunities and/o r participate in
training programs for the area which
expressly include m inorities and
women, including upgrading progr ams
and apprenticeship and trainee
programs relevant to the Contractor ’s
employment needs, especially those
programs funded or approved b y the
Department of Labor. The Contractor
shall provide notice of these programs
to the sources compiled under 7b
above.
f. Disseminate the Contrac tor’s EEO
policy by providing notice of the policy
to unions and training programs and
requesting t heir cooper ation in
assisting the Contractor in meeting its
EEO o bligations by includi ng i t in any
policy manual and collective bargaining
agreement; by publicizing it in the
company newspaper, annual report,
etc.; by specific review of the poli cy
with a ll 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 t hat each
location where c onstruction work is
performed.
g. Review, at least annuall y, the
company’s EEO policy and affirmative
action obligations under these
specifications wi th all employees
having any responsibility for hiring,
assignment, layoff, termination or other
employment d ecisions including
specific review of these items with
onsite super visory personnel such as
Superintendents, Ge neral Foremen,
etc., prior to t he 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 matte r discussed,
and disposition of the subject manner.
h. Disseminate the C
ontractor’s EEO
policy externally by including it i n any
advertising in the news media,
specifically including minority and
female news media, and providing
written n otification to and d iscussing
the Contractor’s EEO policy with o ther
Contractors and Sub contractors w ith
whom the Contractor does or
anticipates doing business.
i. Direct its recruitment efforts, both oral
and w ritten, to minority, female and
community organizations, t o schools
with minority and female students and
to minority and f emale recruitment and
training organizations serving the
Contractor’s recruitment source, th e
Contractor shall send written
notification to organizations such as the
above, describing the openings,
screening procedures, and tests to be
used in the selection process.
j. Encourage present minority and female
employees to recruit other minority
persons and women and, where
reasonable, provide after school,
summer and vacation employment to
minority and fem ale youth both on the
site and in other areas of a Contractor’s
work force.
k. Vali date 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 o f all minor8ty
and female personnel for pr omotional
opportunities and enc ourage these
employees to seek or to prepare f or,
through appropriate training, etc., such
opportunities.
m. Ensure that seniority practices, job
classifications, work assi gnments and
other personnel practices, do not have
a di scriminatory effect by continua lly
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 off ers for subcontracts
from minority and femal e constructi on
Contractors and suppliers, including
circulation of solicitati ons to minority
and female Contractor associations
and other business associations.
p. Conduct a review, at least annually, of
all superv isors; adherence to and
performance under the Contractor ’s
EEO policies and a ffirmative 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, join t Contractor-union, C ontractor-
community or other similar group of which the
Contractor is a member and participant may be
asserted as fulfilling any one or more of its
obligations provided that the Contractor actively
participates in the group, makes ever y effort to
assure that t he 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 i n the Contractor’s
minority and female workforce participation
makes a good faith effort to mee t its individual
goals and timetables, and can provide access to
documentation, which demonstrates the
effectiveness of actions taken on behalf of the
Contractor. The obli gation 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, h owever, is required to provide
equal employment opport unity and to take
affirmative action for all minority groups, bot h
male and female, and all women, both minority
and non-minority. Consequently, the Contractor
may be in violation of the e xecutive order if a
particular group is employed in a s ubstantially
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 minor ity group
of women is underutilized).
10. The Contractor shall not use the goal s and
timetables or a ffirmative 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 a ny person or firm debarred
from Government contracts p ursuant to
Executive Order 11246.
12. The Contractor shall carry ou t such sanctions
and penalties for violation of these specifications
and of the Equal Opportunity Clause, including
suspension, termina tion and cancellation of
existing subcontrac ts as may be imposed or
ordered pursuant to Executive Order 11246, as
amended, and its implementing regulations, by
the Office of Federal Contrac t Compliance
Programs. Any Contractor who fails to carry out
such sanctions and penalties shall be in violation
of these specifications and Ex ecutive Order
11246, as amended.
13. The Contractor , in fulfilling its oblig ations 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
results from its efforts to ensure equal
employment opportunity. If the Contractor fails
to comply with the requirements of the Executive
Order, the i mplementing regulations, or these
specifications, the director sh all 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 polic y is being
carried o ut, 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 affiliat ion if an y, employee i dentification
number when assigned, social security number,
race, sex, st atus ( 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 whic h the
work wa s 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 app lication of other laws
which es tablish 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 o f 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 s hall not be
used after the regulations in 41 CFR Part
60-4 become effective.
Minority Goals
The goal for the util ization of women employees on
federally assisted construction contracts is set at 6.9%.
The goal for utilization of minorities, based on the
Standard metropolitan Stat istical Area (SMSA) for
Riverside/San Bernardino County is 19%.
For additional informat ion on th ese goals, please contact the OFCCP-Pacific Region at (415) 848-6969.
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 S ubcontractors 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 t he regulations of the Environmental Protection Agency with respect thereto, at 40 CFR Part 15, as amended.
In addition to the forgoing requirements, all nonexempt Contractor s 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, a nd 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 s ection in every nonexempt subcontract and requiring that the Contractor will take such action as the Government may direct as a means of enforcing suc h provisions.
SAMPLE DOCUMENTS
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: O UR 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
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 Compli ance 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
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
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
LCF CA16-3.4 Crea ted 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 pay
roll 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 hav
e also reviewed the payroll practices of each of the above named sub -tier subcontract ors 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 R
esponsible 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
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
LCF 16-SAM 4
LCF 16-SAM 5
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 r
equired 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 Require d
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
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 Co unty 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
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 Prevaili
ng 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
Community Development and Housing Department
Under Labor C ode Section 177 6(g) there are pe nalties r equired for c ontractor’s/subcontractor’s f ailure to ma intain 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 C ivil Rights Act of 1964.
Kickbacks Prohibited
Contractors and subcontractors are prohibited from recapturing wages illegally by accepting or extracting “kick backs” from employee wages under Labor Code Section 1778.
Acceptance of Fees Prohibited
There exists a prohibiti on against contractor/subcontractor acceptanc e of fees for registeri ng any pers on 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 ar e r equired to list properly a ll subcontractors hired t o perform work o n the pu blic w orks projects covering more than one-half
of one percent, pursuant to Government Code Section 4104.
Proper Licensing
Contractors are required t o be licensed properly and to require t hat all subcontractors be properly licensed. Penalties are required for e mploying workers w hile unlicens ed under Labor C ode Secti on 1021 and under t he California Contractor License Law found at Business and Professions Code Section 7000 et seq.
Unfair Competition Prohibited
Contractors and s ub-contractors ar e prohibited f rom en gaging i n unfair c ompetition as s pecified u nder Business an d 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 ar e required to abide by th e Occupational, Safety and Healt h laws a nd regulations that apply to the particular construction project.
Proof of Eligibility/Citizenship
The federal prohibition against hiring undocumented workers, and t he 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
________________________
CONTRACTOR’S CER
TIFICATION OF COMPLIANCE WITH DAVIS-BACON AND
RELATED ACTS REQUIREMENTS
(LCF DB16‐2.0)
As the undersigned Contr
actor, 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
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 supple mental statements will be submitted precipitously.
Print Name (Authorized E-Signature Signer) Title Date Community Development and Housing Department
SAMPLE
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 t
raining fund contrib utions 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 determin ative 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
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 the workers.
HEALTH AND WELFARE DOCUMENTATION: CDH may require c opies 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 Davis - Bacon 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 hourl y 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
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) DECISI
ON 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: Ap
prentice Rate Request- Appendix A uploaded in LCP Tracker Created 3/12 – Rev
ised 02/2022
Department of Labor Wage /Apprentice Classification
(For DB rate use classification as it appears on the DB decission)
Base Rate: Fring e B enefit: Total Rate:
Community Deve lopment and Housing Department
SAMPLE
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
Enter name of the Committee Apprenticeship Committee. We will employ and train under their Standards.
2. We will comply with the standards of
Enter name of the Committee Apprenticeship Committee for the duration of this job only.
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 OF APPRENTICESHIP STANDARDSDAS 140 (REV. 1/04)
SAMPLE
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
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 y
our 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 Numbe r __________________________ Total Contract Amount. _____________________________ Sub-Contract Amount ___________________________ Name of the Project:
Address:
Dispatch Request Information:
Number of Apprentice(s) Needed: Craft or Trade:
Date Apprentice(s) to Report: (72 hrs. notice required) Time to Report:
Name of Person to Report to:
Address to Report to:
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
________________________
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’s executed 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
________________________
Community Development and Housing Department
SECTION 3 RESOURC
E PARTICIPATION CERTIFICATE
(LCF DB16-2.4)
The undersigned certif
ies 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 t
he 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 pe
nalty of perjury in the State of California that the above information and statements contained are true and correct.
HOUSING AUTHORITY SIGNATURE DATE
Comments:
Workforce Develo
pment 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 pe
nalty 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]
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 low - income 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 3 Residents • 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
SAM PL
E
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):