The URL can be used to link to this page

Home My WebLink AboutItem 5c. Authorization to advertise CDBG Curb Ramp 2022 Project, Specification No. 2000576 Item 5c Department: Public Works Cost Center: 5006 For Agenda of: 4/4/2023 Placement: Consent Estimated Time: N/A FROM: Matt Horn, Public Works Director Prepared By: Wyatt Banker-Hix, Engineer III SUBJECT: AUTHORIZATION TO ADVERTISE THE COMMUNITY DEVELOPMENT BLOCK GRANT CURB RAMPS 2022 PROJECt, SPECIFICATION NO. 2000576 RECOMMENDATION 1. Approve the project plans and specifications for the Community Development Block Grant (CDBG) Curb Ramps 2022 Project, Specification No. 2000576; and, 2. Authorize staff to advertise bids; and, 3. Authorize the City Manager to award the Construction Contract pursuant to Section 3.24.190 of the Municipal Code for the bid total if the lowest responsible bid is within the publicly disclosed funding amount of $650,000; and, 4. Authorize the Finance Director to appropriate $385,483 from the CDBG to the project account; and 5. Approve a transfer of $310,000 from the Sidewalk Annual Asset Maintenance Account to the project account; and 6. Approve a transfer of $45,000 from the Street Resurfacing and Reconstruction Annual Asset Maintenance Account to the project account; and 7. Approve a transfer of $24,624 from the Capital Outlay Fund Completed Projects Undesignated Capital Account to the project account; and 8. Authorize the City Engineer to approve Contract Change Orders up to the available project budget. POLICY CONTEXT This project installs Americans with Disabilities Act (ADA) compliant curb ramps along Augusta Street adjacent to the Sinsheimer Elementary School, which helps fulfill the Major City Goal of Climate Action, Open Space and Sustainable Transportation . The project scope includes an area heavily trafficked by pedestrians and is a safe route to school. Page 19 of 1211 Item 5c The City has recently installed 40 curb ramps with the Area 6 & 7 Curb Ramp Project and has plans to install 46 more curb ramps with the recently awarded North Chorro Greenway project. This project plans to install up to 21 curb ramps (11 curb ramps are in the base bid and 10 ramps are included in the additive alternate) prioritized in the Active Transportation Plan and supports the City’s Diversity, Equity, and Inclusion Goals by bringing additional City streets and intersections up to ADA compliance. Benefited project users are predominantly children and their parents walking to school. DISCUSSION Background The Community Block Development Grant (CDBG) is an annual formulaic grant dispersed by the US Department of Housing and Urban Development (HUD). The CDBG provides a federal funding source for local municipalities to improve housing and the liveable environment. This grant is administered through San Luis Obispo County, and staff is collaborating with the County to ensure a successful project. Upon receipt of this grant, staff considered curb ramp installations that would have the highest benefit to the community. The Council adopted Active Transportation Plan identifies areas in highest need for pedestrian improvements1, including the area along Augusta Street from Bishop Street to San Marcos Court. The proximity of Sinsheimer Elementary School and the lack of existing curb ramps had resulted in strong community feedback in the area and had been identified as a priority project in the Active Transportation Plan. The improvements will work in tandem with a separate project to upgrade the pedestrian crossing of Sydney/Johnson in mid-2023. Staff received notification of CDBG award late in July 2022 and began design efforts shortly thereafter. CDBG projects have strict deadlines for exhausting funds, and staff has prioritized this project since award. The project plans (Attachment A) and specifications (Attachment B) are now ready to advertise. Previous Council or Advisory Body Action This specific project has not been presented to Council, but Council approved the Active Transportation Plan adopted in 2021 that identified this area as a high-priority location for upgrades to curb ramps. In March of 2022, Council also passed a resolution approving the 2023 Community Development Block Grant Program (Attachment C) which identified the CDBG Curb Ramp project in the program. Public Engagement During public outreach for the Active Transportation Plan, pop -up events including one near the project were held to gather feedback on project priorities. Curb ramps around Augusta Street received a high number of requests given the proximity to Sinsheimer Elementary School and Sinsheimer Park. 1 Active Transportation Plan, Figure 33, Page 146. https://www.slocity.org/home/showpublisheddocument/29123/637471709222270000 Page 20 of 1211 Item 5c CONCURRENCE Public Works and Community Development concur with the recommendations of this report. ENVIRONMENTAL REVIEW Since this project is receiving federal funding, both California Environmental Quality Act (CEQA) and National Environmental Policy Act (NEPA) environmental reviews were completed. The project is exempt from CEQA pursuant to State CEQA Guidelines Section 15302 (Class 2 – Replacement or Reconstruction) because the project is limited to the construction of ADA curb ramps within an existing street and public right-of-way, and the roadway will have the same purpose and capacity while meeting accessibility requirements. The project qualifies for a Categorical Exclusion under NEPA, according to HUD Section 58.35 (1) – Repair of Public Facilities and Improvements. HUD is the federal agency that will consider and approve the Categorical Exclusion. The City will comply with all applicable CEQA, NEPA, and HUD regulations prior to executing a contract for construction of this project. FISCAL IMPACT Budgeted: No Budget Year: 2022-2023 Funding Identified: Yes Fiscal Analysis: Award of the CDBG funding was not anticipated by staff until this fiscal year. To ensure that all CDBG funds are expended and to provide the most community benefit through the construction of the highest number of curb ramps possible, staff have identified existing annual asset maintenance accounts that can provide contributory funding. The City has been awarded the grant in the amount of $385,483 to be used for this project and staff has entered into an agreement with the County of San Luis Obispo (Attachment D). Staff is requesting to appropriate $385,483 in CDBG funds (Attachment E), transfer $310,000 from the Sidewalk Annual Asset Maintenance Account, transfer $39,893 from the Street Reconstruction and Resurfacing Annual Asset Maintenance Account , and transfer $24,624 from the Capital Outlay Fund Completed Projects Undesignated Capital Account to the project account to construct the project. All CDBG funds will be spent as part of this project. Page 21 of 1211 Item 5c Funding Sources Total Budget Available Current Funding Request Remaining Balance Annual Ongoing Cost General Fund $1,009,196 $379,624 $629,572 Federal: CDBG Funds $385,483 $385,483 $0 Other: Total $1,394,679 $765,107 $629,572 N/A CDBG Grant Sidewalk Annual Asset Maintenance Account (2001002) Street Reconstruction and Resurfacing - Annual Asset Maintenance Account (2001001) Completed Projects Undesignated Capital Project Total Cost Federal Funding General Fund General Fund General Fund Construction Base Estimate $385,483 $100,000 $39,893 $24,624 $550,000 Additive Alternate Estimate $0 $100,000 $100,000 Construction Contingency (15%)$0 $100,000 $100,000 Total Construction Estimate $385,483 $300,000 $39,893 $24,624 $750,000 Material Testing $9,500 $9,500 Printing & Advertising $500 $500 Construction Support $5,107 $5,107 Total Project Estimate $385,483 $310,000 $45,000 $24,624 $765,107 Available Project Balance $385,483 $410,167 $474,405 $24,624 $1,294,679 Remaining Balance $0 $100,167 $429,405 $0 $529,572 Estimated Project Cost By Funding Sources CDBG Curb Ramps 2022, Specification 2000576 ALTERNATIVES Deny or Defer Authorization to Advertise. Council could choose not to advertise this project or do so at a later date. Staff does not recommend this option, as delay of the project would violate the CDBG agreement terms and forfeit those funds. ATTACHMENTS A - Project Plans (Spec. 2000576) B - Project Specifications (Spec. 2000576) C - Draft Resolution approving the 2023 CDBG Curb Ramp Program D - Community Development Block Grant Agreement (Spec. 2000576) E - Draft Resolution authorizing the use of CDBG Funds for Spec. No. 2000576 Page 22 of 1211 Reference Documents:City Standard Specifications - August 2020 EditionCity Engineering Standards - August 2020 Editionindex to planssheet no.descriptiongeneral notes:basis of bearing:san luis obispo county, californiaAPPROVED BYSPECIFICATION NO. DATEofSHEETBrian Nelson, City Engineer Approved Date1602/24/20231CITY OF SAN LUIS OBISPO,PUBLIC WORKS DEPARTMENTATTN: WYATT BANKER-HIX919 PALM STREETSAN LUIS OBISPO, CA 93401PHONE:(805)295-1609CANNONATTN: ANTHONY J. SEVERY1050 SOUTHWOOD DRIVESAN LUIS OBISPO, CA 93401PHONE:(805)503-4525contact informationownercivil engineerPROJECT LOCATIONpreliminary drawingsbenchmark:NO. 79870BRIANNELSONEXP.10005761050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.boundary disclaimer:Page 23 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG CURB RAMPS 2022ALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNKEY MAP, LEGEND, ABBREVIATIONS & SURVEYCONTROL2legend:abbreviations:Page 24 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:ALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN3CDBG CURB RAMPS 2022Page 25 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:ALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN4CDBG CURB RAMPS 2022Page 26 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:ALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN5CDBG CURB RAMPS 2022Page 27 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN6CDBG CURB RAMPS 2022Page 28 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN7CDBG CURB RAMPS 2022Page 29 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN8CDBG CURB RAMPS 2022Page 30 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN9CDBG CURB RAMPS 2022Page 31 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN10CDBG CURB RAMPS 2022Page 32 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN11CDBG CURB RAMPS 2022Page 33 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN12CDBG CURB RAMPS 2022Page 34 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNIMPROVEMENT PLAN13CDBG CURB RAMPS 2022Page 35 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNSIGNAGE & STRIPING PLAN14CDBG CURB RAMPS 2022Page 36 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNSIGNAGE & STRIPING PLAN15CDBG CURB RAMPS 2022Page 37 of 1211 CITY SPECIFICATION NO.DATE:PROJECT TITLE:SHEET TITLE:ofSHEET NO.DESIGNED BY:DRAWN BY:CHECKED BY:APPROVED BY:SCALE:CDBG SAN LUIS OBISPO CURB RAMPSALM/ARAR02/24/202316BN1050 Southwood DriveSan Luis Obispo, CA 93401P 805.544.7407 F 805.544.3863NO. 82551EXP.GS1000576AS SHOWNSIGNAGE & STRIPING PLAN16CDBG CURB RAMPS 2022Page 38 of 1211 SPECIAL PROVISIONS FOR CITY OF SAN LUIS OBISPO CDBG CURB RAMPS 2022 Specification No. 2000576 APRIL 2023 PUBLIC WORKS DEPARTMENT ENGINEERING DIVISION 919 Palm Street San Luis Obispo, CA 93401 (805) 781-7200 Page 39 of 1211 CDBG CURB RAMPS 2022 Specification No. 1000576 Approval Date: April 4, 2023 4/12/2023 4/12/2023 Page 40 of 1211 TABLE OF CONTENTS NOTICE TO BIDDERS ..................................................................................................... I BID SUBMISSION ...................................................................................................................................... I BID DOCUMENTS .................................................................................................................................... II PROJECT INFORMATION........................................................................................................................ II QUALIFICATIONS .................................................................................................................................... III AWARD ..................................................................................................................................................... V ACCOMMODATION .................................................................................................................................. V BID FORMS .................................................................................................................... A BID ITEM LIST FOR CDBG CURB RAMPS 2022, SPECIFICATION NO. 1000576 ................................ A LIST OF SUBCONTRACTORS ................................................................................................................ C PUBLIC CONTRACT CODE SECTION 10285.1 STATEMENT .............................................................. D PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE ......................................................... D PUBLIC CONTRACT CODE SECTION 10232 STATEMENT ................................................................. D LABOR CODE SECTION 1725.5 STATEMENTS ................................................................................... D NON-COLLUSION DECLARATION .......................................................................................................... F BIDDER ACKNOWLEDGEMENTS .......................................................................................................... G QUALIFICATIONS .................................................................................................................................... H CERTIFICATION REQUIREMENT FOR PROCUREMENT OF STEEL, IRON, OR MANUFACTURED PRODUCTS. .............................................................................................................................................. I CERTIFICATION REQUIREMENT FOR PROCUREMENT OF BUSES, OTHER ROLLING STOCK AND ASSOCIATED EQUIPMENT. ................................................................................................................... I CONSTRUCTION CONTRACT DBE COMMITMENT .............................................................................. L DBE GOOD FAITH EFFORT VERIFICATION .......................................................................................... S ATTACH BIDDER'S BOND TO ACCOMPANY BID ................................................................................. U SPECIAL PROVISIONS .................................................................................................. 1 DIVISION I GENERAL PROVISIONS ....................................................................................................... 1 1 GENERAL ........................................................................................................................................... 1 2 BIDDING ............................................................................................................................................. 1 ADD TO SECTION 2-1.12A DBE ............................................................................................................... 1 3 CONTRACT AWARD AND EXECUTION ........................................................................................... 2 4 SCOPE OF WORK ............................................................................................................................. 2 7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC ....................................................... 2 8 PROSECUTION AND PROGRESS ................................................................................................... 3 DIVISION V SURFACINGS AND PAVEMENTS ....................................................................................... 3 39 ASPHALT CONCRETE .................................................................................................................... 3 DIVISION VIII MISCELLANEOUS CONSTRUCTION .............................................................................. 3 73 CONCRETE CURBS AND SIDEWALKS ......................................................................................... 3 Page 41 of 1211 DIVISION IX TRAFFIC CONTROL DEVICES........................................................................................... 5 84 MARKINGS ....................................................................................................................................... 5 DIVISION XIII APPENDICES .................................................................................................................... 5 APPENDIX A - FORM OF AGREEMENT ........................................................................ . APPENDIX B – REQUIREMENTS FOR FEDERALLY ASSISTED CONSTRUCTION PROJECTS FUNDED WITH COMMUNITY DEVELOPMENT BLOCK GRANTS………… APPENDIX C – RAMP REINFORCEMENT LIMITS EXHIBIT ........................................... APPENDIX D – DAVIS-BACON WAGE DETERMINATION ............................................. Page 42 of 1211 NOTICE TO BIDDERS i NOTICE TO BIDDERS BID SUBMISSION Sealed bids will be received by the City of San Luis Obispo at the Public Works Administration Office located at 919 Palm Street, San Luis Obispo, California 93401, until 11:00 a.m. on May 11, 2023 at which time they will be publicly opened and read aloud. Submit bid in a sealed envelope plainly marked: CDBG Curb Ramps 2022, Specification No. 1000576 Any bid received after the time and date specified will not be considered and will be returned to the bidder unopened. Bids received by Fax or Email will not be considered. By submission of bid you agree to comply with all instruction and requirements in this notice and the contract documents. All bids must be submitted on the Bid Item List form(s) provided and submitted with all other Bid Forms included in these Special Provisions. Each bid must be accompanied by either a: 1. certified check 2. cashier's check 3. bidder's bond made payable to the City of San Luis Obispo for an amount equal to ten percent of the bid amount as a guaranty. Guaranty will be forfeited to the City San Luis Obispo if the bidder, to whom the contract is awarded, fails to enter into the contract. The City of San Luis Obispo reserves the right to accept or reject any or all bids or waive any informality in a bid. All bids are to be compared based on the City Engineer's estimate of the quantities of work to be done, as shown on the Bid Item List. Bids will only be accepted from bidders that are licensed in compliance with the provisions of Chapter 9, Division III of Business and Professions Code. The award of the contract, if awarded, will be to the lowest responsive bid submitted by a responsible contractor whose bid complies with the requirements prescribed. If the contract is awarded, the contract will be awarded within 60 calendar days after the opening of the bids. Failure to raise defects in the notice to bidders or bid forms prior to bid opening constitute a waiver of those defects. Page 43 of 1211 NOTICE TO BIDDERS NOTICE TO BIDDERS ii BID DOCUMENTS A copy of the plans and special provisions may be downloaded, free of charge, from the City’s website at: www.slocity.org/government/department-directory/public-works/public-works-bids- proposals No printed copies are available for purchase at the City office. Standard Specifications and Engineering Standards referenced in the Special Provisions may be downloaded, free of charge, from the City’s website at: www.slocity.org/government/department-directory/public-works/documents- online/construction-documents You are responsible to obtain all issued addenda prior to bid opening. Addenda will be available to download at the City’s website listed above or at the office of the City Engineer. Contact the project manager, Wyatt Banker-Hix at 805-295-1609 or the Public Works Department at (805) 781-7200 prior to bid opening to verify the number of addenda issued. You are responsible to verify your contact information is correct on the plan holders list located on the City’s website at: www.slocity.org/government/department-directory/public-works/public-works-bids- proposals. PROJECT INFORMATION In general, the project involves the installation of curb ramps along Augusta Street. The project estimated construction cost and contract time established for the project is as follows: BASE BID: $550,000 50 working days ADDITIVE ALTERNATIVE “A”: $100,000 25 working days TOTAL PROJECT BID (BASE BID + ADD ALT. “A”) $650,000 The fixed liquidated damages amount is established at $500 per day for failure to complete the work within the contract time. Page 44 of 1211 NOTICE TO BIDDERS NOTICE TO BIDDERS iii In compliance with section 1773 of the Labor Code, the State of California Department of Industrial Relations has established prevailing hourly wage rates for each type of workman. Current wage rates may be obtained from the Division of Labor at: https://www.dir.ca.gov/oprl/DPreWageDetermination.htm This project is subject to compliance monitoring and enforcement by the Department of Industrial Relations. Bidders are hereby notified that this contract is subject to the Requirements for Federally Assisted Construction Projects Funded with Community Development Block Grants Listed in Appendix B. This contract is subject to the Davis-Bacon Federal minimum wage rates and State prevailing wage rates. In addition to the State prevailing wage rates, the Federal minimum wages for this project, as predetermined by the United States Secretary of Labor, are incorporated in this document in Appendix D. If there is a difference between the Federal Minimum Wages and the General Prevailing Wage Determinations, as predetermined by the Secretary of Labor and by the Director of the California Department of Industrial Relations for similar classifications of labor, the Contractor and subcontractors must pay the higher wage rate. The Department will not accept lower State wage rates not specifically included in the Federal minimum wage determinations. This includes “helper”, other classifications based on hours of experience, or any other classifications not appearing in the Federal wage determinations. Where Federal wage determinations do not contain the State wage rate determination, the Contractor and subcontractor cannot pay less than the Federal minimum wage rate which most closely approximates the duties of employees in question. A Contractor’s Guide to Prevailing Wage Requirements for Federally-Assisted Construction may be obtained from the U.S. Department of Housing and Urban Development website: https://files.hudexchange.info/resources/documents/Davis-Bacon-and-Labor- Standards-Contractor-Guide-Addendum.pdf QUALIFICATIONS You must possess a valid Class A or C-8 Contractor's License at the time of the bid opening. Page 45 of 1211 NOTICE TO BIDDERS NOTICE TO BIDDERS iv You and any subcontractors required to pay prevailing wage must be registered with the Department of Industrial Relations pursuant to Section 1725.5 of the Labor Code. You must have experience constructing projects similar to the work specified for this project. Provide three similar reference projects completed as either the prime or subcontractor. All referenced projects must have been completed within the last five years from this project’s bid opening date. One of the three reference projects must have been completed under contract with a city, county, state or federal government agency as the prime contractor. Three (3) of the referenced projects must be for construction of ADA compliant curb ramps within the Public Right-of-Way. Failure to provide reference projects as specified in this section and as required on the qualification form is cause to reject a bid as being non-responsive. The City reserves the right to reject any bid based on non-responsiveness if a bidder fails to provide a bid that complies with all bidding instructions. The City reserves the right to reject a responsive bid based on the non-responsibility of the bidder if the Director of Public Works or Designee finds, after providing notice and a hearing to the bidder, that the bidder lacks the 1. knowledge 2. experience, 3. or is otherwise not responsible as defined in Section 3.24 of the San Luis Obispo Municipal Code to complete the project in the best interest of the City. Rejected bidders may appeal this determination. Appeal must comply with the requirements in this Notice to Bidders. It is the City of San Luis Obispo’s intent to award the contract to the lowest responsive bid submitted by a responsible bidder. If in the bidder’s opinion the contract has been or may be improperly awarded, the bidder may protest the contract award. Protests must be filed no later than five working days after either: 1. bid opening date 2. notification of rejected bid. Protest must be in writing and received by the project manager located at: 919 Palm Street San Luis Obispo, CA 93401. Valid protests must contain the following information: Page 46 of 1211 NOTICE TO BIDDERS NOTICE TO BIDDERS v 1. the reasons for the protest 2. any supporting documentation 3. the ruling expected by the City to remedy the protest. Any protest not containing all required information will be deemed invalid and rejected. The City will consider additional documentation or other supporting information regarding the protest if submitted in compliance to the specified time limits. Anything submitted after the specified time limit will be rejected and not be considered. The Director of Public Works or Designee may request additional information to be submitted within three days of the request, unless otherwise specified, and will notify the protester of ruling within ten days of determination. If the protester is not satisfied with ruling, the protester may appeal the ruling to the City Council in compliance with Chapter 1.20 of the City of San Luis Obispo Municipal Code. Pursuant to the Public Records Act (Government Code, § 6250, et seq.), the City will make public records available upon request. AWARD The lowest bidder will be determined in compliance with Public Contract Code Section 20103.8(c) with the Publicly Disclosed Funding Amount of $650,000 using either: • TOTAL PROJECT BID, if bid for Base Bid + Add. Alt. “A” is less than $650,000 or • BASE BID, if bid is less than $650,000 and Base Bid + Add. Alt. “A” is greater than $650,000. As a condition to executing a contract with the City, two bonds each equal to one hundred percent of the total contract price are required in compliance with Section 3-1.05 of the Standard Specifications. You may substitute securities for moneys withheld under the contract in compliance with the provisions of the Public Contract Code, Section 10263. ACCOMMODATION If any accommodations are needed to participate in the bid process, please contact Argelia Chang at (805) 781-7200 or by Telecommunications Device for the Deaf at (805) 781-7107. Requests should be made as early as possible in the bidding process to allow time for accommodation. Page 47 of 1211 BID FORMS A BID FORMS All bid forms must be completed and submitted with your bid. Failure to submit these forms and required bid bond is cause to reject the bid as nonresponsive. Staple all bid forms together. THE UNDERSIGNED, agrees that they have carefully examined: 1. the location of the proposed work 2. the plans and specifications 3. read the accompanying instructions to bidders and propose to furnish all: 4. materials 5. labor to complete all the required work satisfactorily in compliance with 6. plans 7. specifications 8. special provisions for the prices set forth in the bid item list: BID ITEM LIST FOR CDBG CURB RAMPS 2022, SPECIFICATION NO. 2000576 Item Item Unit of Estimated Item Price Total No. SS(1) Description Measure Quantity (in figures) (in figures) 1 5 Construction Surveying LS 1 --- 2 77 Pothole and Dip Manholes LS 1 --- 3 12 Traffic Control LS 1 --- 4 13 Water Pollution Control Program LS 1 --- 5 73 NW Curb Ramp: Augusta St & San Carlos Dr LS 1 --- 6 73 SW Curb Ramp: Augusta St & San Carlos Dr LS 1 --- 7 73 NW Curb Ramp: Augusta St & Reba St LS 1 --- 8 73 SW Curb Ramp: Augusta St & Reba St LS 1 --- 9 73 NE Curb Ramp: Augusta St & Sydney St LS 1 --- 10 73 SE Curb Ramp: Augusta St & Sydney St LS 1 --- 11 73 East Side Curb Ramp: Midblock Augusta St & Gerda St LS 1 --- 12 73 NW Curb Ramp: Augusta St & Sydney St LS 1 --- 13 73 SW Curb Ramp: Augusta St & Sydney St LS 1 --- 14 73 SE Curb Ramp: Augusta St & Gerda St LS 1 --- 15 73 NW Curb Ramp: Augusta St & Greta Pl LS 1 --- Page 48 of 1211 BID FORMS BID FORMS B Item Item Unit of Estimated Item Price Total No. SS(1) Description Measure Quantity (in figures) (in figures) 16 73 SW Curb Ramp: Augusta St & Greta Pl LS 1 --- 17 73 NE Curb Ramp: Augusta St & San Marcos Ct LS 1 --- 18 73 SE Curb Ramp: Augusta St & San Marcos Ct LS 1 --- 19 73 Remove & Replace Concrete Cross Gutter SQFT 154 20 39 Remove & Replace Asphalt Pavement Section (Sydney St) SQFT 701 21 77 Repaint Fire Hydrant EA 2 22 15 Remove and Abandon Fire Hydrant Assembly EA 1 23 77 Install Fire Hydrant Assembly EA 1 24 84 Striping Removal LS 1 --- 25 84 Striping and Markings LS 1 --- 26 37 Fog Seal SQFT 10,510 27 82 Relocate Sign and Post EA 9 28 82 Install New Sign and Post EA 5 --- 29 73 Sidewalk Replacement Allowance SQFT 250 30 73 Curb and Gutter Replacement Allowance LF 50 Base Bid $ 31 5 Additive Alternate Construction Surveying LS 1 --- 32 77 Additive Alternate Pothole and Dip Manholes LS 1 --- 33 12 Additive Alternate Traffic Control LS 1 --- 34 13 Additive Alternate Water Pollution Control Program LS 1 --- 35 73 SE Curb Ramp: Augusta St & Bishop St LS 1 --- 36 73 SW Curb Ramp: Augusta St & Bishop St LS 1 --- 37 73 NE Curb Ramp: Augusta St & Ceclia Ct LS 1 --- 38 73 SE Curb Ramp: Augusta St & Cecelia Ct LS 1 --- 39 73 NW Curb Ramp: Augusta St & San Mateo Dr LS 1 --- 40 73 SW Curb Ramp: Augusta St & San Mateo Dr LS 1 --- Additive Alternative Bid “A” $ Total Project Bid= (Base Bid + Additive Alternative “A”) $ (1) refers to section in the Standard Specifications, with modifications in the Special Provisions, that describe required work. Page 49 of 1211 BID FORMS BID FORMS C LIST OF SUBCONTRACTORS Pursuant to Section 4100 of the Public Contracts Code and section 2-1.33C of the standard specifications, the Bidder is required to furnish the following information for each Subcontractor performing more than 1/2 percent (0.5%) of the total base bid. Do not list alternative subcontractors for the same work. Subcontracting must not total more than fifty percent (50%) of the submitted bid except as allowed in section 5-1.13 of the standard specifications. For Streets & Highways projects, subcontractors performing less than ten thousand dollars ($10,000) worth of work need not be mentioned. Subcontractors required to pay prevailing wage, must be registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5 to be listed. NOTE: If there are no subcontractors, write “NONE” and submit with bid. Name Under Which Subcontractor is Licensed License Number DIR Public Works Registration Number Address and Phone Number of Office, Mill or Shop Specific Description of Subcontract % of Total Base Bid Attach additional sheets as needed. Page 50 of 1211 BID FORMS BID FORMS D PUBLIC CONTRACT CODE SECTION 10285.1 STATEMENT In compliance with Public Contract Code Section 10285.1 (Chapter 376, Stats. 1985), the bidder hereby declares under penalty of perjury under the laws of the State of California that the bidder, or any subcontractor to be engaged by the bidder, has ____, has not ____ been convicted within the preceding three years of any offenses referred to in that section, including any charge of fraud, bribery, collusion, conspiracy, or any other act in violation of any state or federal antitrust law in connection with the bidding upon, award of, or performance of, any public works contract, as defined in Public Contract Code Section 1101, with any public entity, as defined in Public Contract Code Section 1100, including the Regents of the University of California or the Trustees of the California State University. The term "bidder" is understood to include any partner, member, officer, director, responsible managing officer, or responsible managing employee thereof, as referred to in Section 10285.1. NOTE: The bidder must place a check mark after "has" or "has not" in one of the blank spaces provided. The above Statement is part of the Bid. Signing this Bid on the signature portion constitute signature of this Statement. Bidders are cautioned that making a false certification may subject the certifier to criminal prosecution. PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE In compliance with Public Contract Code Section 10162, the Bidder must complete, under penalty of perjury, the following questionnaire: Has the bidder, any officer of the bidder, or any employee of the bidder who has a proprietary interest in the bidder, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No If the answer is yes, attach a letter explaining the circumstances PUBLIC CONTRACT CODE SECTION 10232 STATEMENT In compliance with Public Contract Code Section 10232, you hereby state under penalty of perjury, that no more than one final unappealable finding of contempt of court by a federal court has been issued against you within the immediately preceding two-year period because of your failure to comply with an order of a federal court which orders you to comply with an order of the National Labor Relations Board. LABOR CODE SECTION 1725.5 STATEMENTS The bidder has delinquent liability to an employee or the state for any assessment of back wages or related damages, interest, fines, or penalties pursuant to any final judgment, order, or determination by a court or any federal, state, or local administrative agency, including a confirmed arbitration award. Any judgment, order, or determination that is under appeal is excluded, provided that the contractor has secured the payment of any amount eventually found due through a bond or other appropriate means. Page 51 of 1211 BID FORMS BID FORMS E Yes No The bidder is currently debarred under Section 1777.1 or under any other federal or state law providing for the debarment of contractors from public works. Yes No NOTE: The above Statements and Questionnaire are part of the Bid. Signing this Bid on the signature portion constitute signature of this Statement and Questionnaire. Bidders are cautioned that making a false certification may subject the certifier to criminal prosecution. Page 52 of 1211 BID FORMS BID FORMS F NON-COLLUSION DECLARATION I, , declare that I am of , the party making the foregoing bid that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone refrained from bidding; that the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Executed on , 20 , in __ I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. (Signature and Title of Declarant) (SEAL) Subscribed and sworn to before me this _______day of _________, 20_____ Notary Public Company Name:____________________ Page 53 of 1211 BID FORMS BID FORMS G BIDDER ACKNOWLEDGEMENTS By signing below, the bidder acknowledges and confirms that this bid is based on the information contained in all contract documents, including the notice to bidders, plans, specifications, special provisions, and addendum number(s) . (Note: You are responsible to verify the number of addenda prior to the bid opening.) The undersigned further agrees that in case of default in executing the required contract, with necessary bonds, within eight days, (not including Saturdays, Sundays, and legal holidays), after having received a mailed notice that the contract is ready for signature, the proceeds of the check or bond accompanying his bid will become the property of the City of San Luis Obispo. Licensed in accordance with an act providing for the registration of contractors, License No. , Expiration Date . The above statement is made under penalty of perjury, and any bid not containing this information "will be considered non-responsive and will be rejected” by the City. Signature of Bidder (Print Name and Title of Bidder) DIR– Public Works Registration No: Business Name (DBA): Owner/Legal Name: Indicate One: Sole-proprietor  Partnership Corporation List Partners/Corporate Officers: Name Title Name Title Name Title Business Address Street Address Mailing Address City, State, Zip Code Phone Number Fax Number Email Address Date Page 54 of 1211 BID FORMS BID FORMS H QUALIFICATIONS Failure to furnish complete reference information ON THIS FORM, as specified in this project’s Notice to Bidders and indicated below, is cause to reject the bid. Additional information may be attached but is not a substitute for this form. Reference Number 1 Customer Name & Contact Individual Telephone & Email Project Name (Site Address): Is this similar to the project being bid and did this project include curb ramp construction ? Yes □ No □ Describe the services provided and how this project is similar to that which is being bid: Date project completed: Was this contract for a public agency? Yes □ No □ Reference Number 2 Customer Name & Contact Individual Telephone & Email Project Name (Site Address): Is this similar to the project being bid and did this project include curb ramp construction? Yes □ No □ Describe the services provided and how this project is similar to that which is being bid: Date project completed: Was this contract for a public agency? Yes □ No □ Reference Number 3 Customer Name & Contact Individual Telephone & Email Project Name (Site Address): Is this similar to the project being bid and did this project include curb ramp construction? Yes □ No □ Describe the services provided and how this project is similar to that which is being bid: Date project completed: Was this contract for a public agency? Yes □ No □ Page 55 of 1211 BID FORMS BID FORMS I Buy America Federal Clause CERTIFICATION REQUIREMENT FOR PROCUREMENT OF STEEL, IRON, OR MANUFACTURED PRODUCTS. Certificate of Compliance with 49 U.S.C. 5323(j)(1) The bidder or offeror hereby certifies that it will meet the requirements of 49 U.S.C. 5323(j)(1) and the applicable regulations in 49 CFR Part 661.5. Date Signature Company Name Title Certificate of Non-Compliance with 49 U.S.C. 5323(j)(1) The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(1) and 49 CFR 661.5, but it may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j)(2)(B), or 5323(j)(2)(D), and 49 C.F.R. 661.7. Date Signature Company Name Title CERTIFICATION REQUIREMENT FOR PROCUREMENT OF BUSES, OTHER ROLLING STOCK AND ASSOCIATED EQUIPMENT. Certificate of Compliance with 49 U.S.C. 5323(j)(2)I. The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j)(2)I and the regulations at 49 C.F.R. Part 661.11. Date Signature Company Name Title Page 56 of 1211 BID FORMS BID FORMS J Certificate of Non-Compliance with 49 U.S.C. 5323(j)(2)I The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(2)I and 49 C.F.R. 661.11, but may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j)(2)(B), or 5323(j)(2)(D), and 49 CFR 661.7. Date Signature Company Name Title Page 57 of 1211 BID FORMS BID FORMS K Anti-lobbying Form and Disclosure Page 58 of 1211 BID FORMS BID FORMS L EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION CHECK ONE THAT APPLIES:  Applies. This contract/subcontract is over $10,000  Does not apply. Contract/Subcontract is $10,000 or less NOTE: Contractor shall be responsible to submit subcontractor’s certifications at time of award. The bidder ____________________________________________________________, proposed subcontractor _________________________________________________, hereby certifies that he ________________ (has, has not) participated in a previous contract or subcontract subject to the equal opportunity clauses, as required by Executive Orders 10925, 11114, or 11246, and that, where required, he has filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance, a Federal Government contracting or administering agency, or the former President's Committee on Equal Employment Opportunity, all reports due under the applicable filling requirements. Note: The above certification is required by the Equal Employment Opportunity Regulations of the Secretary of Labor (41 CFR 60-1.7(b) (1)), and must be submitted by bidders and proposed subcontractors only in connection with contracts and subcontracts which are subject to the equal opportunity clause. Contracts and subcontracts which are exempt from the equal opportunity clause are set forth in 41 CFR 60-1.5. (Generally only contracts or subcontracts of $10,000 or under are exempt.) Currently, Standard Form 100 (EEO-1) is the only report required by the Executive Orders or their implementing regulations. Proposed prime contractors and subcontractors who have participated in a previous contract or subcontract subject to the Executive Orders and have not filed the required reports should note that 41 CFR 60-1.7(b) (1) prevents the award of contracts and subcontracts unless such contractor submits a report covering the delinquent period or such other period specified by the Federal Highway Administration or by the Director, Office of Federal Contract Compliance, U.S. Department of Labor. (THE BIDDER'S EXECUTION ON THE SIGNATURE PORTION OF THIS PROPOSAL Page 59 of 1211 BID FORMS BID FORMS M SHALL ALSO CONSTITUTE AN ENDORSEMENT AND EXECUTION OF THOSE CERTIFICATIONS WHICH ARE A PART OF THIS PROPOSAL) DEBARMENT AND SUSPENSION CERTIFICATION TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 CHECK ONE THAT APPLIES:  Applies. This contract/subcontract is over $25,000  Does not apply. Contract/Subcontract is $25,000 or less The bidder, under penalty of perjury, certifies that, except as noted below, he/she or any other person associated therewith in the capacity of owner, partner, director, officer, manager: • Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any Federal agency. • Has not been suspended, debarred, voluntarily excluded, or determined ineligible by any Federal agency within the past 3 years. • Does not have a proposed debarment pending; and has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past 3 years. If there are any exceptions to this certification, insert the exceptions in the following space. Exceptions will not necessarily result in denial of award, but will be considered in determining bidder responsibility. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action. Notes: Providing false information may result in criminal prosecution or administrative sanctions. The above certification is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Certification. Page 60 of 1211 BID FORMS BID FORMS N NON-LOBBYING CERTIFICATION FOR FEDERAL-AID CONTRACTS CHECK ONE THAT APPLIES:  Applies. This contract/subcontract is over $100,000  Does not apply. Contract/Subcontract is $100,000 or less The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form- LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. Form can be found in This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Page 61 of 1211 BID FORMS BID FORMS O LABOR STANDARDS AND PREVAILING WAGE REQUIREMENTS CONTRACTOR'S CERTIFICATION To: City of San Luis Obispo/Public Works Dept. Date: 919 Palm Street, San Luis Obispo, CA Project Number: 2000576 C/O: City Engineer Project Name: CDBG Curb Ramps 2022 1. The undersigned, having executed a contract with the City of San Luis Obispo for the construction of the above-identified project, acknowledges that: (a) The Labor Standards Provisions are included in the aforesaid contract. (b) Correction of any infractions of the aforesaid conditions, including infractions by any of his subcontractors and any lower tier subcontractors, is his responsibility: 2. He certifies that: (a) Neither he nor any firm, partnership or association in which he has substantial interest is designated as an ineligible contractor by the Comptroller General of the United States pursuant to Section 5.6(b) of the Regulations of the Secretary of Labor, Part 5 (29 CFR, Part 5) or pursuant to Section 3(a) of the Davis-Bacon Act, as amended (40 U.S.C. 276a-2(a)). (b) No part of the aforementioned contract has been or will be subcontracted to any subcontractor if such subcontractor or any firm, corporation, partnership or association in which such subcontractor has a substantial interest is designated as an eligible contractor pursuant to any of the aforementioned regulatory or statutory provisions. 3. He agrees to obtain and forward to the aforementioned recipient within ten days after the execution of any subcontract, including those executed by his subcontractors and an lower tier subcontractors, a Subcontractor's Certification Concerning Labor Standards and Prevailing Wage Requirements executed by the subcontractors. 4. He certifies that: The legal name and the business address of the undersigned are: The undersigned is: A Single proprietorship A Corporation organized in the State of: ________ A Partnership Other Organization (Describe)_________________________________ Signature: Name and Title: Page 62 of 1211 BID FORMS BID FORMS P LABOR STANDARDS AND PREVAILING WAGE REQUIREMENTS SUBCONTRACTOR'S CERTIFICATION (Contractor to execute with subcontractors and forward to City along with signed contract and bonds) To: City of San Luis Obispo/Public Works Dept. Date: 919 Palm Street, San Luis Obispo, CA Project Number: 2000576 C/O: City Engineer Project Name: CDBG Curb Ramps 2022 1. The undersigned, having executed a contract with (Contractor or Subcontractor) for in the amount of $ in (Nature of Work) the construction of the above-identified project, certifies that: (a) The Labor Standards Provisions of the Contract for Construction are included in the aforesaid contract. (b) Neither he nor any firm, corporation, partnership or association in which he has a substantial interest is designated as an ineligible contractor by the Comptroller General of the United States pursuant to Section 5.60(b) of the Regulations of the Secretary of Labor, Part 5 (29 CFR, Part 5), or pursuant to Section 3(a) of the Davis-Bacon Act, as amended (40 U.S.C. 276a-2(a)). (c) No part of the aforementioned contract has been or will be subcontracted to any subcontractor if such subcontractor or any firm, corporation, partnership or association in which such subcontractor has a substantial interest in designate as an ineligible contractor pursuant to the aforesaid regulatory or statutory provisions. 2. He agrees to obtain and forward to the contractor, for transmittal to the recipient, within ten days after the execution of any lower subcontract, a Subcontractor's Certification Concerning Labor Standards and Prevailing Wage Requirements, executed by the lower tier subcontractor, in duplicate. 3. He certifies that: The legal name and the business address of the undersigned is: The undersigned is: A Single proprietorship A Corporation organized in the State of: A Partnership Other Organization (Describe)_________________________________ Signature: Name and Title: Page 63 of 1211 BID FORMS BID FORMS Q (Make additional copies as needed for all subcontractors) Page 64 of 1211 BID FORMS BID FORMS R Local Agency Contract Number: Federal-Aid Project Number: Bid Opening Date: Contract Award Date: Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate. 25. Local Agency Representative's Signature 26. Date 16. Preparer's Signature 17. Date 27. Local Agency Representative's Name 28. Phone 18. Preparer's Name 19. Phone 29. Local Agency Representative's Title 20. Preparer's Title IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Names of the First Tier DBE Subcontractors and their respective item(s) of work listed above must be consistent, where applicable with the names and items of the work in the "Subcontractor List" submitted with your bid. Written confirmation of each listed DBE is required. 15. TOTAL CLAIMED DBE PARTICIPATION Local Agency to Complete this Section 14. DBE Dollar Amount 13. DBE Contact Information (Must be certified on the date bids are opened) 12. DBE Certification Number 11. Description of Work, Service, or Materials Supplied 10. Bid Item Number CONSTRUCTION CONTRACT DBE COMMITMENT The City of San Luis Obispo (“City”), established a Disadvantaged Business Enterprise (DBE) goal for this project. 1. Local Agency:_City of San Luis Obispo______ 2. Contract DBE Goal:_______25%__________ 3. Project Description:_ CDBG Curb Ramps 2022 (Specification 2000576)__________________________ 4. Project Location:__ Augusta Street – Bishop St to San Marcos Ct____________________ Bidder’s Name:______________________ 6. Prime Certified DBE: 7. Bid Amount:_______________ 8. Total Dollar Amount for ALL Subcontractors: ___________9. Total Number of ALL Subcontractors: ________ DISTRIBUTION: 1. Original –Agency. 2. Copy – Federal Grant Administrator. Failure to submit to within 30 days of contract execution may result in de-obligation of federal funds on contract. Include additional copy with award package. Page 65 of 1211 BID FORMS BID FORMS S DBE GOOD FAITH EFFORT VERIFICATION Construction Project: CDBG Curb Ramps 2022 Specification No. 2000576 Bidder Name: ________________________________ Bidder Phone Number: __________________ Bidder Address: ________________________________________________________________________ Bid Meets DBE Goal (yes or no) ________ If no, proceed with Good Faith Effort Verification. The City of San Luis Obispo (“City”), in accordance with 40 CFR part 33, requires Bidders to provide information pertaining to the use of minority businesses, women’s business enterprises, and labor surplus area firms (referred to herein as “DBEs”). Please provide the following information, using additional sheets of paper if necessary, and submit this form with your bid. Bidder should also submit mail logs, phone logs, electronic searches and communication, newspaper clippings or similar records documenting efforts to meet the Good Faith Effort requirements. 1. Solicitation Lists/Publications. The names and dates of each publication in which a request for DBE participation for this Project was placed by the Bidder (please attach copies of advertisements and/or proofs of publication), or information related to solicitation lists on which DBEs were included: Publications/Solicitation Lists Dates of Advertisement 2. Soliciting DBEs as Potential Sources. The names and dates of written notices sent to certified DBEs soliciting bids for this Project and the dates and methods used for following up initial solicitations to determine with certainty whether the DBEs were interested (please attach copies of solicitations, telephone records, fax confirmations, etc.): Name of DBEs Solicited Date of Initial Solicitation Follow Up Methods and Dates Page 66 of 1211 BID FORMS BID FORMS T 3. Division of Requirements. The items of work which the Bidder made available to DBE firms including, where appropriate, any breaking down of the contract work items (including those items normally performed by the Bidder with its own forces) into economically feasible units to facilitate DBE participation. It is the Bidder’s responsibility to demonstrate that sufficient work to facilitate DBE participation was made available to DBE firms. Items of Work Bidder Normally Performs Item? (Yes/No) Breakdown of Items Amount ($) Percentage of Contract (%) 4. Delivery Schedules. Efforts made to establish delivery schedules, where the requirement permits, which encourage participation by small and minority businesses, and women’s business enterprises: ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 5. Contracting with DBE Consortium. Efforts to encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually: ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 6. Services of Other Agencies. The names of agencies, organizations or groups contacted to provide assistance in contacting, recruiting and using DBE firms, such as the Small Business Administration and the Minority Business Development Agency of the Department of Commerce (please attach copies of requests to agencies and any responses received, i.e., lists, Internet page download, etc.): Name of Agency/Organization Method/Date of Contact Results Any additional data to support a demonstration of good faith efforts (use additional sheets if necessary): ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ Page 67 of 1211 BID FORMS BID FORMS U ATTACH BIDDER'S BOND TO ACCOMPANY BID Know all men by these presents: That we ____________________________________________, AS PRINCIPAL, and _______________________________________________________, AS SURETY, are held and firmly bound unto the City of San Luis Obispo in the sum of: ____________________________________________________ Dollars (_____________) to be paid to said City or its certain attorney, its successors and assigns; for which payment, well and truly to be made, we bind ourselves, our heirs, executors and administrators, successors or assigns, jointly and severally, firmly by these presents: THE CONDITION OF THIS OBLIGATION IS SUCH, that if the certain bid of the above bounden ______________________________________________________________________ to construct ___________________________________________________________________ (insert name of street and limits to be improved or project) dated _____________________ is accepted by the City of San Luis Obispo, and if the above bounden _______________________________________________________, his heirs, executors, administrators, successors, and assigns shall duly enter into and execute a contract for such construction and shall execute and deliver the two bonds described within ten (10) days (not including Saturdays, Sundays, or legal holidays) after the above bounden, ______________________________________________________, has received notice by and from the said City of San Luis Obispo that said contract is ready for execution, then this obligation shall become null and void; otherwise, it shall be and remain in full force and virtue. IN WITNESS WHEREOF, we hereunto set our hands and seals this ___ day of ______, 20____. Bidder Principal: Signature Date Title: Surety: Bidder's signature is not required to be notarized. Surety's signature must be notarized. Equivalent form may be substituted (Rev. 6-30-14) Page 68 of 1211 SPECIAL PROVISIONS 1 SPECIAL PROVISIONS ORGANIZATION Special provisions are under headings that correspond with the main section heading of the Standard Specifications. Each special provision begins with a revision clause that describes or introduces a revision to the Standard Specifications. Any paragraph added or deleted by a revision clause does not change the paragraph number of the Standard Specifications for any other reference to a paragraph of the Standard Specifications. DIVISION I GENERAL PROVISIONS 1 GENERAL Add to Section 1-1.01 GENERAL: The work must be done in compliance with the City of San Luis Obispo, Department of Public Works: 1. CDBG Curb Ramps 2022 Special Provisions 2. City of San Luis Obispo Standard Specifications and Engineering Standards – 2020 edition 3. State of California, Department of Transportation Standard Specifications and Standard Plans – 2015 edition In case of conflict between documents, governing ranking must comply with section 5- 1.02 of the City of San Luis Obispo’s Standard Specifications. Failure to comply with the provisions of these sections is a material breach of contract: 1. Sections 5 through 8 of the Standard Specifications 2. Section 12 through 15 of the Standard Specifications 3. Section 77-1 of the Standard Specifications 4. Section 81 of the Standard Specifications 5. authorized working hours 6. OSHA compliance 2 BIDDING Add To Section 2-1.12A DISADVANTAGED BUSINESS ENTERPRISES, General: The Contractor is directed to the provisions in Appendix B of these contract documents titled: “REQUIREMENTS FOR FEDERALLY ASSISTED CONSTRUCTION PROJECTS”. These provisions apply to all work performed under this contract. The Contractor is required to physically insert these same provisions into each subcontract and subsequent lower-tier subcontract. They may not be incorporated by reference. Failure to comply with this requirement represents grounds for contract termination and debarment. Bidders are advised that, as required by Federal law, the City of San Luis Obispo has implemented a Disadvantaged Business Enterprise (DBE) goal. Refer to the Federal Page 69 of 1211 SPECIAL PROVISIONS SPECIAL PROVISIONS 2 requirements section of the contract documents for requirements. The DBE contract goal for this project has been set at 25.0%. 3 CONTRACT AWARD AND EXECUTION Replace 1st and 2nd paragraph in Section 3-1.18 CONTRACT EXECUTION with: Upon notification of project award, return: 1. executed contract 2. insurance 3. contract bonds within five business days after the bidder receives the contract. 4 SCOPE OF WORK Add to Section 4-1.03 WORK DESCRIPTION: Comply with the provisions of Section(s) 5, 12, 13, 15, 39, 73, 77, 82, and 84 for general, material, construction, and payment specifics. 7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC Add to Section 7-1.03B PUBLIC CONVENIENCE, Traffic Control Plan Unless otherwise stated in this section, work hours are Monday through Friday between 7:00 a.m. to 4:00 p.m. at all the affected streets. When school is in regular session work hours are 9:00 a.m. to 2:00 p.m. (Tuesday through Friday) and 9:30 a.m. to 2:00 p.m. on Mondays, unless otherwise approved by Engineer. All work at Augusta/Sydney intersection shall be constructed and completed during the summer break (June 9-August 16, 2023). When work occurs during school session, the Contractor will be responsible to provide flaggers and maintain traffic for student drop off and pick up at no additional cost to the City. Where curb ramp improvements are proposed at multiple corners of the intersection, the contractor shall provide a phasing plan showing schedule for demolition and construction of ramps in a manner that retains pedestrian access on at least one side of the street at all times. The construction phasing approach for these ramps shall be approved to the satisfaction of the City. Provide traffic control plan and traffic control application at or before the preconstruction meeting. Traffic control plan must be drawn to scale. Traffic control application may be obtained on the City’s website: www.slocity.org/government/department-directory/public-works/documents- online/construction-documents Page 70 of 1211 SPECIAL PROVISIONS SPECIAL PROVISIONS 3 Upon approval of the traffic control plan, the City will issue a no-fee Encroachment Permit. Permittee is responsible to comply with all conditions of the traffic control plan. Complete work using due diligence to restore free flowing of traffic. 8 PROSECUTION AND PROGRESS Replace the 1st paragraph in Section 8-1.02A SCHEDULE, General with: Provide a Level 1 schedule for this work. Add to Section 8-1.04B START OF JOB SITE ACTIVITIES, Standard Start: Contract time will start on the first Monday after preconstruction meeting. DIVISION V SURFACINGS AND PAVEMENTS 39 ASPHALT CONCRETE Add to Section 39-1.02B MATERIALS, Tack Coat All vertical edges to be paved against shall be tack coated. These include, but are not limited to, curb faces, gutter lips, swale edges, cross gutter edges, and asphalt concrete edges. DIVISION VIII MISCELLANEOUS CONSTRUCTION 73 CONCRETE CURBS AND SIDEWALKS Add to Section 73-1.03 Construction You must meet with the Engineer for an average of 1.5 hours total per ramp to complete the following coordination tasks: 1. Before saw-cutting to agree on the limits of demolition and removal. 2. After formwork is set, to verify that grades meet those stated on the Plans. 3. Upon completion of new curb ramp installation to verify finished grades. Curb ramps have been designed to comply with the current Caltrans Standard Plan detail RSP A88A (dated 3-30-16 as of plan preparation) and City Std. 4440. Field modifications to the design plans, if approved by the Engineer, must meet the dimensional and slopes requirements of Standard Plan RSP A88A. When measuring the ADA facility’s dimension and slopes, consider the required dimension or slope to have been met if the recorded individual measurements comply with the following: • Dimensional measurement does not exceed ½-inch from the dimension shown, i.e. ½-inch less than a minimum dimension, or ½-inch greater than a maximum dimension Page 71 of 1211 SPECIAL PROVISIONS SPECIAL PROVISIONS 4 • Slope measurement does not exceed 0.2 percent from the slope show You must give the City a 24-hour notice for inspection of formwork before pouring the concrete. You must calibrate all levels used in construction at the beginning of each work day. See Exhibit A – Ramp Reinforcement Limits in Appendix E for more information regarding limits of reinforcement for Case A and Case B ramps. You must ensure that new ramp flowlines do not create any "ponding" areas. You are responsible for storing existing signs and boxes for reuse. Add to Section 73-1.04 Payment As shown on the bid item list, each new curb ramp will be paid in lump sum for all work shown on the plans for the individual corner. The lump sum price paid for each curb ramp includes all of the work involved in installing the new curb ramps. The lump sum price includes all work shown on the Plans, as specified in the Standard Specifications and these Special Provisions. It also includes work for: 1. public notices 2. traffic control 3. layout 4. elevation control 5. tree protection, if applicable 6. protection of existing utilities and improvements 7. saw-cutting 8. demolition 9. removal and disposal of demolished material 10. formwork 11. traffic stripes and pavement markings & red painting 12. asphalt concrete “paveouts”, including final HMA and temporary cold mix 13. asphalt concrete over Portland cement concrete (PCC) “paveouts”, including paving grid and temporary cold mix 14. relocation of signs 15. furnishing and installation of new signs, post and sleeves 16. furnishing and installation of new pull boxes 17. installation of curbs, curb & gutter, spandrel, sidewalk and ramps 18. reinstalling existing pull boxes 19. installation of new sidewalk underdrains 20. landscape replacement, if applicable 21. repair of existing irrigation systems & modifications as needed 22. resetting bricks 23. cleanup Page 72 of 1211 SPECIAL PROVISIONS SPECIAL PROVISIONS 5 Payment for varying widths of “paveouts” per plans required by City Standards are included in the applicable curb ramp replacement lump sum price. Payment for AC/PCC replacement at the intersection of Augusta and Sydney will be paid by a separate bid item, as shown on the plans. Full compensation for concrete cross gutters is paid on a square footage basis as shown in the bid item list and is identified as the portion of the cross gutter between gutter spandrels. Bid items 29 and 30 are additional items intended for field changes and additions to work shown on the plans. The intent of the additional items is to provide additional payment to conform specified work to existing field conditions on a per unit price basis. Section 9 - 1.06 is waived for these items and you are advised that items may be increased, decreased or deleted in their entirety without any additional compensation. 77 LOCAL INFRASTRUCTURE Add to Section 77-1.01 EXCAVATION AND RESTORATION, GENERAL; Protection and restoration of survey monuments and bench marks must comply with Section 5-1.26 and 5-1.36. DIVISION IX TRAFFIC CONTROL DEVICES 84 MARKINGS Add to Section 84-2.03C Application of Stripes and Markings: Preformed thermoplastic is only allowed with the approval of the Engineer. Replace Section 84-9.04 Full compensation for work specified in Section 84 and applicable Engineering Standards is included in the payment for other bid items unless a bid item of work is shown on the Bid Item List. DIVISION XIII APPENDICES Add Section 100-1.01, APPENDICES Refer to Appendix A - Form of Agreement Refer to Appendix B - Requirements for Federally Assisted Construction Projects Funded with Community Development Block Grants Refer to Appendix C- Ramp Reinforcement Limits Exhibit Refer to Appendix D- Federal Wage Determination Page 73 of 1211 APPENDIX APPENDIX 0 APPENDIX A - FORM OF AGREEMENT THIS AGREEMENT, made on _____________, by and between the City of San Luis Obispo, a municipal corporation and charter city, San Luis Obispo County, California (hereinafter called the Owner) and COMPANY NAME (hereinafter called the Contractor). WITNESSETH: That the Owner and the Contractor for the consideration stated herein agree as follows: ARTICLE 1, SCOPE OF WORK: The Contractor shall perform everything required to be performed, shall provide and furnish all of the labor, materials, necessary tools, expendable equipment, and all utility and transportation services required to complete all the work of construction of NAME OF PROJECT, SPEC NO. in strict compliance with the plans and specifications therefor, including any and all Addenda, adopted by the Owner, in strict compliance with the Contract Documents hereinafter enumerated. It is agreed that said labor, materials, tools, equipment, and services shall be furnished and said work performed and completed under the direction and supervision and subject to the approval of the Owner or its authorized representatives. ARTICLE II, CONTRACT PRICE: The Owner shall pay the Contractor as full consideration for the faithful performance of this Contract, subject to any additions or deductions as provided in the Contract Documents, the contract prices as follows: Item No. Item Unit of Measure Estimated Quantity Item Price (in figures) Total (in figures) 1. 2. 3. BID TOTAL: $ .00 Payments are to be made to the Contractor in compliance with and subject to the provisions embodied in the documents made a part of this Contract. Should any dispute arise respecting the true value of any work omitted, or of any extra work which the Contractor may be required to do, or respecting the size of any payment to the Page 74 of 1211 APPENDIX APPENDIX 1 Contractor, during the performance of this Contract, said dispute shall be decided by the Owner and its decision shall be final, and conclusive. ARTICLE III, COMPONENT PARTS OF THIS CONTRACT: The Contract consists of the following documents, all of which are as fully a part thereof as if herein set out in full, and if not attached, as if hereto attached: 1. Notice to Bidders and Information for Bidders 2. Standard Specifications and Engineering Standards 3. Special Provisions, any Addenda, Plans and Contract Change Orders 4. Caltrans Standard Specifications and Standard Plans 2015 5. Accepted Bid and Bid Bond 6. List of Subcontractors 7. Public Contract Code Sections 10285.1 Statement 8. Public Contract Code Section 10162 Questionnaire 9. Public Contract Code Section 10232 Statement 10. Labor Code Section 1725.5 Statements 11. Bidder Acknowledgements 12. Qualifications 13. Non-collusion Declaration 14. Agreement and Bonds 15. Insurance Requirements and Forms ARTICLE IV INDEMNIFICATION: The Contractor shall indemnify, defend with legal counsel approved by City, and hold harmless City, its officers, officials, employees and volunteers from and against all liability, loss, damage, expense, cost (including without limitation reasonable legal counsel fees, expert fees and all other costs and fees of litigation) of every nature arising out of or in connection with the Contractor’s negligence, recklessness or willful misconduct in the performance of work hereunder or its failure to comply with any of its obligations contained in this Agreement, except such loss or damage which is caused by the sole or active negligence or willful misconduct of the City. Should conflict of interest principles preclude a single legal counsel from representing both the City and the Contractor, or should the City otherwise find the Contractor’s legal counsel unacceptable, then the Contractor shall reimburse the City its costs of defense, including without limitation reasonable legal counsel fees, expert fees and all other costs and fees of litigation. The Contractor shall promptly pay any final judgment rendered against the City (and its officers, officials, employees and volunteers) with respect to claims determined by a trier of fact to have been the result of the Contractor’s negligent, reckless or wrongful performance. It is expressly understood and agreed that the foregoing provisions are intended to be as broad and inclusive as is permitted by the law of the State of California and will survive termination of this Agreement. The Contractor obligations under this section apply regardless of whether such claim, charge, damage, demand, action, proceeding, loss, stop notice, cost, expense, judgment, civil fine or penalty, or liability was caused in part or contributed to by an Indemnitee. Page 75 of 1211 APPENDIX APPENDIX 2 However, without affecting the rights of the City under any provision of this agreement, the Contractor shall not be required to indemnify and hold harmless the City for liability attributable to the active negligence of City, provided such active negligence is determined by agreement between the parties or by the findings of a court of competent jurisdiction. In instances where the City is shown to have been actively negligent and where the City’s active negligence accounts for only a percentage of the liability involved, the obligation of the Contractor will be for that entire portion or percentage of liability not attributable to the active negligence of the City. ARTICLE V. It is further expressly agreed by and between the parties hereto that should there be any conflict between the terms of this instrument and the bid of said Contractor, then this instrument shall control and nothing herein shall be considered as an acceptance of the said terms of said bid conflicting herewith. Article VI. Contractor is subject to compliance with all Required Federal Clauses per Exhibit A. IN WITNESS WHEREOF, the parties to these presents have hereunto set their hands this year and date first above written. CITY OF SAN LUIS OBISPO A Municipal Corporation __________________________________ Derek Johnson, City Manager APPROVED AS TO FORM CONTRACTOR: Name of Company ________________________________ By:________________________________ J. Christine Dietrick City Attorney Name of CAO/President Its: CAO/PRESIDENT (2nd signature required if Corporation): By:________________________________ Name of Corporate Officer Its: ____________________ Page 76 of 1211 APPENDIX APPENDIX 3 EXHIBIT A FORM OF AGREEMENT – REQUIREMENTS FOR FEDERALLY ASSISTED CONSTRUCTION PROJECTS FUNDED WITH COMMUNITY DEVELOPMENT BLOCK GRANTS TABLE OF CONTENTS A. FEDERAL CONTRACT REQUIREMENTS AND PROVISIONS (HUD-CDBG) 1. General 2. Federal Laws and Regulations 3. Prompt Progress Payment to Subcontractors 4. Prompt Payment of Funds Withheld from Subcontractors 5. Restrictions on Lobbying (Certificate required over $100,000) 6. Debarment and Suspension (Certificate required over $25,000) 7. Disadvantaged Business Enterprises (DBE) 7.1 General Requirements 7.2 DBE Commitment Submittal 7.3 Good Faith Effort Submittal 7.4 Execution of Contract and Submission of DBE Information. 7.5 Subcontractor and DBE Records 7.6 DBE Certification Status 7.7 Performance of Subcontractors 8. Conflict of Interest 9. Interest of Members of, or Delegates to, Congress 10. Required Federal Contract Provisions 10.1 General 10.2 Breach of Contract 10.3 Termination a) Termination of Convenience b) Termination for Default 10.4 Non-discrimination/Equal Employment Opportunity- (Contracts/Subcontracts over $10,000) 10.4.1 Equal Opportunity Clause 10.4.2 Notice of Requirement for Affirmative Action to Ensure Equal Opportunity 10.4.3 Standard Federal Equal Employment Opportunity Construction Contract Specifications 10.4.4 Segregated Facilities 10.5 Federal Labor Standards Provisions (Construction Contracts Over $2,000) (Copeland, Davis Bacon, Contract Work Hours and Safety Standards) 10.5.1 Classifications and wages 10.5.2 Contract Work Hours and Safety Standards Act 10.5.3 Record Retention 10.6 Compliance with Section 3 of the Housing and Urban Development Act of 1968 10.7 Access to Records 10.8 Record Retention Page 77 of 1211 APPENDIX APPENDIX 4 10.9 Conservation 10.10 Environmental Protection B. FEDERAL WAGE DETERMINATIONS Federal Wage Determinations for Construction Contracts Subject to Davis Bacon Page 78 of 1211 APPENDIX APPENDIX 5 A. FEDERAL CONTRACT REQUIREMENTS AND PROVISIONS (HUD) 1. General. The Contractor understands that this project is financed partially or in whole by U.S. Department of Housing and Urban Development (HUD) Community Development Block Grant (CDBG) Program funds and is subject to all of the applicable terms and conditions of the grant and regulations and requirements of the Department. The aforementioned program requires that this contract and subsequent subcontracts contain the provisions and clauses set forth in this section. These provisions shall apply to all work performed under this contract. The Contractor is required to physically insert these same provisions into each subcontract and subsequent lower-tier subcontract. They may not be incorporated by reference. Failure to comply with this requirement represents grounds for contract termination and debarment. 2. Federal Laws and Regulations. The Contractor understands that all Federal laws, regulations, policies and administrative practices applicable to this project may be modified from time to time, The Contractor agrees that the most recent of such Federal requirements will govern the administration of this contract, The Contractor agrees to include in all subcontracts associated with this project specific notice that Federal requirements may change and the changed requirements will apply to the project. 3. Prompt Progress Payment to Subcontractors. A prime contractor or subcontractor shall pay any subcontractor not later than 10 days of receipt of each progress payment in accordance with the provision in Section 7108.5 of the California Business and Professions Code concerning prompt payment to subcontractors. The 10 days is applicable unless a longer period is agreed to in writing. Any delay or postponement of payment over 30 days may take place only for good cause and with the agency’s prior written approval. Any violation of Section 7108.5 shall subject the violating contractor or subcontractor to the penalties, sanction and other remedies of that section. This requirement shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a subcontractor. This provision applies to both DBE and non-DBE subcontractors. 4. Prompt Payment of Funds Withheld to Subcontractors. Retention will not be withheld by the City from progress payments due the prime contractor. Withholding of retention by the prime contractor or subcontractors is prohibited and no retention will be held by the prime contractor from progress due subcontractors. Any violation of this provision shall subject the violating prime contractor or subcontractor to the penalties, sanctions and other remedies specified in Section 7108.5 of the California Business and Professions Code. This requirement shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the prime Contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor or deficient subcontract performance, or noncompliance by a subcontractor. This provision applies to both DBE and non-DBE prime contractors and subcontractors. 5. Federal Restrictions on Lobbying. Reference: DOT's 49 CFR 20 or HUD's 24 CFR 87. (Applicable to federally funded contracts and all related subcontracts which exceed $100,000) Page 79 of 1211 APPENDIX APPENDIX 6 Section 1352, Title 31, United States Code prohibits Federal funds from being expended by the recipient or any lower tier subrecipient of a Federally assisted contract to pay for any person for influencing or attempting to influence a Federal agency or Congress in connection with the awarding of any Federally assisted contract, the making of any Federal grant or loan, or the entering into of any cooperative agreement. If any funds other than Federal funds have been paid, or will be paid, to any person for influencing or attempting to influence a Federal agency or Congress in connection with the awarding of any Federally assisted contract, the making of any Federal grant or loan, or the entering into of any cooperative agreement, the potential contractor shall complete and submit an executed certification ("Certification of Restrictions on Lobbying") and, if required, submit a completed disclosure form ("Disclosure of Lobbying Activities", standard form - LLL) as part of the bid documents. Certificate and disclosure form with instructions are included in this Proposal. The above-referenced certification and disclosure of lobbying activities shall be included in each subcontract and any lower-tier contracts exceeding $100,000. All disclosure forms, but not certifications, shall be forwarded from tier to tier until received by the Engineer. The Contractor, subcontractors and any lower-tier contractors shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by the Contractor, subcontractors and any lower-tier contractors. An event that materially affects the accuracy of the information reported includes: (1) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or (2) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or, (3) A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt to influence a covered federal action. 6. Debarment and Suspension. Reference: DOT's 49 CFR 29 ; HUD's 24 CFR 24. Unless otherwise permitted by law, any person that is debarred, suspended, or voluntarily excluded by any Federal department or agency may not take part in any federally assisted project during the period of debarment, suspension, or voluntary exclusion. Accordingly, any grantee or recipient of federal funds may not enter into any transaction with such debarred, suspended, or voluntarily excluded persons during such period. 6.1. Contacts/Subcontracts over $25,000. Each potential contractor is required to sign and submit the certification form found in this proposal. The Contractor agrees to obtain similar certifications on debarment and suspension for its subcontracts which exceed $25,000. 6.2. Contracts/Subcontracts under $25,000. In general, lower level employees or subcontracts and/or procurements of less than $25,000 will not be covered by the certification procedures except in the case of procurements with individuals that would have a critical influence on, or substantive control over the project; nevertheless, a Page 80 of 1211 APPENDIX APPENDIX 7 participant is not authorized to involve a lower level employee or enter into a contract of less than $25,000 with a person actually known by the participant to be debarred, suspended or voluntarily excluded. 6.3. Continuing duty to Disclose. Each contractor and subcontractor shall provide immediate written notice if, at any time, it learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 7. Disadvantaged Business Enterprise (DBE). This project is a federally assisted project funded through the Department of Housing and Urban Development (HUD). HUD requires that minority firms, women’s business enterprises and labor surplus areas firms are used when possible on all contracts funded partially or in whole by HUD funds. To facilitate this requirement, the City encourages the utilization of Disadvantaged Business Enterprises (DBEs) and firms as defined in 49 CFR 26 in the performance of all federally-assisted contracts financed in whole or in part with federal funds. The Contractor, or subcontractor, shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. The Regulations in their entirety are incorporated herein by this reference. 7.1. General Requirements. Bidders shall be fully informed in respect to the requirements of the DBE Regulations. The DBE Regulations in their entirety are incorporated herein by this reference. Attention is directed to the following matters: Take necessary and reasonable steps to ensure that DBEs have opportunity to participate in the contract (49 CFR 26). To ensure there is equal participation of the DBE groups specified in 49 CFR 26.5, the City specifies a goal for DBEs. A DBE firm is a member of one of the following groups: 1. Black Americans 2. Native Americans 3. Asian-Pacific Americans 4. Women 5. Hispacin Americans 6. Subcontinent Asian Americans 7. Any individual or groups who are socially and economically disadvantage Make work available to DBEs and select work parts consistent with available DBE subcontractors and suppliers. Meet the DBE goal shown in the Notice to Bidders or demonstrate that you made adequate “good faith efforts” to meet this goal. It is your responsibility to verify that the DBE firm is certified as DBE at date of bid opening. For a list of DBEs certified by the California Unified Certification Program, go to: http://www.dot.ca.gov/hq/bep/find_certified.htm Only DBE participation will count towards the DBE goal. DBE participation will count Page 81 of 1211 APPENDIX APPENDIX 8 towards the Agency's Annual Anticipated DBE Participation Level and the California statewide goal. Credit for materials or supplies you purchase from DBEs counts towards the goal in the following manner: 1. 100 percent counts if the materials or supplies are obtained from a DBE manufacturer. 2. 60 percent counts if the materials or supplies are obtained from a DBE regular dealer. 3. Only fees, commissions, and charges for assistance in the procurement and delivery of materials or supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55 defines "manufacturer" and "regular dealer." You receive credit towards the goal if you employ a DBE trucking company that performs a commercially useful function as defined in 49 CFR 26.55. DBE Commitment Submittal. Submit DBE information on the “CONSTRUCTION CONTRACT DBE COMMITMENT,” form found in the Bid Forms section of the Contract Documents. Submit written confirmation from each DBE stating that it is participating in the contract. Include confirmation with the DBE Commitment form. A copy of a DBE's quote will serve as written confirmation that the DBE is participating in the contract. 7.2. Good Faith Efforts Submittal. If you have not met the DBE goal, complete and submit the “DBE INFORMATION - GOOD FAITH EFFORTS,” form found in the Bid Forms with the bid showing that you made adequate good faith efforts to meet the goal. Only good faith efforts directed towards obtaining participation by DBEs will be considered. If your DBE Commitment form shows that you have met the DBE goal or if you are required to submit the DBE Commitment form, you must also submit good faith efforts documentation within the specified time to protect your eligibility for award of the contract in the event the City finds that the DBE goal has not been met. Good faith efforts documentation must include the following information and supporting documents, as necessary: 1. Items of work you have made available to DBE firms. Identify those items of work you might otherwise perform with its own forces and those items that have been broken down into economically feasible units to facilitate DBE participation. For each item listed, show the dollar value and percentage of the total contract. It is your responsibility to demonstrate that sufficient work to meet the goal was made available to DBE firms. 2. Names of certified DBEs and dates on which they were solicited to bid on the project. Include the items of work offered. Describe the methods used for following up initial solicitations to determine with certainty if the DBEs were interested, and the dates of the follow-up. Attach supporting documents such as copies of letters, memos, facsimiles sent, telephone logs, telephone billing statements, and other evidence of solicitation. You are reminded to solicit certified DBEs through all reasonable and available means and provide sufficient time to allow DBEs to respond. 3. Name of selected firm and its status as a DBE for each item of work made available. Include name, address, and telephone number of each DBE that provided a quote and Page 82 of 1211 APPENDIX APPENDIX 9 their price quote. If the firm selected for the item is not a DBE, provide the reasons for the selection. 4. Name and date of each publication in which you requested DBE participation for the project. Attach copies of the published advertisements. 5. Names of agencies and dates on which they were contacted to provide assistance in contacting, recruiting, and using DBE firms. If the agencies were contacted in writing, provide copies of supporting documents. 6. List of efforts made to provide interested DBEs with adequate information about the plans, specifications, and requirements of the contract to assist them in responding to a solicitation. If you have provided information, identify the name of the DBE assisted, the nature of the information provided, and date of contact. Provide copies of supporting documents, as appropriate. 7. List of efforts made to assist interested DBEs in obtaining bonding, lines of credit, insurance, necessary equipment, supplies, and materials, excluding supplies and equipment that the DBE subcontractor purchases or leases from the prime contractor or its affiliate. If such assistance is provided by you, identify the name of the DBE assisted, nature of the assistance offered, and date. Provide copies of supporting documents, as appropriate. 8. Any additional data to support demonstration of good faith efforts. 7.3. Execution of Contract and Submission of Bidder DBE Information. A "BIDDER - DBE INFORMATION" form is included in the contract documents to be executed by the successful bidder. The purpose of the form is to collect data required under 49 CFR 26. Even if no DBE participation will be reported, the successful bidder must execute and return the form. The successful bidder's "BIDDER - DBE INFORMATION" form should include the names, addresses and phone numbers of DBE firms that will participate, with a complete description of work or supplies to be provided by each, and the dollar value of each DBE transaction. When 100 percent of a contract item of work is not to be performed or furnished by a DBE, a description of the exact portion of that work to be performed or furnished by that DBE should be included in the DBE information, including the planned location of that work. A successful bidder certified as a DBE should describe the work it has committed to performing with its own forces as well as any other work that it has committed to be performed by DBE subcontractors, suppliers and trucking companies. The successful bidder is encouraged to provide written confirmation from each DBE that the DBE is participating in the contract. A copy of a DBE's quote will serve as written confirmation that the DBE is participating in the contract. If a DBE is participating as a joint venture partner, the successful bidder is encouraged to submit a copy of the joint venture agreement. The "BIDDER - DBE INFORMATION" form shall be completed and returned to the City by the successful bidder with the executed contract and contract bonds. 7.4. Subcontractor and DBE Records. The Contractor shall maintain records showing the name and business address of each first-tier subcontractor. The records shall Page 83 of 1211 APPENDIX APPENDIX 10 also show the name and business address of every DBE subcontractor, DBE vendor of materials and DBE trucking company, regardless of tier. The records shall show the date of payment and the total dollar figure paid to all of these firms. DBE prime contractors shall also show the date of work performed by their own forces along with the corresponding dollar value of the work. Upon completion of the contract, a summary of these records shall be prepared on "Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First Tier Subcontractors" Form CEM-2402(F) and certified correct by the Contractor or the Contractor's authorized representative, and shall be furnished to the Engineer. The form shall be furnished to the Engineer within 90 days from the date of contract acceptance. The amount of $10,000 will be withheld from payment until a satisfactory form is submitted. Prior to the fifteenth of each month, the Contractor shall submit documentation to the Engineer showing the amount paid to DBE trucking companies. The Contractor shall also obtain and submit documentation to the Engineer showing the amount paid by DBE trucking companies to all firms, including owner-operators, for the leasing of trucks. If the DBE leases trucks from a non-DBE, the Contactor may count only the fee or commission the DBE receives as a result of the lease arrangement. The Contractor shall also obtain and submit documentation to the Engineer showing the truck number, owner's name, California Highway Patrol CA number, and if applicable, the DBE certification number of the owner of the truck for all trucks used during that month. This documentation shall be submitted on "Monthly DBE Trucking Verification" Form CEM- 2404(F). 7.5. DBE Certification Status. If a DBE subcontractor is decertified during the life of the project, the decertified subcontractor shall notify the Contractor in writing with the date of decertification. If a subcontractor becomes a certified DBE during the life of the project, the subcontractor shall notify the Contractor in writing with the date of certification. The Contractor shall furnish the written documentation to the Engineer. Upon completion of the contract, "Disadvantaged Business Enterprises (DBE) Certification Status Change" Form CEM-2403(F) indicating the DBEs' existing certification status shall be signed and certified correct by the Contractor. The certified form shall be furnished to the Engineer within 90 days from the date of contract acceptance. 7.6. Performance of Subcontractors. The subcontractors listed by the contractor in the bid proposal shall include therein the name and address of each subcontractor to whom the bidder proposes to subcontract portions of the work in an amount in excess of one-half of one percent of the total bid in accordance with the Subletting and Subcontracting Fair Practices Act, commencing with Section 4100 of the Public Contract Code. The bidder’s attention is invited to other provisions of the Act related to the imposition of penalties for a failure to observe its provisions by using unauthorized subcontractors or by making unauthorized substitutions. DBEs must perform work or supply materials as listed in the “BIDDER - DBE COMMITMENT” form specified in Section 7.2 above. Do not terminate a DBE listed subcontractor for convenience and perform the work with your own forces or obtain materials Page 84 of 1211 APPENDIX APPENDIX 11 from other sources without prior written authorization from the City. The City grants authorization to use other forces or sources of materials for requests that show any of the following justifications: 1. Listed DBE fails or refuses to execute a written contract based on plans and specifications for the project. 2. You stipulate a bond is a condition of executing the subcontract and the listed DBE fails to meet your bond requirements. 3. Work requires a contractor’s license and listed DBE does not have a valid license under Contractors License Law. 4. Listed DBE fails or refuses to perform the work or furnish the listed materials. 5. Listed DBE's work is unsatisfactory and not in compliance with the contract. 6. Listed DBE delays or disrupts the progress of the work. 7. Listed DBE becomes bankrupt or insolvent. If a listed DBE subcontractor is terminated, you must make good faith efforts to find another DBE subcontractor to substitute for the original DBE. The substitute DBE must perform at least the same amount of work as the original DBE under the contract to the extent needed to meet the DBE goal. The substitute DBE must be certified as a DBE at the time of request for substitution. The City does not pay for work or material unless it is performed or supplied by the listed DBE, unless the DBE is terminated in accordance with this section. 8. Conflict of Interest. No employee, officer, or agent of the City shall participate in selection or in the award or administration of a contract if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when the employee, officer or agent, any member of his immediate family, an organization which employs, or is about to employ, has a financial or other interest in the firm selected for award. The City's officers, employees, or agents shall neither solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties of sub agreements. 9. Interest of Members of, or Delegates to, Congress. In accordance with U.S.C. Section 431, no member of, or delegates to, the Congress of the United States shall be admitted to a share or part of this contract or to any benefit rising there from. 10. Required Federal Contract Provisions. 10.1. General. These Federal contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superintendence and to all work performed on the contract by piecework, station work, or by subcontract. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Federal Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Federal contract Provisions shall not be incorporated by reference in any case. Page 85 of 1211 APPENDIX APPENDIX 12 The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Federal Contract Provisions. 10.2. Breach of Contract. A breach of any of the stipulations contained in these required Federal Contract Provisions shall be sufficient grounds for termination of the contract. A breach of the following clauses of these required contract provision may also be grounds for debarment as provided in 29 CFR 5.12: Section 8.1, 2nd paragraph Section 8.5 Disputes arising out of the Labor Standards Provisions , Section 8.5, of these Required Federal Contract Provisions shall not be subject the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5,6 and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor's employees or their representatives. 10.3. Termination. 10.3.1. Termination of Convenience: The City of San Luis Obispo may terminate this contract, in whole or in part, at any time by written notice to the Contractor. The Contractor shall be paid its costs, including contract close-out costs, and profit on work performed up to the time of termination. The Contractor shall promptly submit its termination claim to be paid by Contractor. If the Contractor has any property in its possession belonging to the City of San Luis Obispo, the Contractor will account for the same, and dispose of it in the manner the City of San Luis Obispo directs. 10.3.2. Termination for Default: If the Contractor does not deliver supplies in accordance with the contract delivery schedule, or, if the contract is for services, the Contractor fails to perform in the manner called for in the contract or if the Contractor fails to comply with any other provisions of the contract, the City of San Luis Obispo may terminate this contract for default. Termination shall be effected by service a notice of termination on the Contractor setting forth the manner in which the Contractor is in default. The Contractor will only be paid the contract price for supplies delivered and accepted, or services performed in accordance with the manner of performance set forth in the contract. If it is later determined by the City of San Luis Obispo that the Contractor had an excusable reason for not performing, such as a strike, fire, or flood, events which are not the fault of, or are beyond the control of the Contractor, the City of San Luis Obispo, after setting up a new delivery or performance schedule, may allow the Contractor to continue work, or treat the termination as a termination for convenience. 10.4. Non-Discrimination/Equal Employment Opportunity. 10.4.1. Equal Opportunity Clause. Applies to construction contracts and related subcontracts over $10,000. "During the performance of this contract, the contractor agrees as follows: Page 86 of 1211 APPENDIX APPENDIX 13 (1) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, sex, or national origin, such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive considerations for employment without regard to race, color, religion, sex, or national origin. (3) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (4) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (5) The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (6) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (7) The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency the contractor may request the United States to enter into such litigation to protect the interests of the United States. Page 87 of 1211 APPENDIX APPENDIX 14 The applicant further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, that if the applicant so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. The applicant further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive order. In addition, the applicant agrees that it if fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings." Subcontracts. Each nonexempt prime contractor or subcontractor shall include the equal opportunity clause in each of its nonexempt subcontracts. 10.4.2. Notice of Requirement for Affirmative Action to Ensure Equal Opportunity (Executive Order 11246). Reference 41 CFR 60-4.2. The following notice applies to all construction contracts or subcontracts in excess of $10,000 and shall be made part of all solicitations for offers and bids on all federally assisted construction contracts. "NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL OPPORTUNITY (EXECUTIVE ORDER 11246) 1. The Bidder's attention is called to the "Equal Opportunity Clause" and the "Standard Federal Equal Employment Specifications" set forth herein. 2. The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor's aggregate work force in each trade on all construction work in the covered Page 88 of 1211 APPENDIX APPENDIX 15 area, are as follows: Goals for minority participation for each trade Goals for female participation in each trade 24.6 6.9 These goals are applicable to all the Contractor's construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the contractor also is subject to the goals for both its federally involved and non- federally involved construction. The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-5.4(a), and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed. 3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor; employee identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed. 4. As used in this Notice, and in the contract resulting from this solicitation, the "covered area" is San Luis Obispo County, State of California. [43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978, as amended at 45 FR 65977, Oct. 3, 1980] " 10.4.3. Standard Federal Equal Employment Opportunity Construction Contract Specifications. Reference 41 CFR 60-4.3. The following specification applies to all construction contracts or subcontracts in excess of $10,000 and shall be made part of all Page 89 of 1211 APPENDIX APPENDIX 16 federally assisted construction contracts: "STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246) 1) As used in these specifications: (a) "Covered area" means the geographical area described in the solicitation from which this contract resulted; (b) "Director" means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority. (c) "Employer identification number" means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941. (d) "Minority" includes: (i) Black (all persons having origins in any of the Black African racial groups not of Hispanic origin); (ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race); (iii) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (iv) American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification). 2) Whenever the Contractor, or any Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted. 3) If the Contractor is participating (Pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor or Subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables. Page 90 of 1211 APPENDIX APPENDIX 17 4) The Contractor shall implement the specific affirmative action standards provided in paragraphs 7(a) through (p) of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. Covered Construction contractors performing construction work in geographical areas where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work is being performed. Goals are published periodically in the Federal Register in notice form, and such notices may be obtained from any Office of Federal Contract Compliance Programs office or from Federal procurement contracting officers. The Contractor is expected to make substantially uniform progress in meeting its goals in each craft during the period specified. 5) Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor's obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto. 6) In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor. 7) The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following: a) Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor's employees are assigned to work. The contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. b) Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses. c) Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such Page 91 of 1211 APPENDIX APPENDIX 18 individual. if such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefore, along with whatever additional actions the Contractor may have taken. d) Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations. e) Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under the above. f) Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed. g) Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with on site supervisory personnel such as Superintendents, General Foremen, etc. prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter. h) Disseminate the Contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor's EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business. i) Direct its recruitment effort, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process. j) Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor's work force. k) Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3. l) Conduct, at least annually, an inventory and evaluation at least of all minority and female Page 92 of 1211 APPENDIX APPENDIX 19 personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc. such opportunities. m) Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor's obligations under these specifications are being carried out. n) Ensure that all facilities and company activities are nonsegregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes. o) Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. p) Conduct a review, at least annually, of all supervisors' adherence to and performance under the Contractor's EEO policies and affirmative action obligations. 8) Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through p). The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these Specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligation shall not be a defense for the Contractor's noncompliance. 9) A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized). 10) The Contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin. 11) The Contractor shall not enter into any Subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 12) The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order Page 93 of 1211 APPENDIX APPENDIX 20 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended. 13) The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8. 14) The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records. 15) Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program)." 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 FR 32482 and commonly known as the Model Federal EEO Bid Conditions, and the New Form shall not be used after the regulations in 41 CFR part 60‐4 become effective. 10.4.4. Nonsegregated Facilities. (Construction contracts/subcontracts of $10,000 or more) In order to comply with the obligations under the equal opportunity clause, a prime contractor or sub-contractor must insure that facilities provide for employees are provided in such manner that segregation on the basis of race, color, religion or national origin cannot result. This obligation extends to all contacts containing the equal opportunity clause regardless of the amount of the contract. The potential contractor shall certify as follows: a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, construction contractor, subcontractor, material supplier, or vender, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under Page 94 of 1211 APPENDIX APPENDIX 21 its control, where segregated facilities are maintained, The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract, The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term “segregated facilities” means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, time clocks, locker rooms, and other storage of dressing areas, a parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). c. The Contractor agrees that it has obtained or will obtain identical certification form proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. 10.5. Federal Labor Standards Provisions. (Construction Contracts over $2,000) All federally assisted construction contracts in excess of $2,000 shall be subject to the Copeland Anti-Kickback Act, the Davis-Bacon Act and the Contract Work Hours and Safety Standards Act and all implementation regulations issued pursuant to said Acts. 10.5.1. Classifications and wages. The following clauses shall apply to this contract and shall be incorporated into any subcontract in excess of $2,000. (1) Minimum wages. (i) All laborers and mechanics employed or working upon the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act [29 CFR part 3]), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor found in section titled, "Federal Wage Determination," and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and Page 95 of 1211 APPENDIX APPENDIX 22 mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination of the classification of work actually performed, without regard to skill, except as provided in '5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a)(1)(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. (ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) Except with respect to helpers as defined in 29 CFR 5.2(n)94), the work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and (4) With respect to helpers as defined in 29 CFR 5.2(n)(4), such a classification prevails in the area in which the work is performed. (B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the Page 96 of 1211 APPENDIX APPENDIX 23 proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program. Provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (v)(A) The contracting officer shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: 10.5.1.1.1.1. The work to be performed by the classification requested is not performed by a classification in the wage determination; and 10.5.1.1.1.2. The classification is utilized in the area by the construction industry; and 10.5.1.1.1.3. The proposed wage rate, including any bond fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Page 97 of 1211 APPENDIX APPENDIX 24 Standards Administration, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination with 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(v) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (2) Withholding. The City of San Luis Obispo shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the contract, the City of San Luis Obispo may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records. (i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the project). Such records shall contain the name, Page 98 of 1211 APPENDIX APPENDIX 25 address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the City of San Luis Obispo if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant, sponsor, or owner, as the case may be, for transmission to the City of San Luis Obispo. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29CFR 5.5(a)(3)(i). This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S. Government Printing Office, Washington, DC 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. (B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be maintained under Section 5.5(a)(3)(i) of Regulations, 29 CFR part 5 and that such information is correct and complete. (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations 29 CFR part 3; (3) That each laborer or mechanic has been paid not less than the applicable Page 99 of 1211 APPENDIX APPENDIX 26 wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (a)(3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the City of San Luis Obispo or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees. (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training. or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rages (expressed in Page 100 of 1211 APPENDIX APPENDIX 27 percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable pre-determined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in CFR 5.16, trainees will not be permitted to work at less than the pre-determined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment Page 101 of 1211 APPENDIX APPENDIX 28 opportunity requirements of Executive Order 11246, as amended and 29 CFR part 30. (5) Compliance with Copeland Act Requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (1) and such other clauses as the City of San Luis Obispo may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5. (7) Contract Termination: Debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. (8) Compliance with Davis-Bacon and Related Act Requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes Concerning Labor Standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of eligibility. (i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. (11) Complaints, Proceedings, or Testimony by Employees. No laborer or mechanic Page 102 of 1211 APPENDIX APPENDIX 29 to whom the wage, salary, or other labor standards provisions of this Contract are applicable shall be discharged or in any other manner discriminated against by the Contractor or any subcontractor because such employee has filed any complaint or instituted or caused to be instituted any proceeding or has testified or is about to testify in any proceeding under or relating to the labor standards applicable under this Contract to his employer. 10.5.2. Contract Work Hours and Safety Standards Act. The following clauses shall apply to this contract and shall be incorporated into any subcontract in excess of $2,000. The following clauses set forth in paragraphs (b)(1) (2), (3), and (4) of this section shall be inserted in full in any contract subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by 29 CFR 5.5(a) or '4.6 of part 4. As used in this paragraph, the terms laborers and mechanics include watchmen and guards. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek or forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The City of San Luis Obispo shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or Page 103 of 1211 APPENDIX APPENDIX 30 subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1) through 4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth i paragraphs (b)(1) through (4) of this section. (5) Health and Safety. The provisions of this paragraph C are applicable where the amount of the prime contract exceeds $100,000. (1) No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his health and safety as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation. (2) The Contractor shall comply with all regulations issued by the Secretary of Labor pursuant to Title 29 Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract Work Hours and Safety Standards Act, (Public Law 91-54, 83 Stat 96). 40 USC 3701 et seq. (3) The contractor shall include the provisions of this paragraph in every subcontract so that such provisions will be binding on each subcontractor. The contractor shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions. 10.5.3. Record Retention. The contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made and actual wages paid. Further the Agency Head shall cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the City of San Luis Obispo and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job. 10.6. Compliance with Sec 3 of the Housing and Urban development Act of 1968. Reference HUD's 24 CFR 135.38 Applies to all HUD assisted contracts and related subcontracts. Contractors and subcontractors participating in federally-assisted projects are required to track and report their activity relative to the hiring and training of low and moderate income persons and the use of local businesses owned by low-income persons. This information must be reported by all contractors and subcontractors, Page 104 of 1211 APPENDIX APPENDIX 31 whose contract is $100,000 or greater, prior to project completion utilizing the “Section 3 Compliance form”. All Section 3 covered contracts shall include the following clause (referred to as the Section 3 clause): A. The work to be performed under this contract is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (Section 3) – (see Title 24 - Code of Federal Regulations – Part 135, 24 CFR 135). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD’s regulations in 24 CFR part 135, which implement section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers’ representative of the contractor’s commitments under this section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include this section 3 clause in every subcontract subject to compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR part 135. E. The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not filled to circumvent the contractor’s obligations under 24 CFR part 135. F. Noncompliance with HUD’s regulations in 24 CFR part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. G. With respect to work performed in connection with Section 3 covered Indian housing assistance, section 7(b) of the Indian Self‐Determination and Education Assistance Act Page 105 of 1211 APPENDIX APPENDIX 32 (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian‐owned Economic Enterprises. Parties to this contract that are subject to the provisions of section 3 and section 7(b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b). 10.7. Access to Records. The contractor and subcontractors shall allow access by authorized City and Federal Agency personnel, the comptroller of the United States or any of their duly authorized representatives to any books, documents, papers and records which are directly pertinent to this specific contract for the purpose of making audit, examination, excerpts, and transcripts. The right of access in this section must not be limited to the required retention but shall last as long as the records are retained. 10.8. Record Retention. The Contractor and subcontractors shall be required to retain all records for a period of five (5) years following final payment and closeout of the project. 10.9. Conservation. Contractor shall recognize mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 USC Section 6321 et seq). 10.10. Environmental Protection. (Applies to all contracts and subcontracts in excess of $100,000) By submission of this bid or the execution of this contract, the contractor agrees as follows: A. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (41 USC 1857 et seq., as amended by Pub.L. 91-604, and under the Federal Water Pollution Control Act, as amended (33 USC 1251 et seq., as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed,, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. B. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. C. That the firm shall promptly notify the City of the receipt of any communication form the EPA indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. D. That the firm agrees to include or cause to be included the requirements of paragraphs 1 through 4 of this section in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. Page 106 of 1211 APPENDIX APPENDIX 33 B. FEDERAL WAGE DETERMINATIONS This is a federally assisted project and compliance with Davis-Bacon Act as supplemented by the Department of Labor regulations will be enforced. If the State and Federal wage rates are applicable the higher of the two will be used. The Federal Labor Standards Provisions and the Federal Wage Determination are a part of the contract and compliance will be enforced. Any Subcontracts resulting from this original contract must contain the above language and shall incorporate a copy of the Federal Labor Standards provisions and the Federal Wage Determinations. Incorporation by reference is not acceptable. This Section contains the Federal Wage Determinations which were current at the time the contract documents were published and shall be used for the life of this project. However, the wage determinations are subject to modifications in order to keep them current. If such modifications occur 10 days prior to bid opening then the new determination will prevail for the life of the contract. The Contractor shall be responsible to contact the City to determine if a new wage determination has been issued and to apply the new determination to his bid. Current federal wage rates for California counties can be found at the following website: http://www.wdol.gov/wdol/scafiles/davisbacon/ca.html Current federal wage rates for San Luis Obispo County (Building, Heavy and Highway construction) can be found at the following website: http://www.wdol.gov/wdol/scafiles/davisbacon/ca19.dvb Page 107 of 1211 APPENDIX APPENDIX 34 APPENDIX B – REQUIREMENTS FOR FEDERALLY ASSISTED CONSTRUCTION PROJECTS FUNDED WITH COMMUNITY DEVELOPMENT BLOCK GRANTS TABLE OF CONTENTS A. FEDERAL CONTRACT REQUIREMENTS AND PROVISIONS (HUD-CDBG) 11. General 12. Federal Laws and Regulations 13. Prompt Progress Payment to Subcontractors 14. Prompt Payment of Funds Withheld from Subcontractors 15. Restrictions on Lobbying (Certificate required over $100,000) 16. Debarment and Suspension (Certificate required over $25,000) 17. Disadvantaged Business Enterprises (DBE) 7.1 General Requirements 7.2 DBE Commitment Submittal 7.3 Good Faith Effort Submittal 7.4 Execution of Contract and Submission of DBE Information. 7.5 Subcontractor and DBE Records 7.6 DBE Certification Status 7.7 Performance of Subcontractors 18. Conflict of Interest 19. Interest of Members of, or Delegates to, Congress 20. Required Federal Contract Provisions 20.1 General 20.2 Breach of Contract 20.3 Termination a) Termination of Convenience b) Termination for Default 20.4 Non-discrimination/Equal Employment Opportunity- (Contracts/Subcontracts over $10,000) 10.10.1 Equal Opportunity Clause 10.10.2 Notice of Requirement for Affirmative Action to Ensure Equal Opportunity 10.10.3 Standard Federal Equal Employment Opportunity Construction Contract Specifications 10.10.4 Segregated Facilities 10.11 Federal Labor Standards Provisions (Construction Contracts Over $2,000) (Copeland, Davis Bacon, Contract Work Hours and Safety Standards) 10.5.1 Classifications and wages 10.5.2 Contract Work Hours and Safety Standards Act 10.5.3 Record Retention 10.12 Compliance with Section 3 of the Housing and Urban Development Act of 1968 10.13 Access to Records 10.14 Record Retention Page 108 of 1211 APPENDIX APPENDIX 35 10.15 Conservation 10.16 Environmental Protection B. FEDERAL WAGE DETERMINATIONS Federal Wage Determinations for Construction Contracts Subject to Davis Bacon Page 109 of 1211 APPENDIX APPENDIX 36 A. FEDERAL CONTRACT REQUIREMENTS AND PROVISIONS (HUD) 11. General. The Contractor understands that this project is financed partially or in whole by U.S. Department of Housing and Urban Development (HUD) Community Development Block Grant (CDBG) Program funds and is subject to all of the applicable terms and conditions of the grant and regulations and requirements of the Department. The aforementioned program requires that this contract and subsequent subcontracts contain the provisions and clauses set forth in this section. These provisions shall apply to all work performed under this contract. The Contractor is required to physically insert these same provisions into each subcontract and subsequent lower-tier subcontract. They may not be incorporated by reference. Failure to comply with this requirement represents grounds for contract termination and debarment. 12. Federal Laws and Regulations. The Contractor understands that all Federal laws, regulations, policies and administrative practices applicable to this project may be modified from time to time, The Contractor agrees that the most recent of such Federal requirements will govern the administration of this contract, The Contractor agrees to include in all subcontracts associated with this project specific notice that Federal requirements may change and the changed requirements will apply to the project. 13. Prompt Progress Payment to Subcontractors. A prime contractor or subcontractor shall pay any subcontractor not later than 10 days of receipt of each progress payment in accordance with the provision in Section 7108.5 of the California Business and Professions Code concerning prompt payment to subcontractors. The 10 days is applicable unless a longer period is agreed to in writing. Any delay or postponement of payment over 30 days may take place only for good cause and with the agency’s prior written approval. Any violation of Section 7108.5 shall subject the violating contractor or subcontractor to the penalties, sanction and other remedies of that section. This requirement shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a subcontractor. This provision applies to both DBE and non-DBE subcontractors. 14. Prompt Payment of Funds Withheld to Subcontractors. Retention will not be withheld by the City from progress payments due the prime contractor. Withholding of retention by the prime contractor or subcontractors is prohibited and no retention will be held by the prime contractor from progress due subcontractors. Any violation of this provision shall subject the violating prime contractor or subcontractor to the penalties, sanctions and other remedies specified in Section 7108.5 of the California Business and Professions Code. This requirement shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the prime Contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor or deficient subcontract performance, or noncompliance by a subcontractor. This provision applies to both DBE and non-DBE prime contractors and subcontractors. 15. Federal Restrictions on Lobbying. Reference: DOT's 49 CFR 20 or HUD's 24 CFR 87. (Applicable to federally funded contracts and all related subcontracts which exceed $100,000) Page 110 of 1211 APPENDIX APPENDIX 37 Section 1352, Title 31, United States Code prohibits Federal funds from being expended by the recipient or any lower tier subrecipient of a Federally assisted contract to pay for any person for influencing or attempting to influence a Federal agency or Congress in connection with the awarding of any Federally assisted contract, the making of any Federal grant or loan, or the entering into of any cooperative agreement. If any funds other than Federal funds have been paid, or will be paid, to any person for influencing or attempting to influence a Federal agency or Congress in connection with the awarding of any Federally assisted contract, the making of any Federal grant or loan, or the entering into of any cooperative agreement, the potential contractor shall complete and submit an executed certification ("Certification of Restrictions on Lobbying") and, if required, submit a completed disclosure form ("Disclosure of Lobbying Activities", standard form - LLL) as part of the bid documents. Certificate and disclosure form with instructions are included in this Proposal. The above-referenced certification and disclosure of lobbying activities shall be included in each subcontract and any lower-tier contracts exceeding $100,000. All disclosure forms, but not certifications, shall be forwarded from tier to tier until received by the Engineer. The Contractor, subcontractors and any lower-tier contractors shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by the Contractor, subcontractors and any lower-tier contractors. An event that materially affects the accuracy of the information reported includes: (4) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or (5) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or, (6) A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt to influence a covered federal action. 16. Debarment and Suspension. Reference: DOT's 49 CFR 29 ; HUD's 24 CFR 24. Unless otherwise permitted by law, any person that is debarred, suspended, or voluntarily excluded by any Federal department or agency may not take part in any federally assisted project during the period of debarment, suspension, or voluntary exclusion. Accordingly, any grantee or recipient of federal funds may not enter into any transaction with such debarred, suspended, or voluntarily excluded persons during such period. 16.1. Contacts/Subcontracts over $25,000. Each potential contractor is required to sign and submit the certification form found in this proposal. The Contractor agrees to obtain similar certifications on debarment and suspension for its subcontracts which exceed $25,000. 16.2. Contracts/Subcontracts under $25,000. In general, lower level employees or subcontracts and/or procurements of less than $25,000 will not be covered by the certification procedures except in the case of procurements with individuals that would have a critical influence on, or substantive control over the project; nevertheless, a Page 111 of 1211 APPENDIX APPENDIX 38 participant is not authorized to involve a lower level employee or enter into a contract of less than $25,000 with a person actually known by the participant to be debarred, suspended or voluntarily excluded. 16.3. Continuing duty to Disclose. Each contractor and subcontractor shall provide immediate written notice if, at any time, it learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 17. Disadvantaged Business Enterprise (DBE). This project is a federally assisted project funded through the Department of Housing and Urban Development (HUD). HUD requires that minority firms, women’s business enterprises and labor surplus areas firms are used when possible on all contracts funded partially or in whole by HUD funds. To facilitate this requirement, the City encourages the utilization of Disadvantaged Business Enterprises (DBEs) and firms as defined in 49 CFR 26 in the performance of all federally-assisted contracts financed in whole or in part with federal funds. The Contractor, or subcontractor, shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. The Regulations in their entirety are incorporated herein by this reference. 17.1. General Requirements. Bidders shall be fully informed in respect to the requirements of the DBE Regulations. The DBE Regulations in their entirety are incorporated herein by this reference. Attention is directed to the following matters: Take necessary and reasonable steps to ensure that DBEs have opportunity to participate in the contract (49 CFR 26). To ensure there is equal participation of the DBE groups specified in 49 CFR 26.5, the City specifies a goal for DBEs. A DBE firm is a member of one of the following groups: 1. Black Americans 2. Native Americans 3. Asian-Pacific Americans 4. Women 5. Hispacin Americans 6. Subcontinent Asian Americans 7. Any individual or groups who are socially and economically disadvantage Make work available to DBEs and select work parts consistent with available DBE subcontractors and suppliers. Meet the DBE goal shown in the Notice to Bidders or demonstrate that you made adequate “good faith efforts” to meet this goal. It is your responsibility to verify that the DBE firm is certified as DBE at date of bid opening. For a list of DBEs certified by the California Unified Certification Program, go to: http://www.dot.ca.gov/hq/bep/find_certified.htm Only DBE participation will count towards the DBE goal. DBE participation will count Page 112 of 1211 APPENDIX APPENDIX 39 towards the Agency's Annual Anticipated DBE Participation Level and the California statewide goal. Credit for materials or supplies you purchase from DBEs counts towards the goal in the following manner: 1. 100 percent counts if the materials or supplies are obtained from a DBE manufacturer. 2. 60 percent counts if the materials or supplies are obtained from a DBE regular dealer. 3. Only fees, commissions, and charges for assistance in the procurement and delivery of materials or supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55 defines "manufacturer" and "regular dealer." You receive credit towards the goal if you employ a DBE trucking company that performs a commercially useful function as defined in 49 CFR 26.55. DBE Commitment Submittal. Submit DBE information on the “CONSTRUCTION CONTRACT DBE COMMITMENT,” form found in the Bid Forms section of the Contract Documents. Submit written confirmation from each DBE stating that it is participating in the contract. Include confirmation with the DBE Commitment form. A copy of a DBE's quote will serve as written confirmation that the DBE is participating in the contract. 17.2. Good Faith Efforts Submittal. If you have not met the DBE goal, complete and submit the “DBE INFORMATION - GOOD FAITH EFFORTS,” form found in the Bid Forms with the bid showing that you made adequate good faith efforts to meet the goal. Only good faith efforts directed towards obtaining participation by DBEs will be considered. If your DBE Commitment form shows that you have met the DBE goal or if you are required to submit the DBE Commitment form, you must also submit good faith efforts documentation within the specified time to protect your eligibility for award of the contract in the event the City finds that the DBE goal has not been met. Good faith efforts documentation must include the following information and supporting documents, as necessary: 1. Items of work you have made available to DBE firms. Identify those items of work you might otherwise perform with its own forces and those items that have been broken down into economically feasible units to facilitate DBE participation. For each item listed, show the dollar value and percentage of the total contract. It is your responsibility to demonstrate that sufficient work to meet the goal was made available to DBE firms. 2. Names of certified DBEs and dates on which they were solicited to bid on the project. Include the items of work offered. Describe the methods used for following up initial solicitations to determine with certainty if the DBEs were interested, and the dates of the follow-up. Attach supporting documents such as copies of letters, memos, facsimiles sent, telephone logs, telephone billing statements, and other evidence of solicitation. You are reminded to solicit certified DBEs through all reasonable and available means and provide sufficient time to allow DBEs to respond. 3. Name of selected firm and its status as a DBE for each item of work made available. Include name, address, and telephone number of each DBE that provided a quote and Page 113 of 1211 APPENDIX APPENDIX 40 their price quote. If the firm selected for the item is not a DBE, provide the reasons for the selection. 4. Name and date of each publication in which you requested DBE participation for the project. Attach copies of the published advertisements. 5. Names of agencies and dates on which they were contacted to provide assistance in contacting, recruiting, and using DBE firms. If the agencies were contacted in writing, provide copies of supporting documents. 6. List of efforts made to provide interested DBEs with adequate information about the plans, specifications, and requirements of the contract to assist them in responding to a solicitation. If you have provided information, identify the name of the DBE assisted, the nature of the information provided, and date of contact. Provide copies of supporting documents, as appropriate. 7. List of efforts made to assist interested DBEs in obtaining bonding, lines of credit, insurance, necessary equipment, supplies, and materials, excluding supplies and equipment that the DBE subcontractor purchases or leases from the prime contractor or its affiliate. If such assistance is provided by you, identify the name of the DBE assisted, nature of the assistance offered, and date. Provide copies of supporting documents, as appropriate. 8. Any additional data to support demonstration of good faith efforts. 17.3. Execution of Contract and Submission of Bidder DBE Information. A "BIDDER - DBE INFORMATION" form is included in the contract documents to be executed by the successful bidder. The purpose of the form is to collect data required under 49 CFR 26. Even if no DBE participation will be reported, the successful bidder must execute and return the form. The successful bidder's "BIDDER - DBE INFORMATION" form should include the names, addresses and phone numbers of DBE firms that will participate, with a complete description of work or supplies to be provided by each, and the dollar value of each DBE transaction. When 100 percent of a contract item of work is not to be performed or furnished by a DBE, a description of the exact portion of that work to be performed or furnished by that DBE should be included in the DBE information, including the planned location of that work. A successful bidder certified as a DBE should describe the work it has committed to performing with its own forces as well as any other work that it has committed to be performed by DBE subcontractors, suppliers and trucking companies. The successful bidder is encouraged to provide written confirmation from each DBE that the DBE is participating in the contract. A copy of a DBE's quote will serve as written confirmation that the DBE is participating in the contract. If a DBE is participating as a joint venture partner, the successful bidder is encouraged to submit a copy of the joint venture agreement. The "BIDDER - DBE INFORMATION" form shall be completed and returned to the City by the successful bidder with the executed contract and contract bonds. 17.4. Subcontractor and DBE Records. The Contractor shall maintain records showing the name and business address of each first-tier subcontractor. The records shall Page 114 of 1211 APPENDIX APPENDIX 41 also show the name and business address of every DBE subcontractor, DBE vendor of materials and DBE trucking company, regardless of tier. The records shall show the date of payment and the total dollar figure paid to all of these firms. DBE prime contractors shall also show the date of work performed by their own forces along with the corresponding dollar value of the work. Upon completion of the contract, a summary of these records shall be prepared on "Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First Tier Subcontractors" Form CEM-2402(F) and certified correct by the Contractor or the Contractor's authorized representative, and shall be furnished to the Engineer. The form shall be furnished to the Engineer within 90 days from the date of contract acceptance. The amount of $10,000 will be withheld from payment until a satisfactory form is submitted. Prior to the fifteenth of each month, the Contractor shall submit documentation to the Engineer showing the amount paid to DBE trucking companies. The Contractor shall also obtain and submit documentation to the Engineer showing the amount paid by DBE trucking companies to all firms, including owner-operators, for the leasing of trucks. If the DBE leases trucks from a non-DBE, the Contactor may count only the fee or commission the DBE receives as a result of the lease arrangement. The Contractor shall also obtain and submit documentation to the Engineer showing the truck number, owner's name, California Highway Patrol CA number, and if applicable, the DBE certification number of the owner of the truck for all trucks used during that month. This documentation shall be submitted on "Monthly DBE Trucking Verification" Form CEM- 2404(F). 17.5. DBE Certification Status. If a DBE subcontractor is decertified during the life of the project, the decertified subcontractor shall notify the Contractor in writing with the date of decertification. If a subcontractor becomes a certified DBE during the life of the project, the subcontractor shall notify the Contractor in writing with the date of certification. The Contractor shall furnish the written documentation to the Engineer. Upon completion of the contract, "Disadvantaged Business Enterprises (DBE) Certification Status Change" Form CEM-2403(F) indicating the DBEs' existing certification status shall be signed and certified correct by the Contractor. The certified form shall be furnished to the Engineer within 90 days from the date of contract acceptance. 17.6. Performance of Subcontractors. The subcontractors listed by the contractor in the bid proposal shall include therein the name and address of each subcontractor to whom the bidder proposes to subcontract portions of the work in an amount in excess of one-half of one percent of the total bid in accordance with the Subletting and Subcontracting Fair Practices Act, commencing with Section 4100 of the Public Contract Code. The bidder’s attention is invited to other provisions of the Act related to the imposition of penalties for a failure to observe its provisions by using unauthorized subcontractors or by making unauthorized substitutions. DBEs must perform work or supply materials as listed in the “BIDDER - DBE COMMITMENT” form specified in Section 7.2 above. Do not terminate a DBE listed subcontractor for convenience and perform the work with your own forces or obtain materials Page 115 of 1211 APPENDIX APPENDIX 42 from other sources without prior written authorization from the City. The City grants authorization to use other forces or sources of materials for requests that show any of the following justifications: 1. Listed DBE fails or refuses to execute a written contract based on plans and specifications for the project. 2. You stipulate a bond is a condition of executing the subcontract and the listed DBE fails to meet your bond requirements. 3. Work requires a contractor’s license and listed DBE does not have a valid license under Contractors License Law. 4. Listed DBE fails or refuses to perform the work or furnish the listed materials. 5. Listed DBE's work is unsatisfactory and not in compliance with the contract. 6. Listed DBE delays or disrupts the progress of the work. 7. Listed DBE becomes bankrupt or insolvent. If a listed DBE subcontractor is terminated, you must make good faith efforts to find another DBE subcontractor to substitute for the original DBE. The substitute DBE must perform at least the same amount of work as the original DBE under the contract to the extent needed to meet the DBE goal. The substitute DBE must be certified as a DBE at the time of request for substitution. The City does not pay for work or material unless it is performed or supplied by the listed DBE, unless the DBE is terminated in accordance with this section. 18. Conflict of Interest. No employee, officer, or agent of the City shall participate in selection or in the award or administration of a contract if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when the employee, officer or agent, any member of his immediate family, an organization which employs, or is about to employ, has a financial or other interest in the firm selected for award. The City's officers, employees, or agents shall neither solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties of sub agreements. 19. Interest of Members of, or Delegates to, Congress. In accordance with U.S.C. Section 431, no member of, or delegates to, the Congress of the United States shall be admitted to a share or part of this contract or to any benefit rising there from. 20. Required Federal Contract Provisions. 20.1. General. These Federal contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superintendence and to all work performed on the contract by piecework, station work, or by subcontract. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Federal Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Federal contract Provisions shall not be incorporated by reference in any case. Page 116 of 1211 APPENDIX APPENDIX 43 The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Federal Contract Provisions. 20.2. Breach of Contract. A breach of any of the stipulations contained in these required Federal Contract Provisions shall be sufficient grounds for termination of the contract. A breach of the following clauses of these required contract provision may also be grounds for debarment as provided in 29 CFR 5.12: Section 8.1, 2nd paragraph Section 8.5 Disputes arising out of the Labor Standards Provisions , Section 8.5, of these Required Federal Contract Provisions shall not be subject the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5,6 and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor's employees or their representatives. 20.3. Termination. 20.3.1. Termination of Convenience: The City of San Luis Obispo may terminate this contract, in whole or in part, at any time by written notice to the Contractor. The Contractor shall be paid its costs, including contract close-out costs, and profit on work performed up to the time of termination. The Contractor shall promptly submit its termination claim to be paid by Contractor. If the Contractor has any property in its possession belonging to the City of San Luis Obispo, the Contractor will account for the same, and dispose of it in the manner the City of San Luis Obispo directs. 20.3.2. Termination for Default: If the Contractor does not deliver supplies in accordance with the contract delivery schedule, or, if the contract is for services, the Contractor fails to perform in the manner called for in the contract or if the Contractor fails to comply with any other provisions of the contract, the City of San Luis Obispo may terminate this contract for default. Termination shall be effected by service a notice of termination on the Contractor setting forth the manner in which the Contractor is in default. The Contractor will only be paid the contract price for supplies delivered and accepted, or services performed in accordance with the manner of performance set forth in the contract. If it is later determined by the City of San Luis Obispo that the Contractor had an excusable reason for not performing, such as a strike, fire, or flood, events which are not the fault of, or are beyond the control of the Contractor, the City of San Luis Obispo, after setting up a new delivery or performance schedule, may allow the Contractor to continue work, or treat the termination as a termination for convenience. 20.4. Non-Discrimination/Equal Employment Opportunity. 20.4.1. Equal Opportunity Clause. Applies to construction contracts and related subcontracts over $10,000. "During the performance of this contract, the contractor agrees as follows: Page 117 of 1211 APPENDIX APPENDIX 44 (8) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, sex, or national origin, such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (9) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive considerations for employment without regard to race, color, religion, sex, or national origin. (10) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (11) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (12) The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (13) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (14) The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency the contractor may request the United States to enter into such litigation to protect the interests of the United States. Page 118 of 1211 APPENDIX APPENDIX 45 The applicant further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, that if the applicant so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. The applicant further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive order. In addition, the applicant agrees that it if fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings." Subcontracts. Each nonexempt prime contractor or subcontractor shall include the equal opportunity clause in each of its nonexempt subcontracts. 20.4.2. Notice of Requirement for Affirmative Action to Ensure Equal Opportunity (Executive Order 11246). Reference 41 CFR 60-4.2. The following notice applies to all construction contracts or subcontracts in excess of $10,000 and shall be made part of all solicitations for offers and bids on all federally assisted construction contracts. "NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL OPPORTUNITY (EXECUTIVE ORDER 11246) 1. The Bidder's attention is called to the "Equal Opportunity Clause" and the "Standard Federal Equal Employment Specifications" set forth herein. 2. The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor's aggregate work force in each trade on all construction work in the covered Page 119 of 1211 APPENDIX APPENDIX 46 area, are as follows: Goals for minority participation for each trade Goals for female participation in each trade 24.6 6.9 These goals are applicable to all the Contractor's construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the contractor also is subject to the goals for both its federally involved and non- federally involved construction. The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-5.4(a), and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed. 3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor; employee identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed. 4. As used in this Notice, and in the contract resulting from this solicitation, the "covered area" is San Luis Obispo County, State of California. [43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978, as amended at 45 FR 65977, Oct. 3, 1980] " 20.4.3. Standard Federal Equal Employment Opportunity Construction Contract Specifications. Reference 41 CFR 60-4.3. The following specification applies to all construction contracts or subcontracts in excess of $10,000 and shall be made part of all Page 120 of 1211 APPENDIX APPENDIX 47 federally assisted construction contracts: "STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246) 16) As used in these specifications: (a) "Covered area" means the geographical area described in the solicitation from which this contract resulted; (b) "Director" means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority. (c) "Employer identification number" means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941. (d) "Minority" includes: (i) Black (all persons having origins in any of the Black African racial groups not of Hispanic origin); (ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race); (iii) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (iv) American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification). 17) Whenever the Contractor, or any Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted. 18) If the Contractor is participating (Pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor or Subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables. Page 121 of 1211 APPENDIX APPENDIX 48 19) The Contractor shall implement the specific affirmative action standards provided in paragraphs 7(a) through (p) of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. Covered Construction contractors performing construction work in geographical areas where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work is being performed. Goals are published periodically in the Federal Register in notice form, and such notices may be obtained from any Office of Federal Contract Compliance Programs office or from Federal procurement contracting officers. The Contractor is expected to make substantially uniform progress in meeting its goals in each craft during the period specified. 20) Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor's obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto. 21) In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor. 22) The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following: a) Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor's employees are assigned to work. The contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. b) Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses. c) Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such Page 122 of 1211 APPENDIX APPENDIX 49 individual. if such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefore, along with whatever additional actions the Contractor may have taken. d) Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations. e) Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under the above. f) Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed. g) Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with on site supervisory personnel such as Superintendents, General Foremen, etc. prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter. h) Disseminate the Contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor's EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business. i) Direct its recruitment effort, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process. j) Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor's work force. k) Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3. l) Conduct, at least annually, an inventory and evaluation at least of all minority and female Page 123 of 1211 APPENDIX APPENDIX 50 personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc. such opportunities. m) Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor's obligations under these specifications are being carried out. n) Ensure that all facilities and company activities are nonsegregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes. o) Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. p) Conduct a review, at least annually, of all supervisors' adherence to and performance under the Contractor's EEO policies and affirmative action obligations. 23) Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through p). The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these Specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligation shall not be a defense for the Contractor's noncompliance. 24) A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized). 25) The Contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin. 26) The Contractor shall not enter into any Subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 27) The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order Page 124 of 1211 APPENDIX APPENDIX 51 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended. 28) The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8. 29) The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records. 30) Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program)." 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 FR 32482 and commonly known as the Model Federal EEO Bid Conditions, and the New Form shall not be used after the regulations in 41 CFR part 60‐4 become effective. 20.4.4. Nonsegregated Facilities. (Construction contracts/subcontracts of $10,000 or more) In order to comply with the obligations under the equal opportunity clause, a prime contractor or sub-contractor must insure that facilities provide for employees are provided in such manner that segregation on the basis of race, color, religion or national origin cannot result. This obligation extends to all contacts containing the equal opportunity clause regardless of the amount of the contract. The potential contractor shall certify as follows: a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, construction contractor, subcontractor, material supplier, or vender, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under Page 125 of 1211 APPENDIX APPENDIX 52 its control, where segregated facilities are maintained, The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract, The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term “segregated facilities” means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, time clocks, locker rooms, and other storage of dressing areas, a parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). c. The Contractor agrees that it has obtained or will obtain identical certification form proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. 20.5. Federal Labor Standards Provisions. (Construction Contracts over $2,000) All federally assisted construction contracts in excess of $2,000 shall be subject to the Copeland Anti-Kickback Act, the Davis-Bacon Act and the Contract Work Hours and Safety Standards Act and all implementation regulations issued pursuant to said Acts. 20.5.1. Classifications and wages. The following clauses shall apply to this contract and shall be incorporated into any subcontract in excess of $2,000. (1) Minimum wages. (i) All laborers and mechanics employed or working upon the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act [29 CFR part 3]), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor found in section titled, "Federal Wage Determination," and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and Page 126 of 1211 APPENDIX APPENDIX 53 mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination of the classification of work actually performed, without regard to skill, except as provided in '5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a)(1)(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. (ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) Except with respect to helpers as defined in 29 CFR 5.2(n)94), the work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and (4) With respect to helpers as defined in 29 CFR 5.2(n)(4), such a classification prevails in the area in which the work is performed. (B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the Page 127 of 1211 APPENDIX APPENDIX 54 proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program. Provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (v)(A) The contracting officer shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: 20.5.1.1.1.1. The work to be performed by the classification requested is not performed by a classification in the wage determination; and 20.5.1.1.1.2. The classification is utilized in the area by the construction industry; and 20.5.1.1.1.3. The proposed wage rate, including any bond fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Page 128 of 1211 APPENDIX APPENDIX 55 Standards Administration, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination with 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(v) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (2) Withholding. The City of San Luis Obispo shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the contract, the City of San Luis Obispo may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records. (i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the project). Such records shall contain the name, Page 129 of 1211 APPENDIX APPENDIX 56 address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the City of San Luis Obispo if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant, sponsor, or owner, as the case may be, for transmission to the City of San Luis Obispo. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29CFR 5.5(a)(3)(i). This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S. Government Printing Office, Washington, DC 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. (B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (4) That the payroll for the payroll period contains the information required to be maintained under Section 5.5(a)(3)(i) of Regulations, 29 CFR part 5 and that such information is correct and complete. (5) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations 29 CFR part 3; (6) That each laborer or mechanic has been paid not less than the applicable Page 130 of 1211 APPENDIX APPENDIX 57 wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (a)(3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the City of San Luis Obispo or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees. (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training. or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rages (expressed in Page 131 of 1211 APPENDIX APPENDIX 58 percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable pre-determined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in CFR 5.16, trainees will not be permitted to work at less than the pre-determined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment Page 132 of 1211 APPENDIX APPENDIX 59 opportunity requirements of Executive Order 11246, as amended and 29 CFR part 30. (5) Compliance with Copeland Act Requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (1) and such other clauses as the City of San Luis Obispo may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5. (7) Contract Termination: Debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. (8) Compliance with Davis-Bacon and Related Act Requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes Concerning Labor Standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of eligibility. (i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. (11) Complaints, Proceedings, or Testimony by Employees. No laborer or mechanic Page 133 of 1211 APPENDIX APPENDIX 60 to whom the wage, salary, or other labor standards provisions of this Contract are applicable shall be discharged or in any other manner discriminated against by the Contractor or any subcontractor because such employee has filed any complaint or instituted or caused to be instituted any proceeding or has testified or is about to testify in any proceeding under or relating to the labor standards applicable under this Contract to his employer. 20.5.2. Contract Work Hours and Safety Standards Act. The following clauses shall apply to this contract and shall be incorporated into any subcontract in excess of $2,000. The following clauses set forth in paragraphs (b)(1) (2), (3), and (4) of this section shall be inserted in full in any contract subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by 29 CFR 5.5(a) or '4.6 of part 4. As used in this paragraph, the terms laborers and mechanics include watchmen and guards. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek or forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The City of San Luis Obispo shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or Page 134 of 1211 APPENDIX APPENDIX 61 subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1) through 4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth i paragraphs (b)(1) through (4) of this section. (5) Health and Safety. The provisions of this paragraph C are applicable where the amount of the prime contract exceeds $100,000. (1) No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his health and safety as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation. (2) The Contractor shall comply with all regulations issued by the Secretary of Labor pursuant to Title 29 Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract Work Hours and Safety Standards Act, (Public Law 91-54, 83 Stat 96). 40 USC 3701 et seq. (3) The contractor shall include the provisions of this paragraph in every subcontract so that such provisions will be binding on each subcontractor. The contractor shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions. 20.5.3. Record Retention. The contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made and actual wages paid. Further the Agency Head shall cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the City of San Luis Obispo and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job. 20.6. Compliance with Sec 3 of the Housing and Urban development Act of 1968. Reference HUD's 24 CFR 135.38 Applies to all HUD assisted contracts and related subcontracts. Contractors and subcontractors participating in federally-assisted projects are required to track and report their activity relative to the hiring and training of low and moderate income persons and the use of local businesses owned by low-income persons. This information must be reported by all contractors and subcontractors, Page 135 of 1211 APPENDIX APPENDIX 62 whose contract is $100,000 or greater, prior to project completion utilizing the “Section 3 Compliance form”. All Section 3 covered contracts shall include the following clause (referred to as the Section 3 clause): H. The work to be performed under this contract is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (Section 3) – (see Title 24 - Code of Federal Regulations – Part 135, 24 CFR 135). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing. I. The parties to this contract agree to comply with HUD’s regulations in 24 CFR part 135, which implement section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. J. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers’ representative of the contractor’s commitments under this section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. K. The contractor agrees to include this section 3 clause in every subcontract subject to compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR part 135. L. The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not filled to circumvent the contractor’s obligations under 24 CFR part 135. M. Noncompliance with HUD’s regulations in 24 CFR part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. N. With respect to work performed in connection with Section 3 covered Indian housing assistance, section 7(b) of the Indian Self‐Determination and Education Assistance Act Page 136 of 1211 APPENDIX APPENDIX 63 (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian‐owned Economic Enterprises. Parties to this contract that are subject to the provisions of section 3 and section 7(b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b). 20.7. Access to Records. The contractor and subcontractors shall allow access by authorized City and Federal Agency personnel, the comptroller of the United States or any of their duly authorized representatives to any books, documents, papers and records which are directly pertinent to this specific contract for the purpose of making audit, examination, excerpts, and transcripts. The right of access in this section must not be limited to the required retention but shall last as long as the records are retained. 20.8. Record Retention. The Contractor and subcontractors shall be required to retain all records for a period of five (5) years following final payment and closeout of the project. 20.9. Conservation. Contractor shall recognize mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 USC Section 6321 et seq). 20.10. Environmental Protection. (Applies to all contracts and subcontracts in excess of $100,000) By submission of this bid or the execution of this contract, the contractor agrees as follows: E. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (41 USC 1857 et seq., as amended by Pub.L. 91-604, and under the Federal Water Pollution Control Act, as amended (33 USC 1251 et seq., as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed,, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. F. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. G. That the firm shall promptly notify the City of the receipt of any communication form the EPA indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. H. That the firm agrees to include or cause to be included the requirements of paragraphs 1 through 4 of this section in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. Page 137 of 1211 APPENDIX APPENDIX 64 Page 138 of 1211 APPENDIX APPENDIX 65 APPENDIX C – RAMP REINFORCEMENT LIMITS EXHIBIT Page 139 of 1211 APPENDIX APPENDIX 66 APPENDIX D – DAVIS-BACON WAGE DETERMINATION Page 140 of 1211 Page 141 of 1211 Page 142 of 1211 Page 143 of 1211 Page 144 of 1211 Page 145 of 1211 Page 146 of 1211 Page 147 of 1211 Page 148 of 1211 Page 149 of 1211 Page 150 of 1211 Page 151 of 1211 Page 152 of 1211 Page 153 of 1211 Page 154 of 1211 Page 155 of 1211 Page 156 of 1211 Page 157 of 1211 Page 158 of 1211 Page 159 of 1211 Page 160 of 1211 Page 161 of 1211 Page 162 of 1211 Page 163 of 1211 Page 164 of 1211 RESOLUTION NO. 11309 (2022 SERIES) A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS OBISPO, CALIFORNIA, APPROVING THE 2023 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) PROGRAM WHEREAS, City of San Luis Obispo is a participating jurisdiction in the San Luis Obispo Urban County, along with the cities of Arroyo Grande, Atascadero, Morro Bay, Paso Robles, Pismo Beach, and the County of San Luis Obispo; and WHEREAS, said cities and County cooperatively administer several federal grant programs under the provisions of the 2021-2023 Cooperative Agreement between the City and County dated July 7, 2020, and under applicable U.S. Department of Housing and Urban Development Department (HUD) rules; and WHEREAS, pursuant to said agreement, the Urban County Public Participation Plan, and HUD rules, the City Council held a public hearing on March 1, 2022, to consider funding recommendations by the Human Relations Commission (HRC), to review applications for federal grant funding, and to consider public comments on community needs and the use of such funds; and WHEREAS, the Council has considered applications for Community Development Block Grant (CDBG) funds, public testimony, the Urban County’s proposed One-Year Action Plan, and the HRC and staff recommendations included in the agenda report; and NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis Obispo as follows: SECTION 1. Environmental Determination. The project is exempt from environmental review per CEQA Guidelines under the General Rule (Section 15061(b)(3)). It can be seen with certainty that CDBG funding allocations could not have a significant effect on the environment and that projects would be reviewed separately during the entitlement and/or permitting phase. SECTION 2. 2022-23 Community Development Block Grant Program Amendments. The City’s 2022-23 Community Development Block Grant Program is hereby approved. The Community Development Director is authorized to approve final dollar amounts once HUD releases allocations with the direction to make up differences in the two amounts. SECTION 3. Board of Supervisors Consideration. The Council hereby forwards the above actions to the San Luis Obispo County Board of Supervisors for consideration prior to the Board’s final action on the Urban County’s 2022-23 Consolidated Plan. DocuSign Envelope ID: D69D3AD5-7463-4A50-8883-ECE9D953E58F Page 165 of 1211 SECTION 4. Community Development Director Authority. The Community Development Director is authorized to act on behalf of the City in executing grant agreements and other actions necessary to implement the approved Consolidated Plan and CDBG Program, including revisions to funding amounts for the 2022-23 CDBG Program if the City’s actual CDBG allocation is different than expected. Upon motion of Council Member Marx, seconded by Vice Mayor Christianson, and on the following roll call vote: AYES: Council Member Marx, Council Member Pease, Council Member Shoresman, Vice Mayor Christianson, and Mayor Stewart NOES: None ABSENT: None The foregoing resolution was adopted this 1st day of March 2022. MayorEricaA. Stewart ATTEST: Teresa Purington City Clerk APPROVED AS TO FORM: J. Christine Dietrick City Attorney IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of San Luis Obispo, California, on ___________________________. TeresaPurington CityClerk DocuSign Envelope ID: D69D3AD5-7463-4A50-8883-ECE9D953E58F 3/4/2022 | 10:45 AM PST Page 166 of 1211 Page 1 of 21 SUBRECIPIENT AGREEMENT FOR 2022 COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS BETWEEN THE COUNTY OF SAN LUIS OBISPO AND THE CITY OF SAN LUIS OBISPO THIS SUBRECIPIENT AGREEMENT FOR 2022 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) FUNDS BETWEEN THE COUNTY OF SAN LUIS OBISPO AND THE CITY OF SAN LUIS OBISPO (“Agreement”) is made and entered into on the date and year last written below by and between the County of San Luis Obispo, a political subdivision of the State of California, hereinafter called “Recipient,” and the City of San Luis Obispo, a municipal corporation in the State of California, located in the County of San Luis Obispo, hereinafter called “Subrecipient”; jointly referred to as “Parties.” WITNESSETH WHEREAS, the Subrecipient applied for 2022 CDBG funds to support the Curb Ramp Improvement Project (hereinafter called “Project”); and WHEREAS, the Recipient and the Subrecipient entered into an Agreement to implement t he Housing and Community Development (HCD) Act of 1974, herein called the “Act”. Said Act is omnibus legislation relating to federal involvement in a wide range of housing and community development activities and is administered by the federal Department of Housing and Urban Development (hereinafter "HUD"); and WHEREAS, on April 19, 2021, the County of San Luis Obispo Board of Supervisors approved the County of San Luis Obispo (County) Program Year 2022 Action Plan of the Consolidated Plan and projected use of funds pursuant to applicable federal regulations (24 CFR Part 570) (hereinafter referred to as the “2022 Action Plan”); and WHEREAS, this agreement shall remain in effect throughout the implementation of projects specified in the Urban County of San Luis Obispo’s Program Year 2022 Action Plan of the 2020 Consolidated Plan (Federal Award Identification #B-22-UC-06-0508) and any amendments thereto; and WHEREAS, the Federal Award date identified in the Grant Agreement for the 2022 CDBG funds is September 20, 2022; and WHEREAS, the Recipient completed the necessary federal environmental review documents per 24 CFR Part 58 to account for all CDBG funds allocated to the Project; and WHEREAS, the Parties desire to enter into this Agreement to govern the use of the CDBG funds for the Project; and NOW, THEREFORE, it is agreed between the parties hereto that: This Agreement sets forth the responsibilities of the Recipient and the Subrecipient accomplishing the objectives of the Community Development Block Grant (CDBG) program (CFDA Title #14.218) as set forth in the HCD Act. 1. Scope of Work. County hereby engages Subrecipient to perform, and Subrecipient hereby agrees to perform for the County, the services set forth in Exhibit A, attached hereto and incorporated herein by reference, all pursuant to the terms and conditions hereinafter set f orth. 2. Compensation. Subrecipient shall be compensated by County for performing said work in accordance with Exhibit B, attached hereto and incorporated herein by reference. 3. Effective Date and Duration. The effective date and duration of this Agreement shall be as set forth in Exhibit C, attached hereto and incorporated herein by reference. 4. General Conditions. Subrecipient and County shall comply with all provisions of County’s General Conditions as set forth in Exhibit D, attached hereto and incorporated herein by reference. 5. Special Conditions. Subrecipient and County shall comply with all provisions of County’s Special Conditions as set forth in Exhibit E, attached hereto and incorporated herein by reference. In the event of conflicts between the provisions of the General Conditions and the Special Conditions, the provisions of the Special Conditions shall be controlling. DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 167 of 1211 Page 2 of 21 6. Lobbying Form and Disclosure. Subrecipient shall document its compliance with certifications and disclosure as required under the lobbying and disclosure requirements, as set forth in Exhibit G, attached hereto and incorporated herein by reference. 7. Agreement Signatures. This Agreement may be executed in counterparts, each of which shall be deemed to be an original, but all of which, when taken together, shall constitute one and the same agreement. This Contract may be executed and delivered by facsimile or scanned signature by any of the Parties and the receiving Party may rely on the receipt of such document so executed and delivered by facsimile or email as if the original had been received. IN WITNESS WHEREOF, the Parties have executed this Agreement on the day and the year set forth below. THE CITY OF SAN LUIS OBISPO, a California municipal corporation BY: ________________________________ Michael Codron, Community Development Director DATED: ________________ BY: ________________________________ Teresa Purrington, City Clerk DATED: ________________ ATTEST: APPROVED AS TO FORM: CITY OF SAN LUIS OBISPO, J. CHRISTINE DIETRICK CITY ATTORNEY BY: ________________________________ City Attorney DATED: ________________ DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217F 1/23/2023 2/6/2023 2/6/2023 DocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 168 of 1211 Page 3 of 21 COUNTY OF SAN LUIS OBISPO, A Public Entity in the State of California BY: ________________________________ Devin Drake Director, Department of Social Services DATED: ________________ APPROVED AS TO FORM AND EFFECT: RITA L. NEAL County Counsel BY: ________________________________ Deputy County Counsel DATED: ________________ DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 169 of 1211 Page 4 of 21 EXHIBIT A SCOPE OF WORK Community Development Block Grant Program. Pursuant to 24 CFR 200, 24 CFR 570.500(c) and 24 CFR 570.501(b), the Recipient may provide CDBG funds to public or private nonprofit agencies, authorities or organizations, or for-profit entities authorized under 570.201(o) (referred to collectively and i ndividually as “subrecipients”) to be used by the subrecipients to provide certain eligible services in connection with the Recipient’s desire to develop viable urban communities, through community development activities, as specified in 24 CFR 570.200 (“CDBG Program”); and Curb Ramp Improvements: i. The project encompasses construction of curb ramps to provide accessibility improvements. This includes construction of new curb ramps at intersections ii. Project Type. Public Facilities 24 CFR 570.201(c) iii. National Objective. Per 24 CFR 570.208, this project meets the following National Objective: Low/Mod Income – Area Benefit iv. Client Documentation. The subrecipient shall utilize the census tract(s) for which the project is in to document each client served. v. Schedule. The following milestones will occur on the identified date(s). 1. Design: July 2022 – March 2023 2. Advertisement: March 2023 – May 2023 3. Construction: May 2023 – July 2023 vi. Reporting. The Subrecipient is responsible for submitting Progress Reports (HSG-1008), not less than once quarterly (Q1: July-Sept, Q2: Oct-Dec, Q3: Jan-Mar, Q4: Apr-Jun), by the 15th day of the month following the end of the quarter, identifying milestones achieved and/or barriers encountered. Progress Report submittals are requested each quarter to ensure reimbursement. The final Progress Report must be submitted with the final Payment Request to allow the Recipient to meet federal reporting requirements. The Subrecipient’s failure to comply with this requirement could result in forfeit of funds. DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 170 of 1211 Page 5 of 21 EXHIBIT B COMPENSATION 1. Compensation a. Prior to commencement of services, Subrecipient shall provide a valid, current taxpayer ID number to: County of San Luis Obispo Auditor/Controller 1055 Monterey Street, Room D220 San Luis Obispo, CA 93408 County shall pay to Subrecipient, as compensation in full for all services performed by Subrecipient pursuant to this contract, the following sums in the following manner: i. County’s Maximum Cost of the Agreement for Services. a. Subrecipient understands that the County shall not expend more than $385,483 for all services under this agreement. b. Subrecipient has submitted a program budget that has been accepted as follows: c. Subrecipient shall submit a line-item budget for each type of activity. Said budget shall be subject to approval by the County. d. Line-item budget adjustments may be requested by Subrecipient and shall be subject to approval by the County. If the line-item budget adjustment does not increase the contract maximum, an agreement amendment will not be required, only written approval by the County will be required. If the line -item budget adjustment causes the agreement maximum to be exceeded, then an agreement amendment will be required. ii. If applicable, should both Parties exercise the right to extend this Agreement as described in Exhibit C, the maximum fund amount for this Agreement in total per extended term is identical to the maximum fund amount in FY 2022–23 pursuant to section 5 of Exhibit C, Option to Extend. 2. Billing a. Subrecipient shall bill County for services provided under this agreement as follows: i. Subrecipient shall submit to County a quarterly payment request by the 15th day of the month following the quarter for which Subrecipient is billing. ii. Subrecipient shall include only actual expenses for the quarter for which Subrecipient is billing and Subrecipient’s submitted quarterly expense report shall include budget line item(s) and type of activity or activities provided. 3. Documentation. The Subrecipient must keep documentation showing that CDBG funds were spent on allowable costs in accordance with the requirements for eligible activities under 24 CFR 570.200 through 570.210, financial management in 2 CFR 200.302, and the cost principles in 2 CFR 200, Subpart E. a. Timecard tracking for each employee shall be true to hours worked on the Project and not a percentage allocation. Subrecipients are required to specify time spent working on the project within the documentation. b. Documentation indicating income eligibility and method of review are r equired to be kept in each project file and should be made available to HUD, or the Recipient, upon request. Curb Ramp Improvements Design Phase (Design and Survey) $ 50,000.00 Construction Phase $ 465,483.00 City Funding $ 130,000.00 TOTAL BUDGET $ 515,483.00 TOTAL CDBG BUDGET $ 385,483.00 DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 171 of 1211 Page 6 of 21 4. Payments a. County shall, within thirty (30) days following receipt of a complete payment request meeting all criteria in this Agreement, pay the und isputed charges on the request. If there are any disputed charges on the payment request, County shall include an explanation of the nature of the dispute with the payment for the undisputed charges and shall provide Subrecipient with a Notice of Adverse Beneficiary Determination, if applicable. The Parties shall exchange any information needed to resolve the dispute within a reasonable time. b. Absent fraud or mistake on the part of the County or HUD, the determination by the County and HUD of allowance of any expenditure shall be final. 5. Withholding Payment a. In addition to withholding payment due to disputed charges on a payment request, County shall have the right to withhold payment to Subrecipient under any of the following conditions: i. Subrecipient has not documented or has not sufficiently documented Subrecipient’s services according to client records standards of the industry and any special requirements needed by third party payors or federal or state funding agencies. ii. Subrecipient has failed or refused to furnish information or cooperate with any inspection, review or audit of Subrecipient’s program or County’s use of Subrecipient’s program. This includes interviews and/or reviews of records in any form of information storage. iii. Subrecipient has failed to sufficiently itemize or document an itemized payment request. iv. When in the opinion of County and expressed by County to Subrecipient in writing, Subrecipient’s performance, in whole or in part, has not been sufficiently documented. 6. Reimbursement of Improper Expenditures. If at any time within applicable statutory periods of limitation it is determined by County or by HUD or its duly authorized representatives, or by the United States Secretary of Treasury or his duly authorized representatives that funds provided for under the terms of this Agreement have been used by or on behalf of Subrecipient in a manner or for purposes not authorized or prohibited by 24 CFR Part 570), or by regulations adopted pursuant thereto, Subrecipient shall, at County's request, pay to County an amount equal to one hundred percent of the amount improperly expended. 7. Uniform Administrative Requirements, if applicable a. Subrecipient understands that this Agreement may be funded in part by Federal Grants and, as such, Subrecipient must perform in accordance with the Uniform Administrative Requirements for Federal Awards, codified in 2 CFR section 200.331. i. Subrecipient shall participate in regularly scheduled agreement monitoring designed to review various aspects of services including program and financial compliance issues in accordance with 2 CFR section 200.331. At a minimum, one (1) desk audit monitoring shall be completed by the County each program year in any one of the four (4) quarters. Monitoring shall include, at a minimum, a review of the following financial statements: Balance Sheet, Income Statement and Statement of Cash Flow. Subrecipient shall email financial statements for the desk audit within the timeframe identified in the County’s Notice of Monitoring. ii. Subrecipient shall ensure that their annual financial statements are audited by an independent audit firm and a copy is provided to County on an annual basis, no later than thirty (30) days after the completion of the audit. 8. Ineligible Costs. The City of Grover Beach is not a participating jurisdiction of the Urban County of San Luis Obispo. CDBG regulations do not allow the expenditure of CDBG funds for the benefit residents of, nor expend these funds within, the City of Grover Beach. DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 172 of 1211 Page 7 of 21 EXHIBIT C DURATION AND EFFECTIVE DATE 1. Effective Date. This Agreement shall be effective as of the date this Agreement is signed by County, and that signatory shall be the last to sign. 2. Service Date. a. Services shall commence on or after October 28, 2022 and shall end upon the end of the duration date, as outlined in section 3 of this Exhibit, below. b. County specifically acknowledges that in anticipation of execution of this Agreement, services within the scope of this Agreement may have been provided in reliance on assurances that this Agreement would be executed by the Parties by October 28, 2022. Pre-award costs, services may have been rendered from October 28, 2022, to the date the Parties are executing this Agreement, and which were intended in the best interest of the public health and welfare, must meet the requirements provided in the County’s grant agreement or other applicable HUD written approval of pre-award costs. County expressly authorizes the retroactive effective date under this Agreement to be October 28, 2022. County also expressly authorizes payment for those services accepted by County at the same rates and under the same terms and conditions as stated in this Agreement, even though this Agreement is being signed after October 28, 2022. c. 24 CFR Part 58 prohibits the commitment or expenditure of HUD funds until the environmental review process has been completed and the subrecipient receives an “Ability to Obligate and Incur Costs” notice from the County. d. If any services from October 28, 2022 until the date of execution of this Agreement have been paid by a purchase order via County Purchasing Agent, that amount shall be deducted from the maximum allowed expenditure under Exhibit B of this Agreement. 3. Duration Date. This Agreement shall remain in effect from the effective date, stated in section 1 of this Exhibit, above, until July 30, 2023, unless terminated sooner pursuant to sections 6 or 7 of Exhibit D, or extended pursuant to section 5 of this Exhibit. 4. Final Payment Request Deadline. All payment requests are due to the Recipient by July 10, 2023. Failure to submit final requests with complete documentation by the aforementioned date may result in forfeit of funds. 5. Option to Extend. The Director of the County Department of Social Services or his or her designee may, at his or her sole discretion, grant the Subrecipient up to two 180-day term extensions upon receipt of a written request from the Subrecipient, provided that the final end date of the term does not extend beyond 24 months after the effective date identified in this paragraph. Such extension must be requested no later than 45 days before the end date of the original term in the case of the first extension, and no later than 45 days before the end date of the first extension in t he case of the second extension. DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 173 of 1211 Page 8 of 21 EXHIBIT D GENERAL CONDITIONS 1. General Compliance. The Subrecipient agrees to comply with the requirements of Title 24 of the Code of Federal Regulations, Part 570 (the U.S. Housing and Urban Development regulations concerning Community Development Block Grants (CDBG)) including subpart K of these regulations, except that (1) the Subrecipient does not assume the recipient’s environmental responsibilities described in 24 CFR 570.604 and (2) the Subrecipient does not assume the recipient’s responsibility for initiating the review process under the provisions of 24 CFR Part 52. The Subrecipient also agrees to comply with all other applicable Federal, state, and local laws, regulations, and policies governing the funds provided under this Agreement. The Subrecipient further agrees to utilize funds available under this Agreement to supplement rather than supplant funds otherwise available. 2. Notices. All notices given or made pursuant hereto shall be in writing and shall be deemed to have been duly given if delivered personally, mailed by registered or certified mail (postage paid, return receipt requested) or sent by a nationally recognized overnight courier (providing proof of delivery) to the Parties at the following addresses or sent by electronic transmission to the following facsimile numbers: a. The Recipient’s representative who shall be responsible for negations, contractual matters, and coordination with the Subrecipient is as follows: i. Name and Title: Harlee Hopkins, Program Manager Address: County of San Luis Obispo Department of Social Services 976 Osos Street, Rm. 300 San Luis Obispo, CA 93408 Fax: (805) 781-5624 Telephone: (805) 781-4099 Email: hhopkins@co.slo.ca.us b. The Subrecipient’s representative who shall be responsible for job performance, negotiations, contractual matters, and coordination with the County is as follows: i. Name and Title: Owen Goode, Assistant Planner, City of SLO Address: 919 Palm Street San Luis Obispo, CA 93401 Telephone: (805) 781-7576 Email: ogoode@slocity.org Entity DUNS: 09-899-2407 Entity UEI: VCUGK243NQ71 c. Any such notice shall be deemed to have been received: i. In the case of personal delivery or facsimile transmission with confirmation retained, on the date of such delivery or transmission; or ii. In the case of nationally recognized overnight courier, on the next business day after the date sent; or iii. In the case of mailing, on the third business day following posting. 3. Environmental Review. 24 CFR Part 58 prohibits the commitment or expenditure of HUD funds until the environmental review process has been completed and the subrecipient receives an "Ability to Obligate and Incur Costs" notice from the County. Subrecipients may not spend either public or private project funds (HUD, other Federal or nonfederal funds), or execute a legally binding agreement for property acquisition, rehabilitation, conversion, repair or construction pertaining to a specific site until environmental clearance has been achieved. Subrecipients must avoid any and all actions that would preclude the selection of alternative choices before a final decision is made – that decision being based upon an understanding of the environmental consequences and actions that can protect, restore and enhance the human environment (i.e., the DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 174 of 1211 Page 9 of 21 natural, physical, social and economic environment). Activities that have physical impacts or which limit the choice of alternatives cannot be undertaken, even with the subrecipient's or other project participant’s own funds, prior to obtaining environmental clearance. Obligated and/or incurred project funds prior to the completion of all required local, state, and federal environmental laws will jeopardize the project’s eligibility to receive federal funds. Under federal law, the County of San Luis Obispo is not responsible for the award of funds nor the reimbursement of any project funds to the applicant/subrecipient and the County will reallocate the funds to another eligible project and applicant. 4. Independent Contractor. Nothing contained in this Agreement is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the parties. The Subrecipient shall at all times remain an “independent contractor” with respect to the services to be performed under this Agreement. The Recipient shall be exempt from payment of all Unemployment Compensation, FICA, retirement, life and/or medical insurance and Workers’ Compensation Insurance, as the Subrecipient is an independent contractor. 5. Indemnification. To the fullest extent permitted by law, Subrecipient shall indemnify, defend, and hold harmless the County and its officers, agents, employees, and volunteers from and against all claims, demands, damages, liabilities, loss, costs, and expense (including attorney’s fees and costs of litigation) of every nature arising out of or in connection with Subrecipient’s performance or attempted performance of any obligation or duty provided for or relating to this Agreement, except such loss or damage which was caused by sole negligence or willful misconduct of the County. 6. Recipient Recognition. The Subrecipient shall insure recognition of the role of the Recipient in providing services through this Agreement. All activities, facilities and items utilized pursuant to this Agreement shall be prominently labeled as to funding source. In addition, th e Subrecipient will include a reference to the support provided herein in all publications made possible with funds made available under this Agreement. 7. Severability. If any provision of this Agreement is held invalid, the remainder of the Agreement shall not be affected thereby, and all other parts of this Agreement shall nevertheless be in full force and effect. 8. Section Headings and Subheadings. Section headings and subheadings contained in this Agreement are included for convenience only and shall not limit or otherwise affect the terms of this Agreement. 9. Waiver. The Recipient’s failure to act with respect to a breach by the Subrecipient does not waive its right to act with respect to subsequent or similar breaches. The failure of the Recipient to exercise or enforce any right or provision shall not constitute a waiver of such right or provision. 10. Entire Agreement. This agreement constitutes the entire agreement between the Recipient and the Subrecipient for the use of funds received under this Agreement and it supersedes all prior or contemporaneous communications and proposals, whether electronic, oral, or written between the Recipient and the Subrecipient with respect to this Agreement. 11. Amendments. The Recipient or Subrecipient may amend this Agreement at any time provided that such amendments make specific reference to this Agreement, and are executed in writing, signed by a duly authorized representative of each organization, and approved by the Recipient’s governing body. Such amendments shall not invalidate this Agreement, nor relieve or release the Recipient or Subrecipient from its obligations under this Agreement. The Recipient may, in its discretion, amend this Agreement to conform with Federal, state , or local governmental guidelines, policies and available funding amounts, or for other reasons. If such amendments result in a change in the funding, the scope of services, or schedule of the activities to be undertaken as part of this Agreement, such modifications will be incorporated only by written amendment signed by both Recipient and Subrecipient. 12. Suspension or Termination. In accordance with 24 CFR 85.43, the Recipient may suspend or terminate this Agreement if the Subrecipient materially fails to comply with any terms of this Agreement, which include (but are not limited to) the following: DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 175 of 1211 Page 10 of 21 a. Failure to comply with any of the rules, regulations or provisions referred to herein, or such statutes, regulations, executive orders, and HUD guidelines, policies or directives as may become applicable at any time; b. Failure, for any reason, of the Subrecipient to fulfill in a timely and proper manner its obligations under this Agreement; c. Ineffective or improper use of funds provided under this Agreement; or d. Submission by the Subrecipient to the Recipient reports that are incorrect or incomplete in any material respect. In accordance with 24 CFR 85.44, this Agreement may also be terminated for convenience by either the Recipient or the Subrecipient, in whole or in part, by setting forth the reasons for such termination, the effective date, and, in the case of partial termination, the portion to be terminated. However, if in the case of a partial termination, the Recipient determines that the remaining portion of the award will not accomplish the purpose for which the award was made, the Recipi ent may terminate the award in its entirety. 13. Insurance & Bonding. Subrecipient shall procure and maintain for the duration of the agreement insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Subrecipient, its agents, representatives, or employees. a. Minimum Scope and Limit of Insurance. Coverage shall be at least as broad as: i. Commercial General Liability (CGL): Insurance Services Office (ISO) Form CG 00 01 covering CGL on an “occurrence” basis for bodily injury and property damage, including products-completed operations, personal injury and advertising injury, with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location or the general aggregate limit shall be twice the required occurrence limit. ii. Automobile Liability. ISO Form Number CA 0001 covering, Code 1 (any auto), or if Subrecipient has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. iii. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. If Subrecipient will provide leased employees, or, is an employee leasing or temporary staffing firm or a professional employer organization (PEO), coverage shall also include an Alternative Employer endorsement (providing scope of coverage equivalent to ISO policy form WC 00 03 01 A) naming the County as the Alternate Employer and the endorsement form shall be modified to provide that County will receive not less than thirty (30) days advance written notice of cancellation of this coverage provision. If applicable to Subrecipient’s operations, coverage also shall be arranged to satisfy the requirements of any federal workers or workmen’s compensation law or any federal occupational disease law. If the Subrecipient maintains higher limits than the minimums shown above, the County requires and shall be entitled to coverage for the higher limits maintained by the Subrecipient. iv. Professional Liability/Errors and Omissions. Insurance covering Subcontractor’s liability arising from or related to this Agreement, with limits of not less than $1 million per claim and $2 million aggregate. Further, Subrecipient understands and agrees it shall maintain such coverage for a period of not less than three (3) years following this Agreement’s expiration, termination or cancellation. b. Additional Insured Status. The County, its officers, officials, employees, and volunteers are to be covered as insureds on the auto policy with respect to liability arising out of automobiles owned, leased, hired or borrowed by or on behalf of the Subrecipient; and on DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 176 of 1211 Page 11 of 21 the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Subrecipient including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Subrecipient’s insurance (at least as broad as ISO Form CG 20 10, 11 85 or both CG 20 10 and CG 23 37 forms if later revisions used). i. Primary Coverage. For any claims related to this contract, the Subrecipient’s insurance coverage shall be primary insurance as respects the County, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the County, its officers, officials, employees, or volunteers shall be excess of the Subrecipient’s insurance and shall not contribute with it. ii. Notice of Cancellation. Each insurance policy required above shall state that coverage shall not be canceled, except after thirty (30) days’ prior written notice (10 days for non-payment) has been given to the County. iii. Failure to Maintain Insurance. Subrecipient’s failure to maintain or to provide acceptable evidence that it maintains the required insurance shall constitute a material breach of the Agreement, upon which the County immediately may withhold payments due to Subrecipients, and/or suspend or terminate this Agreement. The County, at its sole discretion, may obtain damages from Subrecipient resulting from said breach. iv. Waiver of Subrogation. Subrecipient hereby grants to County a waiver of any right to subrogation which any insurer of said Subrecipient may acquire against the County by virtue of the payment of any loss under such insurance. Subrecipient agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether the County has received a waiver of subrogation endorsement for the insurer. v. Deductibles and Self-Insured Retentions. Any deductibles or self-insured retentions must be declared to and approved by the County. The County may require the Subcontractor to provide proof of ability to pay losses and related investigation, claim administration, and defense expenses within the retention. vi. Acceptability of Insurers. Insurance is to be placed with insurers with a current A.M. Best’s rating of no less than A: VII, unless otherwise acceptable to the County. vii. Claims Made Policies. If any of the required policies provide coverage on a claims- made basis: 1. The Retroactive Date must be shown and must be before the date of the agreement or the beginning of agreement work. 2. Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the agreement of work. 3. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the agreement effective date, the Subrecipient must purchase “extended reporting” coverage for a minimum of five (5) years after completion of agreement work. viii. Separation of Insureds. All liability policies shall provide cross-liability coverage as would be afforded by the standard ISO (Insurance Services Office, Inc.) separation of insureds provision with no insured versus insur ed exclusions or limitation. ix. Verification of Coverage. Subrecipient shall furnish the County with original certification and amendatory endorsements, or copies of the applicable policy language effecting coverage required by this clause. All certificates and endorsements are to be received and approved by the County before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the Subrecipient’s obligation to provide them. The County reserves the right to require DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 177 of 1211 Page 12 of 21 complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. x. Certificates and copies of any required endorsements shall be sent to: Harlee Hopkins, Program Manager County of San Luis Obispo Department of Planning & Building 976 Osos St., Rm. 300 San Luis Obispo, CA 93408 xi. Subcontractors: Subrecipient shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein. xii. Special Risks or Circumstances: County reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 14. Uniform Administrative Requirements a. Compliance. Pursuant to 24 CFR 570.502, the Subrecipient will comply with the requirements of 2 CFR part 200, except that the following provisions shall not apply: § 200.305 as modified by 24 CFR 570.502(a)(1), 200.306, 200.307 as governed by 24 CFR 570.504, 200.308, 200.311 except as provided in 24 CFR 570.200(j) and governed by 24 CFR 570.505, 200.313 except as provided in 570.502(a)(6), 200.333 except as pr ovided in 570.502(a)(7)(ii) for subrecipients. If there is a conflict between definitions in 2 CFR part 200 and 24 CFR part 570, the definitions in 24 CFR part 570 shall govern. b. Subpart K of 24 CFR Part 570. The Subrecipient agrees to carry out each activity in compliance with all Federal laws and regulations described in subpart K of these regulations, except that: i. The Subrecipient does not assume the recipient’s environmental responsibilities described at 570.604; and ii. The Subrecipient does not assume the recipient’s responsibility for initiating the review under the provisions of 24 CFR Part 52. c. Agreement Responsibility for Monitoring and Records. HUD, the Office of the Inspector General (OIG), and the designated representatives of the Subrecipient, and other appropriate officials shall have access to all personnel records, management information, and fiscal data of the Subrecipient and any agency or contractor with whom the Subrecipient executes a subcontract necessary to carry out any CDBG program(s) fo r monitoring purposes (2 CFR Part 200.328, 200.327 and 200.326). The Subrecipient shall respond in a timely manner to all identified corrective action needs as a result of HUD, Recipient, or other monitoring. The Subrecipient shall submit to Recipient al l required reports and monitoring corrective action plans on a timely basis, as delineated by the Recipient. Records shall be maintained as follows: i. The Subrecipient agrees to retain all pertinent records under CDBG program, including financial records, until advised by the Recipient that further retention is unnecessary. Generally, records shall be retained for a period for five (5) years from the end of the fiscal year in which the last project covered by the Recipient’s annual agreement with HUD is completed. Records shall be open and available for inspection by auditors and/or other staff assigned by HUD and/or the Recipient during the normal business hours of the Subrecipient. If at the end of such five -year period, there is ongoing litigation, claims, negotiations, audit or other action involving the Subrecipient’s or the Recipient’s records, which has started before expiration of the five (5) year period, the Subrecipient will retain the records until the completion of the action and resolution of all issues which arise from it as stated in 2 CFR Part 200.333. ii. Consistent with applicable state and local laws regarding privacy and obligations of confidentiality, the Subrecipient shall furnish and cause each of its own subrecipients or subcontractors to furnish all information and reports required hereunder and will DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 178 of 1211 Page 13 of 21 permit access to its books, records and accounts to the Recipient, HUD or its agent, or other authorized Federal officials for purposes of investigation to ascertain compliance with the rules, regulations and provisions stated herein The Subrecipient also must provide citizens with reasonable access to records on the past use of CDBG funds (24 CFR 570.508). iii. Records for nonexpendable property shall be retained for a period of five (5) years after final disposition of the property, if applicable. 15. Financial Management. a. Accounting Standards. The Subrecipient agrees to comply with 24 CFR 84.21−28 and agrees to adhere to the accounting principles and procedures required therein, utilize adequate internal controls, and maintain necessary source documentation for all costs incurred. b. Cost Principles. The Subrecipient shall administer its program in conformance with OMB Circulars A-122, “Cost Principles for Non-Profit Organizations,” or A-21, “Cost Principles for Educational Institutions,” as applicable. These principles shall be applied for all costs incurred whether charged on a direct or indirect basis. 16. Conflict of Interest. The Subrecipient agrees to abide by the provisions of 24 CFR 84.42 and 570.611, which include (but are not limited to) the following: a. The Subrecipient shall maintain a written code or standards of conduct that shall govern the performance of its officers, employees or agents engaged in the award and administration of contracts supported by Federal funds. b. No employee, officer or agent of the Subrecipient shall participate in the selection, or in the award, or administration of, a contract supported by Federal funds if a conflict of interest, real or apparent, would be involved. c. No covered persons who exercise or have exercised any functions or responsibilities with respect to CDBG-assisted activities, or who are in a position to participate in a decision- making process or gain inside information with regard to such activities, ma y obtain a financial interest in any contract, or have a financial interest in any contract, subcontract, or agreement with respect to the CDBG -assisted activity, or with respect to the proceeds from the CDBG-assisted activity, either for themselves or those with whom they have business or immediate family ties, during their tenure or for a period of one (1) year thereafter. For purposes of this paragraph, a “covered person” includes any person who is an employee, agent, consultant, officer, or elected or appointed official of the Recipient, the Subrecipient, or any designated public agency. 17. Lobbying. The Subrecipient hereby certifies that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of it, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. b. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, it will complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions; and c. It will require that the language of paragraph (d) of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all Subrecipients shall certify and disclose accordingly. DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 179 of 1211 Page 14 of 21 d. Lobbying Certification: This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S.C. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 18. Religious Activities. The Subrecipient agrees that funds provided under this Agreement will not be utilized for inherently religious activities prohibited by 24 CFR 570.200(j), such as worship, religious instruction, or proselytization. 19. Copyright. If this contract results in any copyrightable material or inventions, the Recipient and/or grantor agency reserves the right to royalty -free, non-exclusive, and irrevocable license to reproduce, publish or otherwise use and to authorize others to use, the work or materials for governmental purposes. DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 180 of 1211 Page 15 of 21 EXHIBIT E SPECIAL CONDITIONS 1. Administrative Requirements a. Documentation and Record Keeping. 1. Records to be Maintained. The Subrecipient shall maintain all records required by the Federal regulations specified in 24 CFR 570.506, that are pertinent to the activities to be funded under this Agreement. Such records shall include but not be limited to: 1. Records providing a full description of each activity undertaken; 2. Records demonstrating that each activity undertaken meets one of the National Objectives of the CDBG program; 3. Records required to determine the eligibility of activities; 4. Records required to document the acquisition, improvement, use or disposition of real property acquired or improved with CDBG assistance; 5. Records documenting compliance with the fair housing and equal opportunity components of the CDBG program; 6. Financial records as required by 24 CFR 570.502, and 24 CFR 84.21−28; and 7. Other records necessary to document compliance with Subpart K of 24 CFR Part 570. 2. Retention. The Subrecipient shall retain all financial records, supporting documents, statistical records, and all other records pertinent to the Agreement for a period of five (5) years. The retention period begins on the date of the submission of the Recipient’s annual performance and evaluation report to HUD in which the activities assisted under the Agreement are reported on for the final time. 3. Client Data. The Subrecipient shall maintain client data demonstrating client eligibility for services provided. Such data shall include, but not be limited to, client identifier, address, income level or other basis for determining eligibility, and description of service provided. Such information shall be made available to Recipient monitors or their designees for review upon request. 4. Disclosure. The Subrecipient understands that client information collec ted under this contract is private and the use or disclosure of such information, when not directly connected with the administration of the Recipient’s or Subrecipient’s responsibilities with respect to services provided under this contract, is prohibited unless written consent is obtained from such person receiving service and, in the case of a minor, that of a responsible parent/guardian. 5. Close-outs. The Subrecipient’s obligation to the Recipient shall not end until all close - out requirements are completed. Activities during this close-out period shall include, but are not limited to: making final payments, disposing of program assets (including the return of all unused materials, equipment, unspent cash advances, program income balances, and accounts receivable to the Recipient), and determining the custodianship of records. Notwithstanding the foregoing, the terms of this Agreement shall remain in effect during any period that the Subrecipient has control over CDBG funds, including program income. 6. Audits & Inspections. All Subrecipient records with respect to any matters covered by this Agreement shall be made available to the Recipient, grantor agency, and the Comptroller General of the United States or any of their authorized representatives, at any time during normal business hours, as often as deemed necessary, to audit, examine, and make excerpts or transcripts of all relevant data. Any deficiencies noted in audit reports must be fully cleared by the Subrecipient within 30 days after receipt by the Subrecipient. Failure of the Subrecipient to comply with the above audit requirements will constitute a violation of this contract and may result in the withholding of future payments. The Subrecipient hereby agrees to have an annual agency audit DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 181 of 1211 Page 16 of 21 conducted in accordance with current Recipient policy concerning subrecipient audits and OMB Circular A-133. 2. Reporting and Payment Procedures. a. Program Income. The use of program income by the Subrecipient shall comply with the requirements set forth at 24 CFR 570.504. b. Indirect Costs. If indirect costs are charged, the Subrecipient will develop an indirect cost allocation plan for determining the appropriate Subrecipient’s share of administrative costs and shall submit such plan to the Recipient for approval, in a form specified by the Recipient. c. Payment Procedures. The Recipient will pay to the Subrecipient funds available under this Agreement based upon information submitted by the Subrecipient and consistent with any approved budget and Recipient policy concerning payments. Payments will be made for eligible expenses actually incurred by the Subrecipient, and not to exceed actual award amount. The Recipient shall pay Subrecipient within 30 days of receipt of a complete payment request. d. Progress Reports. The Subrecipient shall submit regular Progress Reports to the Recipient in the form, content, and frequency as required by the Recipient, set forth in Exhibit A. e. Use and Reversion of Assets. The use and disposition of real property and equipment under this Agreement shall be in compliance with the requirements of 24 CFR Part 84 and 24 CFR 570.502, 570.503, and 570.504, as applicable, which include but are not limited to the following: i. The Subrecipient shall transfer to the Recipient any CDBG funds on hand and any accounts receivable attributable to the use of funds under this Agreement at the time of expiration, cancellation, or termination. Real property under the Subrecipient’s control that was acquired or improved, in whole or in part, with funds under this Agreement in excess of $25,000 shall be used to meet one of the CDBG National Objectives pursuant to 24 CFR 570.208 until five (5) years after expiration of this Agreement. If the Subrecipient fails to use CDBG-assisted real property in a manner that meets a CDBG National Objective for the prescribed period of time, the Subrecipient shall pay the Recipient an amount equal to the current fair market value of the property less any portion of the value attributable to expenditures of non-CDBG funds for acquisition of, or improvement to, the property. Such payment shall constitute program income to the Recipient. The Subrecipient may retain real property acquired or improved under this Agreement after the expiration of the five-year period. ii. In all cases in which equipment acquired, in whole or in part, with funds under this Agreement is sold, the proceeds shall be program income (prorated to reflect the extent to funds received under this Agreement were used to acquire the equipment). Equipment not needed by the Subrecipient for activities under this Agreement shall be (a) transferred to the Recipient for the CDBG program or (b) retained after compensating the Recipient [an amount equal to the current fair market value of the equipment less the percentage of non-CDBG funds used to acquire the equipment]. 3. Civil Rights. a. Compliance. The Subrecipient agrees to comply with local and state civil rights ordinances and with Title VI of the Civil Rights Act of 1964 as amended, Title VIII of the Civil Rights Act of 1968 as amended, Section 104(b) and Section 109 of Title I of the Housing and Community Development Act of 1974 as amended, Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, the Age Discrimination Act of 1975, Executive Order 11063, and Executive Order 11246 as amended by Executive Orders 11375, 11478, 12107 and 12086. b. Nondiscrimination. The Subrecipient agrees to comply with the non-discrimination in employment and contracting opportunities laws, regulations, and executive orders DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 182 of 1211 Page 17 of 21 referenced in 24 CFR 570.607, as revised by Executive Order 13279. The applicable non- discrimination provisions in Section 109 of the HCDA are still applicable. c. Land Covenants. This contract is subject to the requirements of Title VI of the Civil Rights Act of 1964 (P. L. 88-352) and 24 CFR 570.601 and 570.602. In regard to the sale, lease, or other transfer of land acquired, cleared or improved with assistance provided under this contract, the Subrecipient shall cause or require a covenant running with the land to be inserted in the deed or lease for such transfer, prohibiting discrimination as herein defined, in the sale, lease or rental, or in the use or occupancy of such land, or in any improvements erected or to be erected thereon, providing that the Recipient and the United States are beneficiaries of and entitled to enforce such covenants. The Subrecipient, in undertaking its obligation to carry out the program assisted hereunder, agrees to take such measures as are necessary to enforce such covenant, and will not itself so discriminate. d. Section 504. The Subrecipient agrees to comply with all Federal regulations issued pursuant to compliance with Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which prohibits discrimination against the individuals with disabilities or handicaps in any Federally assisted program. The Recipient shall provide the Subrecipient with any guidelines necessary for compliance with that portion of the regulations in force during the term of this Agreement. e. Subcontract Provisions. The Subrecipient will include the provisions of Civil Rights, and Affirmative Action, in every subcontract or purchase order, specifically or by reference, so that such provisions will be binding upon each of its own subrecipients or subcontractors. 4. MBE/WBE. a. Women- and Minority-Owned Businesses (W/MBE). The Subrecipient will use its best efforts to afford small businesses, minority business enterprises, and women’s business enterprises the maximum practicable opportunity to participate in the performa nce of this contract. As used in this contract, the terms “small business” means a business that meets the criteria set forth in section 3(a) of the Small Business Act, as amended (15 U.S.C. 632), and “minority and women’s business enterprise” means a busi ness at least fifty-one (51) percent owned and controlled by minority group members or women. For the purpose of this definition, “minority group members” are AfroAmericans, Spanish -speaking, Spanish surnamed or Spanish-heritage Americans, AsianAmericans, and American Indians. The Subrecipient may rely on written representations by businesses regarding their status as minority and female business enterprises in lieu of an independent investigation. 5. Labor Standards. The Labor Standards Regulations set forth in Section 570.603 of 24 CFR Part 570; and HUD Handbook 1344.1. If this Agreement involves construction or facility improvements exceeding $2,000 awarded by the Recipient, the Subrecipient agrees to comply with: a. Prevailing Wages. Subrecipient shall comply with the prevailing wage requirements of the Secretary of Labor in accordance with the Davis-Bacon Act (40 USC 276a to 276 a-7) as supplemented in the Department of Labor regulations (29 CFR Part 5). These requirements shall apply to all contracts, financed in whole or in part with assistance provided under this Agreement, that exceed $2,000.00 and involve construction, renovation or repair of any building or work. These requirements shall not apply to contracts the exceed $2,000 that involve the rehabilitation of residential property containing less than eight (8) households, or as allowed by the Housing and Community Development Act of 1974, as amended. Contractors shall also comply regulations under 29 CFR, Parts 3, 1, 5 and 7 governing the payment of wages for apprentices and trainees to journeymen. However, if wage rates higher than those required under the regulations are imposed by state or local law, nothing hereunder is intended to relieve the Subrecipient of its obligatio n, if any, to require payment of the higher wage. The Subrecipient shall cause or require to be inserted in full, in all such contracts subject to such regulations, provisions meeting the requirements of this paragraph, for such contracts in excess of $10,000.00. DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 183 of 1211 Page 18 of 21 b. Copeland Anti-Kickback Act. During the performance of this Agreement, the Subrecipient and its contractors and subcontractors agree to comply with the Copeland Anti-Kickback Act (18 USC 874) as supplemented in the Department of labor regulations (29 CFR Part 3). This act provides that the Subrecipient, its contractor and subcontractors shall be prohibited from inducing any person employed in the construction, completion, or repair of public facilities to give up any part of the compensation which they are otherwise entitled. The Subrecipient, its contractor and subcontractors shall maintain documentation that demonstrates compliance with hour and wages requirements of this part. Such documentation shall be made available to the Recipient for review upon request. The Subrecipient’s contractor and subcontractors agree to include a provision requiring such compliance in its lower tier covered contracts and transactions. Agreements exceeding $100,000 that involve the employment of mechanics or laborers shall comply with the following: a. Contract Work Hours and Safety Standards Act. Where applicable, during the performance of this Agreement all contracts awarded by the Subrecipient, the prime contractor and subcontractors in excess of $2,000 for construction contracts and in excess of $100,000 are required, pursuant to the Contract Work Hours and Safety Standards Act, to apply the four clauses below. These clauses shall be inserted in addition to the clauses required by 29 CFR Part 5.5(a) or 29 CFR Part 4.6. As used in this section, the terms laborers and mechanics include watchmen and guards. i. Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in w hich he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. ii. Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (a.) of this section, the contractor, and any subcontractor responsible therefor shall be liable for th e unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (a.) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (a.) of this section. iii. Withholding for unpaid wages and liquidated dam ages. The Recipient shall upon its own action or upon written request of an authorized representative of the U.S. Department of Housing and Urban Development (HUD) or the U.S. Department of Labor (DOL) withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (ii.) of this section. iv. Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraphs (i.) through (iv.) of this section and a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 184 of 1211 Page 19 of 21 responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (i.) through (iv.) of this section. 6. Bonding Requirements. For construction or facility improvements contracts or subcontracts exceeding the Simplified Acquisition Threshold ($150,000) the Recipient may accept the bonding policy and requirements of the Subrecipient provided that the Recipient has made a determin ation that the CDBG funds are adequately protected. If such a determination has not been made, the minimum requirements must be as follows: a. Bid Guarantee. At the submission of a bid to the Subrecipient, the contractor shall furnish a “bid” guarantee equivalent to five percent of the bid price. The “bid guarantee” must consist of a firm commitment such as a bid bond, certified check, or other negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of the bid, execute s uch contractual documents as may be required within the time specified. b. Performance Bond. At the time of execution of a contract between the Subrecipient and the contractor, the contractor shall furnish a “faithful performance” bond in the sum of one hundred percent (100%) of the contract price to guarantee the performance of the contract. c. Payment Bond. At the time of execution of the contract, the contractor shall furnish a “payment” bond in the sum of one hundred percent (100%) of the contract price to assure payment as required by law of all persons supplying labor and material in the execution of the work provided for in the contract. 7. Section 3. Economic Opportunities for Low- and Very Low-Income Persons (24 CFR Part 75). A project receiving HUD assistance of at least $200,000 involving construction, demolition, or rehabilitation is required to comply with Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (Section 3 Final Rule). hereinafter referred to as “Section 3”. The purpose of the Section 3 is to ensure that employment and other economic opportunities generated by the U.S. Department of Housing and Urban Development (HUD) assistance shall, to the greatest extent feasible, be directed to low and very low-income persons within the project area or to Business Concerns located in or owned in substantial part by persons residing within the area of the project (Section 3 Workers and/or Section 3 Business Concerns). Income limits defined by Section 3(b)(2) of the Housing Act of 1937. a. Recordkeeping. 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. Subrecipients must maintain 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. b. The Subrecipient shall insure that all contracts subject to Section 3 include the following: i. The Parties to this contract agree to comply with the Section 3 provisions set forth in 24 CFR Part 75. The parties to this contract certify that they are under no contractual or other impediments that would prevent them from complying with the Part 75 regulations. ii. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers’ representative of the contractor’s commitments under this Section 3 clause and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. iii. The contractor agrees to include this Section 3 language in every subcontract subject to compliance with regulation in 24 CFR Part 75, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 language, upon a finding that the subcontractor is in violation of the regulation in 24 CFR Part 75 and the DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 185 of 1211 Page 20 of 21 associated policies and guidelines. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulation in 24 CFR Part 75. iv. The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor’s obligations under 24 CFR Part 135. v. Noncompliance with 24 CFR Part 75 and the associated policies and guidelines may result in sanctions specified by 24 CFR 75, termination of this contract for default, or debarment or suspension from future HUD-assisted contracts. c. Subcontracts. The Subrecipient will include this Section 3 clause in every subcontract and will take appropriate action pursuant to the subcontract upon a finding that the subcontractor is in violation of regulations issued by the grantor agency. The Subrecipient will not subcontract with any entity where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR Part 135 and will not let any subcontract unless the entity has first provided it with a preliminary statement of ability to comply with the requir ements of these regulations. 8. Access to Records. The Subrecipient shall furnish and cause each of its own subrecipients or subcontractors to furnish all information and reports required hereunder and will permit access to its books, records and accounts by the Recipient, HUD or its agent, or other authorized Federal officials for purposes of investigation to ascertain compliance with the rules, regulations and provisions stated herein. 9. Equal Employment Opportunity and Affirmative Action (EEO/AA) Statement. The Subrecipient will, in all solicitations or advertisements for employees placed by or on behalf of the Subrecipient, state that it is an Equal Opportunity or Affirmative Action employer. 10. Employment Restrictions. The Subrecipient is prohibited from using funds provided herein or personnel employed in the administration of the program for: political activities; inherently religious activities; lobbying; political patronage; and nepotism activities. 11. Conduct. a. Assignability. The Subrecipient shall not assign or transfer any interest in this Agreement without the prior written consent of the Recipient thereto; provided, however, that claims for money due or to become due to the Subrecipient from the Recipient under this contract may be assigned to a bank, trust company, or other financial institution without such approval. Notice of any such assignment or transfer shall be furnished promptly to the Recipient. b. Subcontracts i. Approvals The Subrecipient shall not enter into any subcontracts with any agency or individual in the performance of this contract without the written consent of the Recipient prior to the execution of such agreement. ii. Monitoring The Subrecipient will monitor all subcontracted services on a regular basis to assure contract compliance. Results of monitoring efforts shall be summarized in written reports and supported with documented evidence of follow-up actions taken to correct areas of noncompliance. iii. Content The Subrecipient shall cause all of the provisions of this contract in its entirety to be included in and made a part of any subcontract executed in the performance of this Agreement. iv. Selection Process The Subrecipient shall undertake to ensure that all subcontracts let in the performance of this Agreement shall be awarded on a fair and open competition basis in accordance with DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 186 of 1211 Page 21 of 21 applicable procurement requirements. Executed copies of all subcontracts shal l be forwarded to the Recipient along with documentation concerning the selection process. 12. Hatch Act. The Subrecipient agrees that no funds provided, nor personnel employed under this Agreement, shall be in any way or to any extent engaged in the conduct of political activities in violation of Chapter 15 of Title V of the U.S.C. 13. Environmental Conditions a. Air and Water. The Subrecipient agrees to comply with the following requirements insofar as they apply to the performance of this Agreement: i. Clean Air Act, 42 U.S.C., 7401, et seq.; ii. Federal Water Pollution Control Act, as amended, 33 U.S.C., 1251, et seq., as amended, 1318 relating to inspection, monitoring, entry, reports, and information, as well as other requirements specified in said Section 114 and Section 308, and all regulations and guidelines issued thereunder; iii. Environmental Protection Agency (EPA) regulations pursuant to 40 CFR Part 50, as amended. b. Flood Disaster Protection. In accordance with the requirements of the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001), the Subrecipient shall assure that for activities located in an area identified by the Federal Emergency Management Agency (FEMA) as having special flood hazards, flood insurance under the National Flood Insurance Program is obtained and maintained as a condition of financial assistance for acquisition or construction purposes (including rehabilitation). c. Lead-Based Paint. The Subrecipient agrees that any construction or rehabilitation of residential structures with assistance provided under this Agreement shall be subject to HUD Lead-Based Paint Regulations at 24 CFR 570.608, and 24 CFR Part 35, Subpart B. Such regulations pertain to all CDBG-assisted housing and require that all owners, prospective owners, and tenants of properties constructed prior to 1978 be properly notified that such properties may include lead-based paint. Such notification shall point out the hazards of lead- based paint and explain the symptoms, treatment and precautions that should be taken when dealing with lead-based paint poisoning and the advisability and availability of blood lead level screening for children under seven. The notice should also point out that if lead-based paint is found on the property, abatement measures may be undertaken. The regulations further require that, depending on the amount of Federal funds applied to a property, paint testing, risk assessment, treatment and/or abatement may be conducted. d. Historic Preservation. The Subrecipient agrees to comply with the Historic Preservation requirements set forth in the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470) and the procedures set forth in 36 CFR Part 800, Advisory Council on Historic Preservation Procedures for Protection of Historic Properties, insofar as they apply to the performance of this agreement. In general, this requires concurrence from the State Historic Preservation Officer for all rehabilitation and demolition of historic properties that are fifty years old or older or that are included on a Federal, state, or local historic property list. DocuSign Envelope ID: 7DBBE933-3FC3-4C29-8663-9B47FCA8217FDocuSign Envelope ID: 4FB98944-924B-4392-8D14-02CE3C536870 Page 187 of 1211 Page 188 of 1211 R ______ RESOLUTION NO. _____ (2023 SERIES) A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS OBISPO, CALIFORNIA, AUTHORIZING APPROPRIATION OF COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS (CDBG) TO SUPPORT THE CDBG CURB RAMPS 2022 PROJECT, SPECIFICATION NUMBER 2000576 WHEREAS, in December of 2021, City staff applied for Community Development Block Grant (CDBG) funds; and WHEREAS, in March of 2022, City Council approved the 2023 Community Development Block Grant Program; and WHEREAS, in July of 2022, City staff were notified of award of CDBG funding for the CDBG Curb Ramps 2022 Project (Project); and WHEREAS, in February of 2023, the City entered into a subrecipient agreement for 2022 Community Development Block Grant Funds between the County of San Luis Obispo and the City of San Luis Obispo; and WHEREAS, the City was awarded $385,483 from the Community Development Block Grant Funds; and WHEREAS, to provide funding to support construction work for the Project, staff is recommending the City Council approve the use of $385,483 from the Community Development Block Grant Funds for the Project. NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis Obispo as follows: Page 189 of 1211 Resolution No. _____ (2023 Series) Page 2 R ______ SECTION 1. The City Council authorizes the Finance Director to appropriate $385,483 from the Community Development Block Grant Funds to the CDBG Curb Ramps 2022 Project account, Specification No. 2000576. Upon motion of _______________________, seconded by _______________________, and on the following roll call vote: AYES: NOES: ABSENT: The foregoing resolution was adopted this _____ day of _____________________ 2023. ___________________________ Mayor Erica A. Stewart ATTEST: __________________________ Teresa Purrington City Clerk APPROVED AS TO FORM: __________________________ J. Christine Dietrick City Attorney IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of San Luis Obispo, California, on ______________________. ___________________________ Teresa Purrington City Clerk Page 190 of 1211