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R-2023-192 - 6/22/2023RESOLUTION NO. R-2023-192 WHEREAS, the City of Round Rock ("City") has duly sought proposals for the purchase and installation of new bus shelters through the Community Development Block Grant Program; and WHEREAS, Tolar Manufacturing Company, Inc. has submitted the proposal determined to provide the best value to the City considering the price and other evaluation factors included in the request for proposals; and WHEREAS, the City Council desires to enter into an agreement with Tolar Manufacturing Company, Inc. for the purchase and installation of bus shelters, Now Therefore BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ROUND ROCK, TEXAS, That the Mayor is hereby authorized and directed to execute on behalf of the City an Agreement for Purchase and Installation of Bus Shelters with Tolar Manufacturing Company, Inc., a copy of same being attached hereto as Exhibit "A" and incorporated herein. The City Council hereby finds and declares that written notice of the date, hour, place and subject of the meeting at which this Resolution was adopted was posted and that such meeting was open to the public as required by law at all times during which this Resolution and the subject matter hereof were discussed, considered and formally acted upon, all as required by the Open Meetings Act, Chapter 551, Texas Government Code, as amended. RESOLVED this 22nd day of June, 2023. 0112.20232;4887-4830-6793 EXHIBIT „A„ CITY OF ROUND ROCK AGREEMENT FOR PURCHASE AND INSTALLATION OF BUS SHELTERS WITH TOLAR MANUFACTURING COMPANY, INC. THE STATE OF TEXAS § CITY OF ROUND ROCK § COUNTY OF WILLIAMSON § COUNTY OF TRAVIS § KNOW ALL BY THESE PRESENTS: THAT THIS AGREEMENT for the purchase and installation of new bus shelters on through the Community Development Block Grant (CDBG) Program (referred to herein as the "Agreement"), is made and entered into on this the day of the month of , 2023 by and between the CITY OF ROUND ROCK, a Texas home - rule municipality, whose offices are located at 221 East Main Street, Round Rock, Texas 78664- 5299 (referred to herein as the "City"), and TOLAR MANUFACTURING COMPANY, INC., whose offices are located at 258 Mariah Circle, Corona, California 92879 (referred to herein as "Vendor"). RECITALS: WHEREAS, City desires to purchase certain deliverables and installation services for new bus shelters through the CDBG Program; and WHEREAS, City has issued a "Request for Proposal" for the provisions of said goods and services; and WHEREAS, City has determined that the Proposal submitted by Vendor provides the best value for the City; and WHEREAS, the parties desire to enter into this Agreement to set forth in writing their respective rights, duties, and obligations; NOW, THEREFORE, WITNESSETH: That for and in consideration of the mutual promises contained herein and other good and valuable consideration, the sufficiency and receipt of which are hereby acknowledged, it is mutually agreed between the parties as follows: 4887-2371-0822/ss2 1.01 DEFINITIONS A. Agreement means the binding legal contract between City and Vendor whereby City is obligated to buy specified goods and services and Vendor is obligated to sell same. The Agreement includes the Vendor's Proposal, attached as Exhibit "A," and incorporated herein by reference and all additional exhibits described herein and attached hereto. B. City means the City of Round Rock, Williamson and Travis Counties, Texas. C. Effective Date means the date upon which the binding signatures of both parties to this Agreement are affixed. D. Force Majeure means acts of God, strikes, lockouts, or other industrial disturbances, acts of the public enemy, orders of any kind from the government of the United States or the State of Texas or any civil or military authority, insurrections, riots, epidemics, landslides, lightning, earthquakes, fires, hurricanes, storms, floods, restraint of the government and the people, civil disturbances, explosions, or other causes not reasonably within the control of the party claiming such inability. E. Goods mean the specified supplies, materials, commodities, or equipment. F. Services mean work performed to meet a demand or effort by Vendor to comply with promised delivery dates, specifications, and technical assistance specified. 2.01 EFFECTIVE DATE AND TERM A. This Agreement shall be effective on the date this Agreement has been signed by each party hereto, and shall remain in full force and effect unless and until it expires by operation of the term indicated herein, or is terminated or extended as provided herein. B. This Agreement shall terminate upon the completion of the bus shelters and the acceptance by the City of the work. C. City reserves the right to review the relationship with Vendor at any time, and may elect to terminate this Agreement with or without cause or may elect to continue. 3.01 CONTRACT DOCUMENTS The Contract Documents shall consist of the following: 1) this Agreement; 2) the Vendor's Proposal ("Exhibit "A'); and 3) any additional exhibits described herein and attached hereto. 2 4.01 SCOPE OF WORK Vendor shall satisfactorily provide all goods and complete all services described in Vendor's Proposal, Exhibit "A." This Agreement shall evidence the entire understanding and agreement between the parties and shall supersede any prior proposals, correspondence or discussions. Vendor shall satisfactorily provide all deliverables and services described in Exhibit "A" within the contract term specified. A change in the Scope of Services must be negotiated and agreed to in all relevant details, and must be embodied in a valid written Supplemental Agreement executed by both parties. 5.01 CONTRACT AMOUNT In consideration for the deliverables and services related to the deliverables, the City agrees to pay Vendor One Hundred Seventy -One Thousand One Hundred Fifty and No/100 Dollars ($171,150.00) for the goods and services set forth in Exhibit "A." 6.01 INVOICES All invoices shall include, at a minimum, the following information: A. Name and address of Vendor; B. Purchase Order Number; C. Description and quantity of items received or services provided; and D. Delivery or performance dates. 7.01 NON -APPROPRIATION AND FISCAL FUNDING This Agreement is a commitment of City's current revenues only. It is understood and agreed that City shall have the right to terminate this Agreement at the end of any City fiscal year if the governing body of City does not appropriate funds sufficient to purchase the services as determined by City's budget for the fiscal year in question. City may effect such termination by giving Vendor a written notice of termination at the end of its then current fiscal year. 8.01 PROMPT PAYMENT POLICY In accordance with Chapter 2251, V.T.C.A., Texas Government Code, payment to Vendor will be made within thirty (30) days of the day on which City receives the performance, supplies, materials, equipment, and/or deliverables, or within thirty (30) days of the day on which the performance of services was complete, or within thirty (30) days of the day on which City receives a correct invoice for the performance and/or deliverables or services, whichever is later. Vendor may charge interest on an overdue payment at the "rate in effect" on September 1 of the fiscal year in which the payment becomes overdue, in accordance with V.T.C.A., Texas Government Code, Section 2251.025(b); however, this Policy does not apply to payments made by City in the event: A. There is a bona fide dispute between City and Vendor, a contractor, subcontractor or supplier about the goods delivered or the service performed that cause the payment to be late; or B. The terms of a federal contract, grant, regulation, or statute prevent City from making a timely payment with federal funds; or C. There is a bona fide dispute between Vendor and a subcontractor or between a subcontractor and its supplier about the goods delivered or the service performed that causes the payment to be late; or D. Invoices are not mailed to City in strict accordance with instructions, if any, on the purchase order or the Agreement or other such contractual agreement. 9.01 GRATUITIES AND BRIBES City may, by written notice to Vendor, cancel this Agreement without liability to Vendor if it is determined by City that gratuities or bribes in the form of entertainment, gifts, or otherwise were offered or given by Vendor or its agents or representatives to any City officer, employee or elected representative with respect to the performance of this Agreement. In addition, Vendor may be subject to penalties stated in Title 8 of the Texas Penal Code. 10.01 TAXES City is exempt from Federal Excise and State Sales Tax; therefore, tax shall not be included in Vendor's charges. 11.01 ORDERS PLACED WITH ALTERNATE VENDORS If Vendor cannot provide the goods as specified, City reserves the right and option to obtain the products from another supplier or suppliers. 12.01 CITY'S REPRESENTATIVES City hereby designates the following representatives authorized to act in its behalf with regard to this Agreement: 4 Elizabeth Alvarado CDBG Coordinator 221 East Main Street Round Rock, Texas 78664 (512) 341-3328 ealvarado(aroundrocktexas.gov 13.01 INSURANCE Vendor shall meet all City of Round Rock Insurance Requirements set forth at insurance requirements as required by the City's Purchasing Department as set forth at: http://www.roundrocktexas.goy/wp-content/uploads/2014/12/corr insurance 07.20112.pdf 14.01 RIGHT TO ASSURANCE Whenever either party to this Agreement, in good faith, has reason to question the other party's intent to perform hereunder, then demand may be made to the other party for written assurance of the intent to perform. In the event that no written assurance is given within the reasonable time specified when demand is made, then and in that event the demanding party may treat such failure as an anticipatory repudiation of this Agreement. 15.01 DEFAULT If Vendor abandons or defaults under this Agreement and is a cause of City purchasing the specified goods elsewhere, Vendor agrees that it may be charged the difference in cost, if any, and that it will not be considered in the re -advertisement of the service and that it may not be considered in future bids for the same type of work unless the scope of work is significantly changed. Vendor shall be declared in default of this Agreement if it does any of the following: A. Fails to fully, timely and faithfully perform any of its material obligations under this Agreement; B. Fails to provide adequate assurance of performance under the "Right to Assurance" section herein; or C. Becomes insolvent or seeks relief under the bankruptcy laws of the United States. 16.01 TERMINATION AND SUSPENSION A. City has the right to terminate this Agreement, in whole or in part, for convenience and without cause, at any time upon thirty (30) days' written notice to Vendor. B. In the event of any default by Vendor, City has the right to terminate this Agreement for cause, upon ten (10) days' written notice to Vendor. C. Vendor has the right to terminate this Agreement only for cause, that being in the event of a material and substantial breach by City, or by mutual agreement to terminate evidenced in writing by and between the parties. D. In the event City terminates under subsections (A) or (B) of this section, the following shall apply: Upon City's delivery of the referenced notice to Vendor, Vendor shall discontinue all services in connection with the performance of this Agreement and shall proceed to cancel promptly all existing orders and contracts insofar as such orders and contracts are chargeable to this Agreement. Within thirty (30) days after such notice of termination, Vendor shall submit a statement showing in detail the goods and/or services satisfactorily performed under this Agreement to the date of termination. City shall then pay Vendor that portion of the charges, if undisputed. The parties agree that Vendor is not entitled to compensation for services it would have performed under the remaining term of the Agreement except as provided herein. 17.01 INDEMNIFICATION Vendor shall defend (at the option of City), indemnify, and hold City, its successors, assigns, officers, employees and elected officials harmless from and against all suits, actions, legal proceedings, claims, demands, damages, costs, expenses, attorney's fees, and any and all other costs or fees arising out of, or incident to, concerning or resulting from the fault of Vendor, or Vendor's agents, employees or subcontractors, in the performance of Vendor's obligations under this Agreement, no matter how, or to whom, such loss may occur. Nothing herein shall be deemed to limit the rights of City or Vendor (including, but not limited to the right to seek contribution) against any third party who may be liable for an indemnified claim. 18.01 COMPLIANCE WITH FEDERAL REQUIREMENTS The project described herein is being assisted by the United States of America. Vendor acknowledges and agrees that this is a federally assisted project, and as such, Vendor shall comply with all requirements set forth in Exhibit `B," incorporated herein by reference for all purposes. Said requirements include, but are not limited to, Federal Labor Standards Provisions (HUD4010) and David -Bacon and Related Acts contained in 29 CFR Parts 1, 3 and 5. 19.01 COMPLIANCE WITH LAWS, CHARTER AND ORDINANCES A. Vendor, its agents, employees and subcontractors shall use best efforts to comply with all applicable federal and state laws, the Charter and Ordinances of the City of Round Rock, as amended, and with all applicable rules and regulations promulgated by local, state and national boards, bureaus and agencies. B. In accordance with Chapter 2271, Texas Government Code, a governmental entity may not enter into a contract with a company for goods and services unless the contract contains written verification from the company that it: (1) does not boycott Israel; and (2) and will not boycott Israel during the term of the contract. The signatory executing this Agreement on behalf of Vendor verifies that Vendor does not boycott Israel and will not boycott Israel during the term of this Agreement. C. In accordance with 2274, Texas Government Code, a governmental entity may not enter into a contract with a company with at least ten (10) full-time employees for a value of at least One Hundred Thousand and No/100 Dollars ($100,000.00) unless the contract has a provision verifying that it: (1) does not have a practice, policy, guidance, or directive that discriminates against a firearm entity or firearm trade association; and (2) will not discriminate during the term of the contract against a firearm entity or firearm trade association. The signatory executing this Agreement on behalf of Vendor verifies Vendor does not have a practice, policy, guidance, or directive that discriminates against a firearm entity or firearm trade association, and it will not discriminate during the term of this Agreement against a firearm entity or firearm trade association. D. In accordance with 2274, Texas Government Code, a governmental entity may not enter into a contract with a company with at least ten (10) full-time employees for a value of at least One Hundred Thousand and No/100 Dollars ($100,000.00) unless the contract has a provision verifying that it: (1) does not boycott energy companies; and (2) will not boycott energy companies during the term of this Agreement. The signatory executing this Agreement on behalf of Vendor verifies Vendor does not boycott energy companies, and it will not boycott energy companies during the term of this Agreement. 20.01 ASSIGNMENT AND DELEGATION The parties each hereby bind themselves, their successors, assigns and legal representatives to each other with respect to the terms of this Agreement. Neither party shall assign, sublet or transfer any interest in this Agreement without prior written authorization of the other party. 21.01 NOTICES All notices and other communications in connection with this Agreement shall be in writing and shall be considered given as follows: When delivered personally to the recipient's address as stated in this Agreement; or 2. Three (3) days after being deposited in the United States mail, with postage prepaid to the recipient's address as stated in this Agreement. Notice to Vendor: Tolar Manufacturing Company, Inc. 258 Mariah Circle Corona, California 92879 Notice to City: City Manager Stephanie L. Sandre, City Attorney 221 East Main Street AND TO: 309 East Main Street Round Rock, TX 78664 Round Rock, TX 78664 Nothing contained herein shall be construed to restrict the transmission of routine communications between representatives of City and Vendor. 22.01 APPLICABLE LAW, ENFORCEMENT, AND VENUE This Agreement shall be enforceable in Round Rock, Texas, and if legal action is necessary by either party with respect to the enforcement of any or all of the terms or conditions herein, exclusive venue for same shall lie in Williamson County, Texas. This Agreement shall be governed by and construed in accordance with the laws and court decisions of the State of Texas. 23.01 EXCLUSIVE AGREEMENT This document, and all appended documents, constitutes the entire Agreement between Vendor and City. This Agreement may only be amended or supplemented by mutual agreement of the parties hereto in writing, duly authorized by action of the City Manager or City Council. 24.01 DISPUTE RESOLUTION City and Vendor hereby expressly agree that no claims or disputes between the parties arising out of or relating to this Agreement or a breach thereof shall be decided by any arbitration proceeding, including without limitation, any proceeding under the Federal Arbitration Act (9 USC Section 1-14) or any applicable state arbitration statute. 25.01 SEVERABILITY The invalidity, illegality, or unenforceability of any provision of this Agreement or the occurrence of any event rendering any portion or provision of this Agreement void shall in no way affect the validity or enforceability of any other portion or provision of this Agreement. Any void provision shall be deemed severed from this Agreement, and the balance of this Agreement shall be construed and enforced as if this Agreement did not contain the particular portion or provision held to be void. The parties further agree to amend this Agreement to replace any stricken provision with a valid provision that comes as close as possible to the intent of the stricken provision. The provisions of this section shall not prevent this entire Agreement from being void should a provision which is of the essence of this Agreement be determined void. 26.01 MISCELLANEOUS PROVISIONS Standard of Care. Vendor represents that it employs trained, experienced and competent persons to perform all of the services, responsibilities and duties specified herein and that such services, responsibilities and duties shall be performed in a manner according to generally accepted industry practices. Time is of the Essence. Vendor understands and agrees that time is of the essence and that any failure of Vendor to fulfill obligations for each portion of this Agreement within the agreed timeframes will constitute a material breach of this Agreement. Vendor shall be fully responsible for its delays or for failures to use best efforts in accordance with the terms of this Agreement. Where damage is caused to City due to Vendor's failure to perform in these circumstances, City may pursue any remedy available without waiver of any of City's additional legal rights or remedies. Force Majeure. Neither City nor Vendor shall be deemed in violation of this Agreement if it is prevented from performing any of its obligations hereunder by reasons for which it is not responsible as defined herein. However, notice of such impediment or delay in performance must be timely given and all reasonable efforts undertaken to mitigate its effects. Multiple Counterparts. This Agreement may be executed in multiple counterparts, any one of which shall be considered an original of this document; and all of which, when taken together, shall constitute one and the same instrument. IN WITNESS WHEREOF, City and Vendor have executed this Agreement on the dates indicated. City of Round Rock, Texas By: Printed Name: Title: Date Signed: Attest: By: Meagan Spinks, City Clerk For City, Approved as to Form: By: Stephanie L. Sandre, City Attorney Tolar Manufacturing pany, Inc. By: Printed Name: Scott Williams Title: Business Development Manager Date S igned: 5/30/2023 Exhibit "A" :K TEXAS City of Round Rock, Texas Purchasing Division 221 East Main Street Round Rock, Texas 78664-5299 www.roundrocktexas.gov REQUEST FOR PROPOSAL (RFP) COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) BUS SHELTERS SOLICITATION NUMBER 23-021 MARCH 2O23 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) BUS SHELTERS PART GENERAL REQUIREMENTS PURPOSE AND BACKGROUND: The City of Round Rock, herein after "the City" seeks to contract with a qualified proposer to provide all goods, labor, and services to remove, design, manufacture, and install transit bus shelters. The Community Development Office improves the quality of life in existing Round Rock neighborhoods by providing services to individuals and families by reinvesting in neighborhood improvements. The City furthers community development through participation in the Department of Housing and Urban Development Community Development Block Grant (CDBG) program. The CDBG program emphasizes participation and representation of the target population(s). The City has used its annual CDBG grant funds to provide housing programs, infrastructure, parks, entrepreneurial opportunities, and public services to assist low- and moderate -income residents. SOLICITATION PACKET: This solicitation packet is comprised of the following: Description Index Part I — General Requirements Page(s) 2-4 Part II — Definitions, Standard Terms and Conditions, and Insurance Requirements Page 5 Part III — Supplemental Terms and Conditions Page(s) 6-8 Part IV — Scope of Work Page(s) 9-11 Part V— Proposal Preparation Instructions and Evaluation Factors Page(s) 11-14 Attachment A — Reference Sheet Separate Attachment Attachment B — Subcontractor Information Form Separate Attachment Attachment C — Cost Proposal Sheet Separate Attachment Attachment D — Bus Shelter Locations Separate Attachment Attachment E — Bus Stop Map Separate Attachment Attachment F — Federal Requirements Separate Attachment 3. SCHEDULE OF EVENTS: It is the City's intention to follow the solicitation timeline below. EVENT DATE Solicitation released March 9, 2023 Deadline for submission of questions March 22, 2023 @ 5:OOPM, CST City responses to questions or addendums Approximately March 24, 2023 @ 5:00 PM, CST Deadline for submission of responses March 31, 2023 @ 3:00 PM, CST All questions regarding the solicitation shall be submitted through Bonfire in writing by 5:00 PM, CST on the due date noted above. A copy of all questions submitted and the City's response to the questions shall be posted on the City's webpage in the form of an addendum at: https://roundrocktexas.bonfirehub.com The City reserves the right to modify these dates. Notice of date change will be posted to the City's website: httos://roundrocktexas.bonfirehub.com Page 2 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 SOLICITATION UPDATES: Respondents shall be responsible for monitoring the City's website at https://roundrocktexas.bonfirehub.com for any updates pertaining to the solicitation described herein. Various updates may include addendums, cancellations, notifications, and any other pertinent information necessary for the submission of a correct and accurate response. The City will not be held responsible for any further communication beyond updating the website. 5. RESPONSE DUE DATE: Appropriately submitted responses are due at or before 3:00 PM, on the due date noted in PART I, Section 3 — Schedule of Events. The Offeror shall respond via the City's electronic bidding platform, Bonfire: https://roundrocktexas.bonfirehub.com A. This request for proposal (RFP) does not commit the City to contract for any supply or service. B. No paper or submittals outside of Bonfire will be accepted by the City. C. Responses cannot be altered or amended after digital opening. D. No response can be withdrawn after opening without written approval from the City for an acceptable reason. E. The City will not be bound by any oral statement or offer made contrary to the written specifications. F. Samples and/or copies shall be provided at the Respondent's expense and shall become the property of the City. G. Late responses will not be considered. 6. CERTIFICATE OF INTERESTED PARTIES: Section 2252.908 of the Texas Government Code requires the successful offeror to complete a Form 1295 "Certificate of Interested Parties" that is signed for a contract award requiring council authorization. The "Certificate of Interested Parties" form must be completed on the Texas Ethics Commission website, printed, signed, and submitted to the City by the authorized agent of the Business Entity with acknowledgment that disclosure is made under oath and under penalty of perjury prior to final contract execution. Link to Texas Ethics Commission Webpage: https://www.ethics.state.tx.us/whatsnew/elf info form1295.htm 7. EX PARTE COMMUNICATION: Please note that to insure the proper and fair evaluation of an offer, the City of Round Rock prohibits ex parte communication (e.g., unsolicited) initiated by the Offeror to the City Official, Employee, City Consultant, or Evaluation Team member evaluating or considering the offers prior to the time an award decision has been confirmed. Communication between an Offeror and the City will be initiated by the appropriate City Official or Employee in order to obtain information or clarification needed to develop a proper and accurate evaluation of the offer. Ex parte communication may be grounds for disqualifying the offending Offeror from consideration of award in evaluation or any future bid. OPPORTUNITY TO PROTEST: The Purchasing Manager for the City of Round Rock ("City"), in consultation with the City Attorney, shall have the authority to settle or resolve any dispute concerning the solicitation or award of a contract. The Purchasing Manager may solicit written responses to the protest from other interested parties. The aggrieved person must prepare his or her complaint in writing and send it by electronic mail to the City's Purchasing Department at protestCcDroundrocktexas.gov. In the event of a timely protest, the City shall not proceed further with the solicitation or award of a contract unless it is determined that the award must take place without delay, to protect the best interests of the City. The procedures for notifying the City of an alleged deficiency or filing a protest are listed below. If you fail to comply with any of these requirements, the Purchasing Office may dismiss your complaint or protest. A. Prior to Offer Due Date: If you are a prospective offeror for the award of a contract ("Offeror") and you become aware of the facts regarding what you believe is a deficiency in the solicitation process before the due date for receipt of offers in response to a solicitation ("Offers"), you must notify the City in writing of the alleged deficiency before that date, giving the City an opportunity to resolve the situation prior to the Offer due date. B. After Offer Due Date: If you submit an Offer to the City and you believe that there has been a deficiency in the solicitation process or the award, you have the opportunity to protest the solicitation process, or the recommended award as follows: Page 3 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 i. You must file a written notice of your intent to protest within four (4) working days of the date that you know or should have known of the facts relating to the protest. If you do not file a written notice of intent within this time, you have waived all rights to protest the solicitation process or the award. ii. You must file your formal written protest within ten (10) working days of the date that you know or should have known of the facts relating to the protest unless you know of the facts before the Offer has been closed. If you know of the facts before those dates, you must notify the City as stated in section (A) above. iii. You must submit your protest in writing and must include the following information: a. your name, address, telephone number, and email address. b. the solicitation number. c. a specific identification of the statutory or regulatory provision that you are alleging has been violated. d. a detailed statement of the factual grounds for your protest, including copies of any relevant documents. e. a statement of any issues of law or fact that you contend must be resolved; and f. a statement of the argument and authority that you offer in support of your protest. iv. Your protest must be concise and presented logically and factually to help with the City's review. C. Receipt of Timely Protest: When the City receives a timely and complete written protest, the Purchasing Manager, with assistance from the City Attorney, shall make one of the following determinations: i. Determine that a violation of rules and statutes has occurred prior to the award of the contract and inform you and other interested parties of the determination. The City will prepare updated solicitation documents and will re -solicit. ii. Determine that no violation of rules or statutes has occurred and inform you and other interested parties of the decision by letter. The reasons for the determination will be presented in the letter. iii. Determine that a violation of rules and statutes has occurred after the award of the contract and inform you and other interested parties of the determination. However, the awarded contract will not be canceled. As needed, corrective actions may be taken with purchasing or any other pertinent City staff. iv. A determination will usually be made within fifteen (15) business days after receipt of the formal protest. v. Any written decisions by the Purchasing Manager shall be the final administrative action for the City. All documentation pertaining to a protest will be kept on file at the City and are subject to open records requests. Page 4 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 PART II DEFINITIONS, STANDARD TERMS AND CONDITIONS, AND INSURANCE REQUIREMENTS 1. DEFINITIONS, STANDARD TERMS AND CONDITIONS: By submitting a response to this solicitation, the Respondent agrees that the City's Definitions and Standard Terms and Conditions, in effect at the time of release of the solicitation, shall govern unless specifically provided otherwise in a separate agreement or on the face of a purchase order. These can be obtained from the City's website at: https://www.roundrocktexas.gov/city-departments/purchasing/. In addition, the Supplemental Terms and Conditions listed in Section III, shall also be enforced as part of the contract. Where there is a conflict Attachment F — Federal Requirements required contract clauses will supersede City of Round Rock Definitions, Standard Terms, and Conditions. 2. INSURANCE: The Respondent shall meet or exceed all insurance requirements set forth in Standard Insurance Requirements. The City's Standard Insurance Requirements document can be viewed and downloaded from the City's website at: https://www.roundrocktexas.gov/city-departments/purchasing/. Page 5 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 PART III SUPPLEMENTAL TERMS AND CONDITIONS AGREEMENT TERM: The term of the Agreement shall begin from date of award and shall remain in full force until the City has inspected and accepted the bus shelter installations. 2. RESPONDENT QUALIFICATIONS: The City has established the following minimum qualifications. Respondents who do not meet the minimum qualifications will not be considered for award. The Respondent shall: A. Be firms, corporations, individuals, or partnerships normally engaged in design, manufacture, and installation of bus shelters as specified herein and have adequate organization, facilities, equipment, financial capability, and personnel to ensure prompt and efficient service to the City. B. In order to confirm financial stability, the City may choose to review audited financial statements at any time throughout the RFP evaluation process. Upon request, the Respondent shall provide two years audited financial statements, including any notes or supplemental schedules within 2 business days of the original request. C. The Respondent shall include in the proposal a list of all litigation the company or its principals have been involved in within the last three (3) years. D. Be domiciled in or have a home office inside the United States. Respondents domiciled outside the United States, or not having a home office inside the United States will not be included for consideration in this RFP process. SUBCONTRACTORS: If Subcontractors will be used the Respondent is required to complete and submit with their proposal response Attachment B: Subcontractor Information Form. The Contractor shall be fully responsible to the City for all acts and omissions of the Subcontractors just as the Contractor is responsible for the Contractors own acts and omissions. The Contractor shall: A. Require that all deliverables to be provided by the Subcontractor be provided in strict accordance with the provisions, specifications, and terms of the Contract. B. Require that all Subcontractors obtain and maintain, throughout the term of their agreement, primary insurance in the type and amounts specified for the Contractor, with the City being named as an additional insured; and C. Require that the Subcontractor indemnify and hold the City harmless to the same extent as the Contractor is required to indemnify the City. D. Awarded Contractor is required to submit a list of all subcontractors for approval by the City prior to use of any subcontractors throughout the term of the contract. 4. FEDERAL LABOR STANDARDS PROVISIONS (HUD 4010): This Project to which the construction work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions are included in this Contract (Attachment F — Federal Requirements) pursuant to the provisions applicable to such Federal assistance. A contractor or subcontractor who is awarded a contract by the City shall pay not less than the rates set forth and comply with all applicable sections of Davis- Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5. For additional information regarding Labor Rates, please go to the following United States Department of Labor website: https://www.dol.gov/agencies/whd/government-contracts/construction. 5. SAFETY: The City reserves the right to remove any employee from City property for violation of federal, state, and local health, safety and environmental laws, ordinances, rules, and regulations. The Respondent shall: A. Ensure that all employees comply with all Occupational Safety and Health Administration (OSHA), State and City safety and occupational health standards and other applicable federal, state, and local health, safety, and environmental laws ordinances, rules, and regulations in the performance of these services. Page 6 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 B. Be held responsible for the safety of their employees and unsafe acts or conditions that may cause injury or damage to any persons or property within and around the work site. In case of conflict, the most stringent safety requirement shall govern. C. Indemnify and hold the City harmless from and against all claims, demands, suits, actions, judgments, fines penalties and liability of every kind arising from the breach of the Contractor's obligations under this paragraph. WORKFORCE: Successful Respondent shall: A. Ensure Respondent's employees perform the services in a timely, professional, and efficient manner. B. Ensure Respondent's employees, while working on City property, wear a company uniform that clearly identifies them as the Respondent's employee. C. Employ all personnel for work in accordance with the requirements set forth by the United States Department of Labor. The City reserves the right to verify citizenship or right to work in the United States. PRICING: The Respondent shall determine and submit a fixed cost for the work and shall include all incidental costs, labor, overhead charges, travel, payroll expenses, freight, equipment acquisition and maintenance, demurrage, fuel surcharges, delivery charges, costs associated with obtaining permits, insurance, bonds, and risk management. No separate line -item charges shall be permitted for either response or invoice purposes. 8. RETAINAGE: The City will withhold 5 percent (%) retainage until completion of all work required by the Contract. The Contractor's invoice shall indicate the amount due, less the retainage. Upon final acceptance of the work, the Contractor shall submit an invoice for the retainage to the City and payment will be made as specified in the Contract. Payment of the retainage by the City shall not constitute nor be deemed a waiver or release by the City of any of its rights and remedies against the Contractor for recovery of amounts improperly invoiced or for defective, incomplete, or non -conforming work under the Contract. ACCEPTANCE/INSPECTION: Acceptance/Inspection should not take more than five (5) working days. The Contractor will be notified within the time frame if the services delivered are not in full compliance with the specifications. In the event the services are not performed to the satisfaction of the City the Contractor shall agree to reperform services to specification at no additional cost to the City. If any agreement or purchase order is cancelled for non -acceptance, the needed services may be purchased elsewhere. 10. PERFORMANCE REVIEW: The City reserves the right to review the awarded Contractor's performance anytime during the contract term. 11. ORDER QUANTITY: The quantities shown on the solicitation are estimates only. No guarantee of any minimum or maximum purchase is made or implied. The City will only order the services/goods needed to satisfy requirements within budgetary constraints, which may be more or less than indicated. 12. AWARD: The City reserves the right to enter into an Agreement or a Purchase Order with a single award, split award, primary and secondary award, non -award, or use any combination that best serves the interest and at the sole discretion of the City. Respondents to the solicitation will be notified when City staff recommendation of award has been made. The award announcement will be posted to the City's website at https://roundrocktexas.bonfirehub.com once City Council has approved the recommendation of award and the agreement has been executed. 13. POINT OF CONTACT / DESIGNATED REPRESENTATIVE: A. Contractor's point of contact: In order to maintain consistent standards of quality work performed across the City, the City shall be provided with a designated and identified point of contact upon award of the contract to include contact information. The City's designated representative shall be notified by the Respondent immediately should the point of contact change. Page 7 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 B. The City's designated representative: The City's designated representative shall be: Dawn Scheel, PE Project Manager Transportation Department Phone: 512-218-6603 E-mail: dscheeICcDroundrocktexas.gov C. Do not contact the individual listed above with questions or comments during the course of the solicitation. Page 8of14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 PART IV SCOPE OF WORK 1. SCOPE: The City of Round Rock, herein after "the City" seeks to contract with a qualified proposer to provide all goods, labor, and services to remove, design, manufacture, and install transit bus shelters. 2. LOCATION: The City has seven (7) locations along the bus system around Round Rock that will require bus shelters. A map of the relevant locations is included in Attachment E — Bus Stop Maps along with photos of each location in Attachment D — Bus Shelter Locations. REMOVAL AND INSTALLATION: The Contractor shall - A. Notify the City a minimum of 24-hours in advance of beginning construction or requiring the presence of the City's representative or engineer. B. Provide traffic control (sidewalk closed signs) at each location until the project is complete. C. Provide turnkey removal/demolition and disposal of existing bus shelter equipment and foundations at each location. D. Pour new concrete shelter pad foundation at each location and ensure the pad is large enough to accommodate ADA requirements. E. Begin installation of new bus shelter equipment once the foundations have cured. F. Install bus shelter and all accompanying equipment at each site. G. Clear the work site of all debris and trash accumulated or created during the project. 4. BUS SHELTER DESIGN AND REQUIREMENTS: A. Shelters shall consist of all accessories and hardware for installation. Shelters shall be a heavy- duty design, vandal resistant, as maintenance free as possible, and designed to provide dependable passenger shelter to endure and withstand all weather conditions. An example design is Tolar Sierra-11 Series (13 foot) or approved equal is conceptual and the City desires shelters with a similar design. B. Shelters should be fully accessible and meet the needs of all transit users. C. Structures and all elements should meet or exceed a useful life of 15 years. D. Support structure should consist of at least four (4) posts capable of being secured to a six (6) inch concrete foundation (not requiring a poured footing). E. Wind screen should be perforated steel or approved equal. F. Parts shall be modular and easily removed and replaced when damaged. G. Replacement parts shall be available from the supplier for no less than ten (10) years from the date of delivery. H. Concrete Foundation: i. Concrete shall be cast -in -place and shown on structural drawings prepared under the supervision of a registered Professional Engineer. ii. Foundation shall be properly sized to accommodate the new shelter installation with appropriate psi concrete. Basic Shelter Elements: Shelters should have at minimum- i. Three sides with an open front. ii. Metal/aluminum columns or beams. iii. Decorative gussets. iv. Tempered glass sides. v. RAL 8028 Terra Brown or equivalent powdered coat. vi. Approximately 24" x 38" display case for schedule or map; visible from both sides. J. Solar Lighting: i. Dusk to dawn automated solar LED lighting that can operate for a minimum of 7 days with little or no sunshine. Page 9 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 ii. A serviceable, weather and vandal resistance box to house any solar hardware. iii. Motion sensors shall activate LEDs to 100%. iv. Sealed lead acid batteries- Absorbent Glass Mat (A.G.M.) technology, -40°F to 176°F operating range or approved equal. v. Solar panels and batteries shall be connected and functional upon completion of the project. K. Benches: i. Dumor Inc. Bench 19 (6 feet) or approved equal. ii. Welded construction or assembled with tamper proof screws. iii. Powder coated with RAL 9005 Black or equivalent. L. Litter Receptacle: i. Dumor Inc. 102-32-FTO with 32-gallon polyethylene receptacle liner or approved equal. ii. Protective coating consisting of corrosion resistant epoxy undercoat. iii. Powder coated with RAL 9005 Black or equivalent. 5. CONTRACTOR RESPONSIBILITIES: The Contractor shall - A. Coordinate with the City's project administrator to establish the best work schedule and discuss changes or delays with the project completion. B. Submit a schedule of activities to show completion of the project within the proposed number of days. Submit schedule prior to mandatory pre -construction meeting. C. Be responsible for all means, methods, and materials required to design, manufacture, and install the bus shelters and amenities. D. Provide appropriate safety barricades, and signs, and comply with the Texas Manual on Uniform Traffic Control Devices (TMUTCD), all safety standards required by federal, state, and local law and any additional standards customarily employed in connection with the type of work being performed or the conditions at the work site. The Contractor shall be responsible for its Subcontractors' compliance with this paragraph. E. Protect from damage all existing improvements and utilities (1) at or near the work site and (2) on adjacent property of a third party. F. Use reasonable care to avoid damaging existing buildings, equipment, and vegetation (trees, shrubs, and grass) on or about the premises owned by, or under the control of, the City and property adjacent to the work site. G. Confine all operations (including storage of materials) on the work site to areas authorized or approved by the Project Manager. When it is necessary to cross curbs or sidewalks, the Contractor shall protect the materials from damage. H. Promptly repair any damage referenced in Sections E-G above at no expense to the City and as the Project Manager directs. The Contractor shall be liable to the City for the cost of the damage caused, plus an administrative fee of ten percent (10%), of which both may be deducted from any invoice due and owing Contractor until repairs are made. If the City elects to make such repair or replacement independently, then the Contractor shall be liable for the full cost, plus an administrative fee of ten percent (10%), which may be deducted from any invoice due and owing to the Contractor or on demand if the Contract is terminated. This provision shall survive termination of the Contract. I. On a monthly basis, the Contractor shall submit a pay application in approved City format for the percentage of work completed to date. Percentages will be approved based on observations and inspections by the City. J. WARRANTY: The Contractor shall- i. Warrant that work shall be free of patent and latent defects in design, materials, equipment, and workmanship, as measured from the requirements, criteria, standards, and specifications set forth in the Contract. A defect shall be considered latent only if it is not known or disclosed to the City prior to substantial completion, of the overall work, and such defect would not normally be discovered upon reasonable inspection and investigation in accordance with good industry practice during the course of design and construction and prior to the completion of the work. Page 10 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 This limited warranty also does not apply to and the Contractor shall not be responsible for, repair or replacement work needed as a result of: (a) normal wear and tear. (b) defect caused by damage; or (c) failure by City to maintain, repair, or operate the work site in accordance with good industry practice, to the extent the defect is caused by same. ii. Correct all construction and material defects and deficiencies (other than latent defects and deficiencies which are discussed below) which may develop within the applicable of (i) a period of one (1) year from the date when all of the work is completed and accepted by the City, or (ii) such longer period for any component of the work which may be specified in the contract documents, or (iii) any warranty period which may be longer than the periods specified in (i) and (ii) above as provided in any specific warranty for such item. Nothing set forth above or otherwise in the Contract shall restrict in any way or operate as any limitation on the right of City to seek damages or other remedies against Contractor for any other period under any legal or equitable theory with respect to any defects and deficiencies which are latent in nature and not readily ascertainable in the ordinary course of observation, subject, however, to any limitations imposed under governing law. iii. Within fifteen (15) days after receipt of written notice hereof, commence to correct, repair, and make good any defects in the work for which said materials, equipment, and workmanship are warranted, and make good any damage to other work caused by the repairing of such defects. Contractor warrants to the City that such work will be performed in a safe and careful manner and will conform to the requirements of the contract documents. None of the work performed in correcting such defects shall be the basis of a claim for additional compensation or damages. iv. Issue in writing to the City as a condition precedent to final payment a "General Warranty" reflecting terms and conditions of this paragraph for all work under the Contract. This warranty shall specifically provide that all defects in materials and workmanship appearing during the warranty period shall be remedied to the satisfaction of the City at no additional cost to the City. 6. CITY RESPONSIBILITIES: The City will - A. Obtain any and all necessary licenses and permits for complying with any municipal laws, codes, and regulations applicable to the performance of the work, including, but not limited to, any laws or regulations requiring the use of licensed contractors to perform parts of the work. B. Provide access to appropriate City personnel for discussions and direction. C. Schedule a pre -construction meeting. D. Communicate with the Contractor on scheduling installation. Page I 1 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 PART V PROPOSAL PREPARATION INSTRUCTIONS AND EVALUATION FACTORS 1. PROPOSAL ACCEPTANCE PERIOD: All proposals are valid for a period of one hundred and twenty (120) calendar days subsequent to the RFP closing date unless a longer acceptance period is offered in the proposal. 2. PROPOSAL RESPONSE: Responses shall be clear and concise while appropriately responding to the evaluation criteria listed below in Section 3. In order to do business with the City of Round Rock you must be registered with the City's Vendor Database. To register, go to: https://roundrocktxvendors.munisselfservice.com/Vendors/default.aspx Proposal Submittal Instructions: The Respondent shall include all of the following documents in their response - Attachment A- Reference Sheet ❑ Attachment B- Subcontractor Information Form (if applicable) ❑ Attachment C- Cost Proposal Sheet ❑ Attachment F- Federal Requirements ❑ Acknowledged Addenda (if applicable) ❑ Company Information- which gives in brief, concise terms, a summation of the proposal. Include the following - Business Organization: State full name and address of your organization and identify parent company if you are a subsidiary. Specify the branch office or other subordinate element which will perform, or assist in performing, work herein. Indicate whether you operate as a partnership, corporation, or individual. Include the State in which incorporated or licensed to operate. Project Management Structure: Provide a general explanation and chart which specifies project leadership and reporting responsibilities; and interface the team with City project management and team personnel. If use of subcontractors is proposed, identify their placement in the primary management structure, and provide internal management description for each subcontractor. Authorized Negotiator: Include the name, email address, and telephone number of the person(s) in your organization authorized to negotiate Contract terms and render binding decisions on Contract matters. ❑ A list of all litigation the company or its principals have been involved in within the last three (3) years (if applicable). ❑ A statement of your compliance with all applicable rules and regulations of Federal, State and Local governing entities. ❑ List of Exceptions (if any)- Be advised that exceptions to any portion of the Solicitation may jeopardize acceptance of the Proposal by the City. Exceptions to this solicitation if any, shall be submitted on a separate sheet labeled "Exceptions" with the Respondent's proposal. ❑ Segment requirements listed below. 3. EVALUATION CRITERIA: A. Segment 1 — Bus Shelter Design, Removal, and Installation i. Bus Shelter Design: Outline in detail the bus shelter product you feel best fits the City's requirements in the Scope of Work and any additional information you deem necessary to evaluate your proposal. Provide design images, real world examples, etc. ii. Removal and Installation: Describe your plan for removing any existing equipment and installing the new bus shelters. Include such time -related displays, graphs, and charts as necessary to show tasks, sub -tasks, milestones, and decision points related to the Scope of Work and your plan for accomplishment. Specifically indicate: a. A description of your work program by tasks. Detail the steps you will take in proceeding from the kick-off meeting to final invoicing. Page 12 of 14 City of Round Rock Exhibit "A" CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 b. The technical factors that will be considered in the section above, and the depth to which each will be treated. c. The degree of definition provided in each technical element of your plan. d. The points at which written, deliverable reports will be provided to the City. e. The amount of progress payments you are requesting upon successful completion of milestones or tasks, deducting five percent (5%), which will be paid upon final acceptance by the City. B. Segment 2 — Company Work Experience and Personnel i. Prior Experience: State the number of years the Respondent company has been providing the services requested in the solicitation. Describe only relevant municipal, corporate, and individual experience for the company and personnel who will be actively engaged in the project. Do not include corporate experience unless personnel assigned to this project actively participated. Do not include experience prior to 2014. Supply the project title, year, and reference name, title, present address, and phone number of principal persons for whom prior projects were accomplished. ii. Personnel: Include names, qualifications, and resumes of all personnel who will be assigned to the account. State the primary work assigned to each person and the percentage of time each person will devote to this work. Identify key persons by name and title. C. Segment 3 — Cost Proposal: Information described in the following subsections is required from each Proposer. Your method of costing may or may not be used but should be described. A firm fixed price or not -to -exceed Contract is contemplated, with progress payments as mutually determined to be appropriate. Use Attachment C — Cost Proposal Sheet to describe the following costs: i. Comprehensive cost for bus shelter equipment (including benches, litter receptacles, lighting, and all other hardware). ii. Turn -key cost for demolition, removal and disposal of existing equipment, concrete foundation installation, and installation of new bus shelter equipment. If costs differ between locations, please breakout each location separately. iii. Total (not to exceed) Cost. 4. EVALUATION CRITERIA: The intent of the City is to award to one Respondent in accordance with the evaluation criteria below. The purpose of this evaluation criteria is to determine which proposal best meets the requirements and provides the best overall value to the City. A. Evaluation Criteria: Weights: • Bus Shelter Design, Removal, and Installation (Segment 1) 60 pts • Company Work Experience and Personnel (Segment 2) 20 pts • Cost Proposal (Segment 3) 20 pts Maximum Weight: 100 pts B. An evaluation committee will be established to evaluate the proposal. The committee will include employees of the City and may include other impartial individuals who are not City employees. The evaluation committee will determine if discussions and/or Best and Final Offers (BAFO) are necessary. Award of a contract may be made without discussions or BAFO, if in the best interest of the City. The evaluation committee may determine that discussions are necessary to clarify or verify a written proposal response. The City may, at its discretion, elect to have respondents provide oral presentations of their proposal. The City reserves the right to rescore an offer based on provided demonstrations. A request for a BAFO is at the sole discretion of the City and will be requested in writing. The evaluation committee will evaluate the finalists and make a recommendation for award. C. The City reserves the right to reject any or all proposals submitted, or to award to the respondent who in the City's opinion, offers the best value to the City. The City also reserves the right to cancel the RFP process and pursue alternate methods for providing the requirements. D. The City reserves the right to conduct studies and other investigations as necessary to evaluate any proposal. E. The City reserves the right to waive any minor technicality, irregularities, or informalities noted in the submission process. Submission of proposal confers no legal rights upon any Respondent. Page 13 of 14 City of Round Rock Exhibit "A° CDBG Bus Shelters RFP No. 23-021 Commodity Code: 155-76 February 2023 F. The City reserves the right to request further documentation or information and to discuss proposal response with any Respondent in order to answer questions or to clarify any aspects of the proposal. G. The City may develop a "short list" of qualified proposal and may determine that the Respondent(s) should submit a Best and Final Offer (BAFO). Each "short listed" Respondent will be given a reasonable opportunity for discussion and revision of their proposal. 5. AGREEMENT NEGOTIATIONS AND AWARD PROCESS: A. A proposal presented in response to this RFP is subject to negotiation concerning any issues deemed relevant by the City. The City reserves the right to negotiate any issue with any party. Any unsolicited communication by the Respondent to a City official, undesignated employee, or an evaluation team member evaluating or considering the offers may be grounds for disqualifying the offending Offeror from consideration of award. B. Submission of proposal indicates the Respondent's acceptance of the evaluation process and recognition that the City may make subjective judgments in evaluating the proposal to determine the best value for the City. C. If negotiations are successful, the City and Respondent may enter into an agreement. If negotiations are unsuccessful, the City may formally end negotiations with that Respondent. D. The City also reserves the right to reject any or all submittals, or to accept any submittal deemed most advantageous, or to waive any irregularities or informalities in the submittal received. E. An independent signed authorized Contract will be sent to the successful Respondent(s). Execution of a City of Round Rock contract is required prior to starting work and processing any payments to the Contractor. 6. POST AWARD MEETING: The City and the Respondent may schedule a post award meeting to discuss, but not be limited to the following: A. Provide City contact(s) information for implementation of the Agreement. B. Identify specific milestones, goals, and strategies to meet objectives. Page 14 of 14 Exhibit "A" ATTACHMENT A REFERENCE SHEET PLEASE COMPLETE AND RETURN THIS FORM WITH THE SOLICITATION RESPONSE SOLICITATION NUMBER: 23-021 Community Development Block Grant (CDBG) Bus Shelters RESPONDENT'S NAME: Tolar Manufacturing Company, Inc. DATE: 3/29/2023 Provide the name, address, telephone number and E-MAIL of at least three (3) valid Municipal, Government agencies or firms of comparable size that have utilized services that are similar in type and capacity within the last two (2) years. City of Round Rock references are not applicable. References may be checked prior to award. If references cannot be confirmed or if any negative responses are received it may result in the disqualification of submittal. 1. Company's Name SEE REFERENCES LIST ATTACHED Name of Contact Title of Contact E-Mail Address Present Address City, State, Zip Code Telephone Number ( ) Fax Number: ( ) 2. Company's Name Name of Contact Title of Contact E-Mail Address Present Address City, State, Zip Code Telephone Number ( ) Fax Number: ( ) 3. Company's Name Name of Contact Title of Contact E-Mail Address Present Address City, State, Zip Code Telephone Number ( ) Fax Number: ( ) FAILURE TO PROVIDE THE REQUIRED INFORMATION WITH THE SOLICITATION RESPONSE MAY AUTOMATICALLY DISQUALIFY THE RESPONSE FROM CONSIDERATION FOR AWARD. Exhibit "A" TOLAR TOLAR REFERENCES OBT Agency: Blacksburg Transit Location: Blacksburg, VA Contact: Debbie Swetnam Title: Regulatory Manager Email: ds wetnaetnam@blacksbur . ov Phone: 540-443-7100, ext. 2052 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity Gapi.a Ar Rural Transportation System Agency: Capital Area Rural Transportation System Location: Austin, TX Contact: Lyle Nelson Title: Chief of Staff Email: lyle@ridecarts.com Phone: S12-505-5601 Project Type: Standard Bus Shelters CAMContact: Agency: Capital Area Transportation Authority Location: Lansing, MI Kai Christiansen Title: Service Planning & Scheduling Manager Email: kchristiansen cata.or . Phone: 517-999-2S08 Project T e: Standard Bus Shelters MM MM METRO A en : Capital Metropolitan Transportation Authority (Capital Metro) Location: Austin, TX Contact: Mark Herrera Title: Program Manager Email: Mark.herrera@capmetro.org Phone: 512-369-6S46 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity ,'•, LYNX Agency: Central Florida Regional Transportation Authority (LYNX) Location: Orlando, FL Contact: Jeff Refine Title: Capital Planning Manager Email: ire fine@ of .com Phone: 407-254-6046 Project Type: Standard Bus Shelters TOLAR Exhibit °A° TOLAR Hill Irn'sit Agency: Chapel Hill Transit Location: Chapel Hill, NC Contact: Matt Cecil Title: Transit Development Manager Email: mcecil townofcha elhill.or Phone: 919-969-4916 Project Type: Standard Bus Shelters S �.�.��•� Agency: Charlotte Area Transit System Location: Charlotte, NC Contact: Dan Edes Title: Chief Procurement Officer Email: dedes@ci.charlotte.nc.us Phone: 704-432-2567 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity M Omni CTS ClarksvilleTransit5ystem Agency: Clarksville Transit System Location: Clarksville, TN Contact: Paul Nelson Title: Transportation Manager Email: Paul.nelson cit ofclarksville.com Phone: 931-S53-2430 Project Type: Standard Bus Shelters Concord NannapolisAreTransit Agency: Concord Kanna olis Area Transit Location: Concord, NC Contact: L.1. Weslowski Title: Transit Manager Email: weslowl'@concordnc. ov Phone: 704-920-S447 Project Type: Standard Bus Shelters Agency: Corpus Christi Regional Transportation Authority (CCRTA Location: Corpus Christi, TX Contact: Sharon Montez Title: Managing Director of Capital Programs Email: smontez@ccrta.or Phone: 361-903-3S31 Project Type: Standard Bus Shelters & BRT/Rail/High Capacity TOLAR Exhibit "A" TOLAR Agency: Dallas Area Rapid Transit (DART) Location: Dallas, TX Contact: Jennifer Jones Title: Senior Manager Mobility Programs Email: "ones@dart.or Phone: 214-749-2938 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity Agency: City of Davenport — CitiBus Location: Davenport, IA Contact: John Powell Title: General Manager Email: 1powell@ci.davenport.ia.us Phone: 563-888-2150 Project Type: Standard Bus Shelters Agency: Escambia County Area Transit (ECAT) Location: Pensacola, FL Contact: Kevin Pitts Title: Facilities Maintenance Email: kpitts@co.escambia.fl.us Phone: 850-59S-3241 Project Type: Standard Bus Shelters Cil p of Agency: Fayetteville Transit Location: Fayetteville, NC Contact: Juan Lara ui Title: Transit Manager ►�tticC'•� - Email: 'larre ui ci.fa .nc.us Phone: 910-433-1931 Project Type: Standard Bus Shelters RTTitle: S Agency: City of Gainesville Regional Transit System (RTS) Location: Gainesville, FL Contact: Matthew Muller Transit Planner Email: mullermr@cit of ainesville.or Phone: 352-393-7820 Project Type: Standard Bus Shelters TOLAR Exhibit "A" TOLAR dart Agency: Des Moines Area Regional Transit Authority Location: Des Moines, to Contact: Keith Welch Title: Facilities Manager Email: kwelch@ridedart.com Phone: SIS-283-SO28 Project Type: Standard Bus Shelters Triangle Agency: Go Triangle Location: Research Trian le Park, NC Contact: Eric Simpson Title: Capital Projects Manager Email: esim son otrian le.com Phone: 919-485-7SS7 Project Type: Standard Bus Shelters Agency: Greensboro Transit Location: Greensboro, NC Contact: Bruce Adams Title: General Manager Email: Bruce.adams reensboro-nc. ov Phone: 336-412-6237 Project Type: Standard Bus Shelters ■ HART Agency: Hillsborough Area Regional Transit (HART) Location: Tampa, FL Contact: DeWa a Brown Title: Project Manager Email: brownd2 ohart.or Phone: 813-384-6567 Project Type: I Standard Bus Shelters & BRT/Rai1/Hi Capacity THe�i Agency: The Interurban Transit Partnership (The Rapid) Location: Grand Rapids, MI Contact: Maxwell Dillivan Title: Senior Planner Email: mdillivan@ridetherapid.org Phone: 616-774-1159 Project Type: I Standard Bus Shelters The Perfect Fit I Your Community Our Shelter Exhibit "A" TOLAR 0_0 la'le I It .1% N 1k,, 1 I Agency: Jacksonville Transit Location: Jacksonville, NC Contact: Roy Bredahl Title: General Manager Email: rbredahl 'acksonvillenc. ov Phone: 910-938-5037 Project T e: Standard Bus Shelters 1 Agency: Jacksonville Transit Authority Location: Jacksonville, FL Contact: And Rodgers Title: Assistant Vice -President — Construction & Engineering Email: acrodgersC@Itafla.com Phone: 904-633-8537 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity •• • • 0kat �0 �0%* • K N O X V I L L E AREA TRANSIT Agency: Knoxville Area Transit Location: Knoxville, TN Contact: Si McMurra Title: Chief Procurement Officer Email: smcmurra katbus.com Phone: 865-215-7803 Project Type: I Standard Bus Shelters eels Agency: Livermore Amador Valle Transit Authority (LAVTA) Location: Livermore, CA Contact: Mike Tree Title: Executive Director Email: mtree@lavta.or Phone: 925-455-7555 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity Agency: Massachusetts Bay Transportation Authority (MBTA) Location: Boston, MA Contact: Erik Scheier Title: Senior Project Manager Email: escheier@mbta.com Phone: 617-899-9116 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity TOLAR Exhibit "A" TOLAR MAA Agency: Memphis Area Transit Authority (MATH) Location: Memphis, TN Contact: Gary Crawford Title: Program Manager Email: a @mem histransitads.com Phone: 901-674-7694 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity marta", Agency: Metropolitan Atlanta Rapid Transit Authority (MARTA) Location: Atlanta, GA Contact: Ryan VanSickle Title: Senior Transit Systems Planner Email: rvansickle@itsmarta.com Phone: 404-848-4151 Project Type: 1 Standard Bus Shelters & BRT/Rail/Hi h Capacity Agency: Monterey -Salinas Transit (MST) Location: Monterey, CA Contact: Carl Sedoryk Title: General Manager Email: csedo k mst.or Phone: 83 1-899-2SS8 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity .ti Ii D + ° ' ! s SAW"' Agency: Morongo Basin Transit Authority (MBTA) Location: Joshua Tree, CA Contact: Mark Goodale Title: General Manager Email: mark@mbtabus.com Phone: 760 366-2986 Project Type: Standard Bus Shelters NORTH COUNTY TRANSIT DISTRICT Agency: North Count Transit District (NCTD) Location: Oceanside, CA Contact: 01szanicky Title: Service Implementation Manager Email: bolszanick nctd.or Phone: 760-966-6591 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity TOLAR Exhibit "A" TOLAR G3 RlLricnr Agency: Okaloosa Count Transit Location: Fort Walton Beach, FL Contact: Janet Willis Title: Transit Coordinator Email: 'willis@m okaloosa.com Phone: 8SO-683-6255 Project Type: Standard Bus Shelters - RTC Agency: Regional Transportation Commission -Southern Nevada, Las Vegas (RTC) Location: Las Vegas, NV Contact: Carl Scarbrough Title: Manager -Transit Advertising and Facilities Email: scarbrou hc@rtcsnv.com Phone: 702-676-1602 Project T e: Standard Bus Shelters - Rw«sw. Tramit Agency Agency: Riverside Transit Agency (RTA) Location: Riverside, CA Contact: Robert Wyman Title: Sr. Facilities/Construction Project Manager Email: an riversidetransit.com Phone: 951-565SI90 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity " Rock Region METRO Agency: Rock Region METRO Location: Little Rock, AR Contact: Joe Proco Title: Procurement Manager Email: 1procopgrrmetro.org Phone: 501-375-6717 Ext. 228 Project T e: Standard Bus Shelters QS"DAG Agency: San Diego County Association of Governments (SANDAG) Location: San Diego, CA Contact: Dennis Wahl Title: Senior Engineer Email: dwa@sandag.org Phone: Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity • . o Exhibit "A" Qe � Agency: StarMetro — City of Tallahassee Location: Tallahassee, FL Contact: Mary White Title: Project Coordinator Email: Ma .white tal ov.com Phone: 8SO-891-5384 Project Type: Standard Bus Shelters TOPEKA METRO Agency: Topeka Metro Location: To eka, KS Contact: Susan Duffy Title: General Manager Email: sduffy@topekametro.org Phone: 78S-233-2011 Project Type: Standard Bus Shelters O — — Agency: Torrance Transit Location: Torrance, CA Contact: lames Lee Title: Administrative Manager Email: 'ameslee torranceca. ov Phone: 310-781-6924 Project Type: Standard Bus Shelters & BRT/Rail/Hi h Capacity TRINITY /'/ METRO Agency: Trinity Metro Location: Fort Worth, TX Contact: lose Perez Title: Planning Infrastructure Coordinator Email: rez the-t.com Phone: 817-21S-8707 Project Type: Standard Bus Shelters ■ ■ ■WeGo • • Agency: WeGo Public Transit (Nashville MTA) Location: Nashville, TN Contact: D'Nese Nicolosi Title: Transit Stop Manager Email: dnese.nicolosi@nashville.gov Phone: 61 S-880-2100 x I S47 Project Type: I Standard Bus Shelters & BRT/Rail/Hi h Capacity Additional information about Tolar projects can be obtained at www.tolarmfg.com TOLAR ATTKOI INWIM SUBCONTRACTOR INFORMATION FORM COMPLETE AND RETURN THIS FORM WITH THE SOLICITATION RESPONSE SOLICITATION NUMBER: 23-021 Community Development Block Grant (CDBG) Bus Shelters RESPONDENT'S NAME: Tolar Manufacturing Company, Inc. DATE: 3/29/2023 • CIRCLE ONE - NO, I WILL NOT USE SUBCONTRACTORS ON THIS CONTRACT NO YES, I INTEND TO USE SUBCONTRACTORS ON THIS CONTRACT YES If yes complete the information below 1. Subcontractor Name L.A.W. Contracting, LLC Name of Contact Jack Wideman E-Mail Address jwidemanjr@hotmail.com Address 126 Yosemite Drive City, State, Zip Code San Antonio, TX 78232 Telephone Number (210 ) 669-2267 Fax Number: ( ) Describe work to be performed Demolition, removal, concrete and installation. Furnishings by Tolar. Percentage of contract 41 % work to be performed 2. Subcontractor Name Name of Contact Title of Contact E-Mail Address Address City, State, Zip Code Telephone Number ( ) Fax Number: ( ) Describe work to be performed Percentage of contract work to be performed 0 Add additional pages as needed kgpiI _h0 Community Development Block Grant (CDBG) Bus Shelters Attachment C- Cost Proposal Sheet The Respondent represents they are submitting a binding offer and are authorized to bind the respondent to fully comply with the solicitation documents contained in RFP 23-021 Community Development Block Grant (CDBG) Bus Shelters. The Respondent acknowledges that they have received and read the entire solicitation packet, attachments, addendums, and all documents incorporated by reference, and agrees to be bound by the terms therein. Special Instructions: The City reserves the right to purchase more or less than the quantities indicated below No. Description p Estimated Quantity Unit Unit Cost Extended Total Bus Shelter equipment (including benches, litter receptacles, 1 lighting, and all other hardware) 7 EA $14,315.00 $100,205.00 Location #1 Georgetown & Palm Valley (Northbound) Turn -key cost for demolition, removal of existing equipment, concrete foundation, 2 and installation of new equipment. 1 EA $10,135.00 $10,135.00 Location #2 Georgetown & Palm Valley (Southbound) Turn -key cost for demolition, removal of existing equipment, concrete foundation, 3 and installation of new equipment. 1 EA $10,135.00 $10,135.00 Location #3 Sunrise & Old Settlers (Northbound)Turn-key cost for demolition, removal of existing equipment, concrete foundation, and 4 installation of new equipment. 1 EA $10,135.00 $10,135.00 Location #4 Sunrise & Old Settlers (Southbound)Turn-key cost for demolition, removal of existing equipment, concrete foundation, and 5 installation of new equipment. 1 EA $10,135.00 $10,135.00 Location #5 University & Terra Vista (Northbound) Turn -key cost for demolition, removal of existing equipment, concrete foundation, and 6 installation of new equipment. 1 EA $10,135.00 $10,135.00 Location #6 Main & Georgetown (Northbound)Turn-key cost for demolition, removal of existing equipment, concrete foundation, and 7 installation of new equipment. 1 EA $10,135.00 $10,135.00 Location #7 Georgetown & Main (Southbound)Turn-key cost for demolition, removal of existing equipment, concrete foundation, and g installation of new equipment. 1 EA $10,135.00 $10,135.00 Project Total: $171,150.00 1 of 1 Exhibit "A" Attachment D Bus Shelter Locations 21 #1 Georgetown & Palm Valley (Northbound) Stop ID 6199 #2 Georgetown & Palm Valley (Southbound) Stop ID 6200 Exhibit "A" #3 Sunrise & Old Settlers (Northbound) Stop ID 6214 #4 Sunrise & Old Settlers (Southbound) Stop ID 6213 Exhibit "A" r, NNM Ate_ �y „�1 Vyr y,l 'eal I r } olu! f �r�• `n{II1 � 1 i r � i,�t �- i r1 . 411 ry it {{L1{{ ffr�,�.IHr ' IfiNN1 �! fN :r •'t.. rfwY's::rJi{ t Mw.= t. . IiF.,ff� Ni!tSi IWNANS�?jb I,y "lr yr MM !�.rAAAIA #5 University & Terra Vista (Northbound) New Stop #6 Main & Georgetown (Northbound) Stop ID 6197 Exhibit "A" 51 #7 Georgetown & Main (Southbound) Stop ID 6198 Exhibit "A" Georgetown & Palm Valley, Stop ID: 6199, 6200 maw 444 � 1 so iL :� . ''S_+F f `ate ; 140, Sunrise & Old Settlers, Stop ID: 6214, 6213 40 'war Exhibit "A" University (677 University) Goodwill New Stop ,04r !�f Main & Georgetown, Stop ID: 6197, 6198 Y 's •� ,• a j ` � ,ors x . -4 ,• 4 �+ < ©�,�,�, Exhibit "A" Instructions to Bidders Regarding CDBG Regulations All required Certifications must be reviewed, completed, and submitted with the final bid/proposal packet. Failure to do will result in a non -responsive bid/proposal that will be automatically disqualified. • The Contractor's Guide to Prevailing Wage Requirement for Federally -Assisted Construction Projects is available at the following website address: https://portal.hud.gov/hudportal/HUD?src=/program offices/administration/hudclip s/guidebooks/4812LR . A PDF copy can also be provided upon request. The Department of Labor (DOL) General Wage Decision Number TX 20230007 dated 02/06/2023, will be applicable to this project. In the event that the DOL releases a new wage decision before the bid opening the new decision will supersede the wage decision notes above. The approved wage decision will "lock in" at the bid opening. In the event that the contract is not awarded within 90 days after the bid opening the City will download a new age decision and the contract date will "lock in" the new wage decision. If the specific work classification is not listed on the current wage decision TX20230007, a wage decision must be requested from the DOL. The requested classification and wage rate for this classification will have to be in line to the wage rates listed on the wage decision applicable to this project. Form HUD 4230A, Request for Additional Classification and Rate, should be completed and submitted after the bid opening at the earliest time possible to the Community Development CDBG Coordinator Elizabeth Alvarado. • All employees working on this project will be required to be paid at a minimum the wages listed on this wage decision while working on this project. The applicable wage decision will need to be posted at the job site for the duration of the project. • All Federal posters included in this bid packet will need to be posted at the job site for the duration of the project. Exhibit "A" • Projects may be subject to the Section 3 requirements of the Housing and Urban Development Act of 1968. Preference will be given to Section 3 Certified Business Concerns in the awarding of bids. When a Section 3 covered contact is to be awarded based upon the price, the Section 3 business concern with the lowest responsive bid shall be given the opportunity to match the lowest responsive bid from any qualified source. If said Section 3 Business Concern cannot match the lowest responsive bid, then the award shall be made to the lowest bidder. In cases where more than one Section 3 Business Concern is able to match the non -Section 3 Business proposal, the City will maintain an order of priority as established below: Category 1: Certified Section 3 Business Concern that is providing economic opportunities for Section 3 residents in the following locations: • Service area or neighborhood • Public Housing Residents • Limits of unit of local government • Metropolitan Statistical Area • County in which recipient is located Contractor and subcontractors that can clearly demonstrate how they will meet the requirements in this section will be given a contracting preference. Proiect awards under $200,000 are excluded from Section 3 requirements For any questions regarding the CDBG instructions to bidders, please contact Elizabeth Alvarado, CDBG Coordinator at ealvarado@roundrocktexas.gov or at 512-341-3328. Exhibit "A" I. CDBG Required Certifications All required certifications should be reviewed, completed, and submitted with the final bid/proposal packet. If these documents are not submitted, the submittal will be deemed non -responsive and disqualified from possible award. a. Prospective contractor/vendor is required to have an active registration in the System for Award Management (SAM). Instructions on how to register are included. The website link for registration is www.sam.gov . b. The Certification Regarding Debarment and Suspension from must be completed and submitted with final proposals. c. The Request for Taxpayer Identification Number and Certification form must be completed and submitted with final bid/quote. d. Prospective contractor/vendor must review the Conflict -of -Interest Summary of Rules for CDBG Contractors. The affidavit must be reviewed, signed, and submitted. ANY possible conflict of interest must be reported. e. Prospective contractor/vendor must complete and submit the Certification Regarding Equal Employment Opportunity. f. Prospective contractor/vendor must review and submit the Certification Designating an Officer or Employee to Supervise Payment when Davis Bacon Labor Standards apply to the project. g. Prospective contractor/vendor should complete and submit the Clean Air and Water Certification, if applicable. h. Prospective contractor/vendor should complete and submit the Certification on Non -Lobbying Activities. Additional information is included. i. Prospective contractor/vendor must complete and submit the Non -Collusion Affidavit. Additional information is included. j. Information regarding use of Minority -Owned Business Enterprises/Women Owned Business Enterprises is included. k. If this project is subject to Section 3 compliance as explained in the Instructions to Bidders, the documents should be reviewed and completed as applicable. Exhibit "A" System for Award Management Instructions (SAM) Exhibit "A" SYSTEM FOR AWARD MANAGEMENT REGISTRATION AND ACTIVATION Any business choosing to bid or provide proposals on Federally Funded projects, must be currently REGISTERED and ACTIVE IN THE System for Awards Management (SAM) database, at the time of bid opening. The database is the primary federal registrant portal for the collecting, validating, storing, and disseminating data on federal awards. SAM is an official website of the U.S. Government and there is not cost to register on this site. 1. Does your organization have ACTIVE REGISTRATION status with SAM.gov? _V YES NO 2. If so, please provide your organization's Unique Entity ID (UEI#): XNKXFKMDZLX8 Bidders are required to provide the UEI#. To register, please access the following internet website: http://sam.gov . What is the UEI? Beginning April 2, 2022, the federal government will stop using the DUNS number issues by DUN and Bradstreet to uniquely identify entities. At this point, entities doing business with the federal government will use a Unique Entity Identifier (UEI) number assigned in the SAM.gov and will not longer use a third -party website to obtain their identifier number. Entities are able to manage organizational information, such as legal business name and physical address associated with UEI number, directly from SAM.gov. How do I register with SAM? To register with SAM, go to the System for Award Management (SAM) site. Follow the online instructions to complete SAM registration. If you have any questions, please contact the Federal Service Desk at www.FSC.gov . Their phone number is (866) 606-8220. Exhibit "A" Certification Regarding Debarment and Suspension Certification A: Certification Regarding Debarment, Suspension and Other Responsibility Matters — Primary Covered Transactions 1. The prospective primary participant certifies to the best of its knowledge and belief that its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal debarment or agency: b. Have not within a three-year period preceding this proposal, been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification, or destruction of records, making false statement, or receiving stolen property, c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1 xb) of this certification; and d. Have not within a three-year period preceding this application1proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statement in this certification, such prospective participant shall attach an explanation to this proposal. Instructions for Certification (A) 1. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. 2, The inability of a person to provide the certification required below will not necessarily result In denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to fumish a certification of the prospective primary participant to furnish a certfflcation or an explanation shall disqualify such person from participation in this transaction. 3. The certification in this clause is a material representation of fact upon which reliance was in place when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. U.S. Department of Housing and Urban Development 4. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if at any time the prospective primary participant leams that Its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 5. The terms covered transaction, debarred, suspended, Inallgible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is being submitted for assistance in obtaining a copy of these regulations. & The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excuded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. 7. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled 'Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion — Lower Tier Covered Transaction' provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that h is not debarred, suspended, ineligible, or voluntarily excluded form the covered transaction, unless It knows that the certification is erroneous. A participant may decide the method and frequency by which it determines this eligibility of its principals. Each participant may, but is not required to, check the Non -procurement list. 9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant Is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 10. Except for transactions authorized under paragraph (6) of these instructions, 0 a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause of default. Page 1 of 2 form HUD-2992(3198) Exhibit "A" Certification 13: Certification Regarding Debarment, suspension, Ineligible and Voluntary Exclusion - Lower Tier Covered Transactions 1. The prospective lower tier pan -pans ce"es, by submission of this ro pposal, that neither a not its pnnc,pels Is presently debarred, suspended, Proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transacton by any Federal department or agency. 2. Where the prospective lower bar participant is unable to testify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Instructions for Certification (B) 1. By signing and submitting this proposal, the prospective lower tier Participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. It it is later determined that the prospective tower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government. the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3 The prospective lower tier participant shall Provide immediate written notce to the person to wruch this proposal is submitted if at any time the prospective lower tier participant teems that its certification was erroneous when submitted or has become by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, Ineligible, tower tier covered transaction, participant, parson, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meanings set out in the Definitions and Coverage sections of ruses implementing Executive Order 12549. You may contact the Person to which this Proposal is submitted for a —stance in obtaining a copy of these regulations. Tolar Manufacturing Company, Inc. Signature of Authorized Certifying Offjil--._---- - 6 5. The prospective lower ter pertopant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into an Lower her transaction with a Person who is debarred. suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated 6 The prospective lower bar pamcipant further agrees by submitting this proposal that it will include this clause tilled 'Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Ter Covered Transaction,' without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7 A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but a; not required to. check the Non -procurement list. e. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant Is not required to exceed that which is normally Possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph (5) of these instructions, if a participant in a lower covered transaction knowingly enters into a lower tier covered tansaction with a person who is suspended. debarred, ineligible, or voluntarily excluded from participation m this transaction, in addition to other remedies available to the Federal Govemmanl, the department or agency with which this transaction originated may pursue available remedies including suspension andlor debarment. 3/29/2023 Scott Williams Business Development Manager Page 2 of : forfn HUD-2992(3%96) Exhibit "A" W-9 Request for Tax Payer ID Exhibit "A" MEN A Form VV-t! Request for Taxpayer (Rev. October2018) Identification Number and Certification Give Form to the Department of the Treasury requester. Do not Internal Revenue Service ► Go to www.irs.gov/F`orrnW9 for instructions and the latest information. send to the IRS. 1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank. Tolar Manufacturing Company, Inc. 2 Business name/disregarded entity name, if different from above a) 3 Check appropriate box for federal tax classification of the person whose name is entered on line 1. Check only one of the following seven boxes. 4 Exemptions (codes apply only to a certain entities, not individuals; see p ElIndividual/sole proprietor or ❑� C Corporation ❑ S Corporation El Partnership El Trust/estate instructions on page 3): m single -member LLC Exempt payee code (if any) ❑ Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=Partnership) ► o m Note: Check the appropriate box in the line above for the tax classification of the single -member owner. Do not check LLC if the LLC is classified as a single -member LLC that is disregarded from the owner he Exemption from FATCA reporting a unless the owner of the LLC is ownerof the another LLC that is not disregarded from the owner for U.S. federal tax purposes. Otherwise, a LLC that code (if any) is disregarded from the owner should check the appropriate box for the tax classification of its owner. w ❑ Other (see instructions) ► (Appms to accounts maintained outside the U.S.) y 5 Address (number, street, and apt. or suite no.) See instructions. Requester's Warne and address (optional) A 258 Mariah Circle 6 City, state, and ZIP code Corona, CA 92879 7 List account numbers) here (optional) T— .. Ld..s•s•_.•a •1_. —1-7— 1-1%111{iaL1V11 I1u111UM t111Y) Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid Social security number backup withholding. For individuals, this is generally your social security number (SSN). However, for _ m resident alien, sole proprietor, or disregarded entity, see the instructions for Part I, later. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN, later. or Note: If the account is in more than one name, see the instructions for line 1. Also see What Name and I Employer identification number Number To Give the Requester for guidelines on whose number to enter. FTI a©0n©©00©r (iULM Certification Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. 1 am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. 1 am a U.S. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends onfur tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, ca Ilation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not requi to sign the certification, but you must provide your correct TIN. See the instructions for Part 11, later. rn Here Signature of Here U.S. person ► General Instructions Section references are to the Internal Revenue Code unless otherwise noted. Future developments. For the latest information about developments related to Form W-9 and its instructions, such as legislation enacted after they were published, go to www.irs.gov/FormW9. Purpose of Form An individual or entity (Form W-9 requester) who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) which may be your social security number (SSN), individual taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or employer identification number (EIN), to report on an information return the amount paid to you, or other amount reportable on an information return. Examples of information returns include, but are not limited to, the following. • Form 1099-INT (interest earned or paid) Date Do- 1/S/20Zzr • Form 1099-DIV (dividends, including those from stocks or mutual funds) • Form 1099-MISC (various types of income, prizes, awards, or gross proceeds) • Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) • Form 1099-S (proceeds from real estate transactions) • Form 1099-K (merchant card and third party network transactions) • Form 1098 (home mortgage interest), 1098-E (student loan interest), 1098-T (tuition) • Form 1099-C (canceled debt) • Form 1099-A (acquisition or abandonment of secured property) Use Form W-9 only if you are a U.S. person (ncluding a resident alien), to provide your correct TIN. If you do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What is backup withholding, later. Cat. No. 10231X Form W-9 (Rev. 10-2018) Exhibit "A" Conflict of Interest Summary and Affidavit Exhibit "A" CONFLICT OF INTEREST SUMMARY OF RULES FOR CDBG CONTRACTORS I. introduction Prospective CDBG contractors should carefully consider whether any of their activities may give rise to an improper conflict of interest situation. Conflict of interest situations that are not properly addressed can result in a loss of CDBG funding to the program and/or to the city, and in some cases can result in civil or criminal liability. Organizations that are requesting CDBG funding should ask themselves the following questions: Are any of my employees or board members, ■ A city employee or consultant who exercises CDBG- related functions as part of their city position? • A City Official? Are any immediate family members or business associates of my employees or board members, ■ A city employee or consultant who exercises CDBG- related functions as part of their city position? • A City Official? Will any of my employees or board members receive a financial interest or benefit from CDBG funds (other than employee salaries or personnel benefits)? Will any immediate family members or business associates of my employees or board members receive a financial interest or benefit from CDBG funds (other than employee salaries or personnel benefits)? To my knowledge, will my program or project have a financial effect on a city official or employee who exercises CDBG-related functions, or an immediate family member or business associate of such person? For Exhibit "A" CONFLICT OF INTEREST SUMMARY OF RULES FOR CDBG CONTRACTORS I. Introduction Prospective CDBG contractors should carefully consider whether any of their activities may give rise to an improper conflict of interest situation. Conflict of interest situations that are not properly addressed can result in a loss of CDBG funding to the program and/or to the city, and in some cases can result in civil or criminal liability. Organizations that are requesting CDBG funding should ask themselves the following questions: Are any of my employees or board members, ■ A city employee or consultant who exercises CDBG- related functions as part of their city position? ■ A City Official? Are any immediate family members or business associates of my employees or beard members, • A city employee or consultant who exercises CDBG- related functions as part of their city position? ■ A City Official? Will any of my employees or board members receive a financial interest or benefit from CDBG funds (other than employee salaries or personnel benefits)? Will any immediate family members or business associates of my employees or board members receive a financial interest or benefit from CDBG funds (other than employee salaries or personnel benefits)? To my knowledge, will my program or project have a financial effect on a city official or employee wo exercises CDBG-related functions, or an immediate family member or business associate of such person? For Exhibit "A" example, will any of these persons be receiving rental payments, other business income or program services from my program? If you can answer "yes" to any of these questions, it is possible that there may be a conflict of interest. You should review the rules below to determine whether an actual conflict situation is raised, and, if so, what action needs to be taken to avoid a violation of the law. You should contact city staff immediately if you suspect that there might be an issue. Any contractor entering into an agreement with the City in which CDBG funding will be utilized, will be required to warrant, and represent, to the best of his/her knowledge at the time the contract is executed, he/she is not aware of any improper conflict of interest as described below. Also, the contract will obligate contractors to exercise due diligence to ensure that no improper conflict situations occur during the contract. The following Federal and State Conflict of Interest Laws govern activities funded with CDBG funds: • HUD conflict of interest regulations (24 CFR Part 570.611 and 24 CFR Part 85.36) • Texas Local Government Code Chapter 171.004 I1. City Officials, Their Family, or Business Partners BenefittinQ from CDBG Proiects. HUD Rule. The HUD conflict of interest rule prohibits any "covered Person" associated with the City (as defined below) from obtaining a financial interest or benefit from a CDBG assisted activity or contract, of the proceeds under any such contract, during that covered person's tenure with the City and for one year thereafter. A "covered person" is defined by HUD as any employee, agent, consultant, officer, or elected or appointed official of the City who, with respect to CDBG-funded activities under the contract: (a) exercises or has exercised any functions or responsibilities; or, (b) is in a position to participate in a decision -making process; or, (c) is in a position to gain inside information. City staff members or consultants who exercise the above roles or function with respect to the CDBG activity are considered "covered persons." For purposes of the CDBG program, a "covered person" specifically includes Exhibit "A" any member of the Round Rock City Council, or any director of any board associated with reviewing and making recommendations on the funding for the contract, whether or not that council member or director actually participated in the review or recommendation. "Covered person" may also include member of other City boards and commissions, if that board or commission has exercised functions or decision -making with respect to the CDBG activity. The HUD rule further prohibits anyone with "family or business ties" to the covered public official from receiving a financial interest or benefit. State law. State law requires a local public official with substantial interest in a business entity or in real property, to file, before a vote or decision on any matter involving the business entity or the real property, an affidavit stating the nature of the extent of the interest. The state law required that any public official of the City, should publicly recuse him/herself from participating in any discussions relating to the CDBG grant -making process. Failure of the person to recuse him/herself before the discussions begin may disqualify the organization's application for funds. III. Interests of persons associated with the contractor. The HUD rule also addresses financial interests that are held by certain persons associated with a CDBG contractor. The HUD rule prohibits any "covered person" associated with the contractor from obtaining a financial interest or benefit (with the exception of the use of CDBG funds to pay salaries and other related administrative and personnel costs) from a CDBG assisted activity or contract, or the proceeds under any such contract, during that covered person's tenure with the contactor and for one year thereafter. A "covered person" is defined by HUD as any employee, agent, consultant, officer, or elected or appointed official of the contractor who, with respect to CDBG-funded activities under the contract: (a) exercises or has exercised any functions or responsibilities; or (b) is in a position to participate in a decision -making process; or (c) is in a position to gain inside information. This rule extends to those with Exhibit "A" whom the covered person has "family or business ties" (as defined above). This rule would, for example, prohibit certain employees or directors of a CDBG contractor from using CDBG funds to pay for rent on a property owned by that employee or director, as well as family and business associates of that person. IV. Remedies and Sanctions. The CDBG grant contract provides that if a CDBG contractor fails to make a good faith effort to avoid an improper conflict of interest situation or is responsible for the improper conflict situation, the City may (1) suspend CDBG payments, (2) terminate the contract, (3) require reimbursement by the contractor to the City of HUD of any amounts already disbursed and/or (4) bar future CDBG funding of the contractor in the event HUD suspends or terminates its rant to the city for conflict of interest reasons, or in the event the city reasonably determines that an improper conflict of interest situation may arise from payments under the contract. This could happen whether or not the contractor is responsible for the conflict -of -interest situation. Certification: 1, the undersigned, acknowledge and certify that 1 have read and understand the summary of Rules for CDBG Contractors. Date: Company/Vendor Name: 3/29/2023 Tolar Manufacturing Company, Inc. i Printed Name and Title: Authorized Signatory: r O Scott Williams, Business Development Manager A Exhibit "A" CITY OF ROUND ROCK COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM AFFIDAVIT REGARDING CONFLICT OF INTEREST Acknowledgement: I, the undersigned, certify that I have read and understand the conflict of interest regulations by the US Department of Housing and Urban Development, Community Development Block Grant Program, including 24 CFR Part 570.611: 24 CFR Part 570.611 (b) Conflicts prohibit. No persons described in paragraph (c) of this section who exercise or have exercised any functions or responsibilities with respect to activities assisted with CDBG funds or wo are in a position to participate in a decision -making process or gain inside information with regard to these activities, may obtain a financial interest or benefit from a CDBG-assisted activity, or have an interest in any contract, subcontract, or agreement with respect thereto, or the proceeds thereunder, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. 24 CFR Part 570.611(c) Persons covered. The conflict of interest provisions of paragraph (b) of this section apply to any person who is an employee, agent, consultant, officer, or elected official or appointed official to the recipient, or of any designated public agencies, or of subrecipients that are receiving CDBG funds. Certification: I, the undersigned, certify and report that to the best of my knowledge, Xl have no conflict of interest to disclose a I have the following conflict of interest to disclose: Date: Company/Vendor Name: 3/29/2023 Tolar Manufacturing Company, Inc. Printed Name and Title: Authorized Signato Scott Williams, Business Development Manager �� j n A Exhibit "A" Certification Regarding Equal Employment Opportunity Exhibit "A" U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT CERTIFICATION OF BIDDER REGARDING EQUAL EMPLOYMENT OPPORTUNITY INSTRUCTIONS This certification is required pursuant to Executive Order 11246 (30 F.R- 12319-25). The implementing rules and regulations provide that any bidder or prospective contractor, or any of their proposed subcontractors, shall state as an initial part of the bid or negotiations of the contract, whether it has participated in any previous contract or subcontract subject to the equal opportunity clause-, and, if so, whether it has filed all compliance reports due under applicable instructions. Where the certification indicates that the bidder has not filed a compliance report due under applicable instructions, such bidders shall be required to submit a compliance report within seven (7) calendar days after bid opening. No contract shall be awarded unless such report is submitted. CERTIFICATION BY BIDDER Bidder's Name: Tolar Manufacturing Company, Inc. Address and Zip Code: 258 Mariah Circle, Corona, CA 92879 Bidder has participated in previous contract or subcontract subject to the Equal Employment Opportuni Clause. Yes No A (If answer is yes, identify the most recent contract) Compliance reports were required to be filed in connection with such contract or subcontract. Yes No ___X-, - (If answer is yes, identify the most recent contract) Bidder has filed all compliance reports due under applicable instructions, including SF- 100. Yes No None Required ___X__ 4 If answer to Item 3 is "No", please explain in detail on the reverse side of this certification. Cc frca ' he i fo anon above s mre and com I t to the best of my knowledge and belief. ` cod °�'IVilliai r�'usrness fevelopmeM Manager (Flame and Title of i t — plcage t1'pe) t, � — -- — .. ----3/29/2023 �13re 141.1D 4238 NAME OF PRIME CONTRACTOR: PROJECT#: Exhibit "A" CERTIFICATION OF SUBCONTRACTOR REGARDING EQUAL EMPLOYMENT OPPORTUNITY INSTRUCTIONS This certification is required pursuant to Executive Order 11246 (30 F.R. 12319-25). The implementing rules and regulations provide that any bidder or prospective contractor, or any of their proposed subcontractors, shall state as an initial part of the bid or negotiations of the contract, whether it has participated in any previous contract or subcontract subject to the equal opportunity clause, and, if so, whether it has filed all compliance reports due under applicable instructions. Where the certification indicates that the bidder has not filed a compliance report due under applicable instructions, such bidders shall be required to submit a compliance report within seven (7) calendar days after bid opening. No contract shall be awarded unless such report is submitted. CERTIFICATION BY SUBCONTRACTOR NAME AND ADDRESS OF SUBCONTRACTOR (Include ZIP Code) Subcontractor has participated in previous contract or subcontractor subject to the Equal Employment Opportunity Clause. Yes No (If answer is yes, identify the most recent contract) Compliance reports were required to be filed in connection with such contract or subcontract. Yes No (If answer is yes, identify the most recent contract) Bidder has filed all compliance reports due under applicable instructions, including SF- 100, Yes No None Required 4 Have you ever been or are you being considered for sanction due to violation of Executive Order 11246, as amended. Yes No Certification — The information above is true and complete to the best of my knowledge and belief. (Name and Title of Signer — please type) Signature Date Exhibit "A" Certification Designating Officer or Employee to Supervise Payment Project Name: Location: Exhibit "A" COMMUNITY DEVELOPMENT/GRANTS MANAGEMEN/ DEPT. CERTIFICATE FROM CONTRACTOR/SUBCONTRACTOR DESIGNATING OFFICER OR EMPLOYEE TO SUPERVISE PAYMENT OF EMPLOYEES Date: Project No.: (1) (We) hereby certify that (I am) (we are) (the prime contractor) (a subcontractor) for in connection with (Specify "General Construction," "Plumbing," "Roofing," etc.) construction of the above -mentioned CDBG Project, and that (1) (we) have appointed whose signature appears below, to supervise the payment of (my) (our) employees beginning , 20 : That he/she is in a position to have full knowledge of the facts set forth in the payroll documents and in the Statement of Compliance required by the so-called Kick -Back Statute which he/she is to execute with (my) (our) full authority and approval until such time as (1) (we) submit to the City a new certificate appointing some other person for the purposes herein above stated. (Signature of Appointee) (Name of Firm or Corporation) List with signatures all owners, partners, and/or officers of the Corporation below: (Signature) (Signature) (Signature) (Title) (Title) (Title) NOTE: This certificate must be executed by authorized officers of the corporation and/or by members of the partnership, and shall be executed prior to and be submitted with the first payroll. Should the appointee be changed, a new certificate must accompany the first payroll for which the new appointee executes the Statement of Compliance required by the Kick -Back Statute A new designation is not necessary as long as the person signing the Statement of Compliance is an owner, partner or officer of the Corporation whose signature appears above. Revised January 2019 Exhibit "A" Certification Regarding Clean Air and Water Exhibit "A" CLEAN AIR AND WATER CERTIFICATION (For all contracts exceeding $100,000 including indefinite quantities where the amount is expected to exceed $100,000 in any year) The Bidder certifies that: 1. Any facility to be used in the performance of this proposed contract is not listed on the Environmental Protection Agency List of Violating Facilities, 2. The bidder will immediately notify the Procuring Agency, before award, of the receipt of any communication from the Administrator, or a designee, of the Environmental Protection Agency, indicating that any facility that the Bidder proposes to use for the performance of this contract is under consideration to be listed on the EPA List of Violating Facilities; and 3. The Bidder will include a certification substantially the same as this certification, including this paragraph, in every non-exempt subcontract. Signature of Contractor's Authorized Official: �l Name of Contractor's Authorized Official: Scott Williams Title of Contractor's Authorized Official: Business Development Manager Date: 3/29/2023 Exhibit "A" Certification Regarding Non -Lobbying Activities Exhibit "A" CERTIFICATION ON NON -LOBBYING ACTIVITIES CERTIFICATION FOR CONTRACTS GRANTS AND LOANS The undersigned certifies, 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 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 or Federal loan, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant or loan. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant or loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. 3. The undersigned shall require that the language of this certification be included in the Award documents for all subawards at all tiers (including contracts, subcontracts, and subgrants under grants and loans) and that all subrecipients shall certify and disclose accordingly. 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. Scott Williams NAME --- - ---- S1 NATUR-------- — - --- Business Development Manager TITLE - - 3/29/2023 DATE - Exhibit "A" Non -Collusion Affidavit for Prime Bidder/Subcontractor Exhibit "A" NON -COLLUSION AFFIDAVIT OF PRIME BIDDER/SUBCONTRACTOR State of Texas) County of Williamson) City of Round Rock) Scott Williams , being the first duly sworn, deposes and says that: 1.He/she is of Business Development Yf3nager Tolar Manufacturing Company, Inc. (Owner, partner, etc.) (Company) the Bidder that has submitted the attached Bid; 2. He/she is fully informed respecting the preparation and contents of the attached Bid and of all pertinent circumstances respecting such Bid; 3. Such Bid is genuine and is not a collusive or sham Bid; 4. Neither the said Bidder nor any of its officers, partners, owners, subcontractors, agents, representatives, employees or parties in interest including this affiant, has in any way colluded, conspired, connived or agreed, directly or indirectly, with any other Bidder, firm or person to submit a sham Bid in connection with the Contract for which the attached Bid has been submitted or to refrain from bidding in connection with such Contract, or has in any manner, directly or indirectly sought by agreement or collusion or communication or conference with any other Bidder, firm or person to fix price or prices in the attached Bid or of any other Bidder, or to fix overhead, profit or cost element of the bid price or the bid price of any other bidder, or to secure through any collusion, conspiracy, connivance or unlawful agreement and advantage against the City of Round Rock; 5. No member of the City Council, or any person in the employ of the City is directly or indirectly interested in the bid, or the work to which it relates, or in any portion of the profits thereof; and, 6. The price of prices quoted in the attached Bid are fair and proper and are not tainted by any collusion, conspiracy, connivance or unlawful agreement on the part of the Bidder or any of its agents, representatives, owners, employees or parties in interest including this affiant; 7. 1 have read and understand the document and agree(s) to comply with the terms and conditions contained as the date here o , . I the Bidder am not indebted to the City of Round �ck in any form or manner. Signature: L Date: 3/29/2023 Title: Business Development Manager lLO1i) ` Notary: (Apply Notary Seal) (Print or type names under all signatures /bq 5�`;`.;°..`4�^ CHRISTOPHER MEN DOZA Notary Public • California Riverside County Z Commission # 2323146 ' .oa'� My Comm. Expires Apr 1, 2024 Exhibit "A" Information Regarding Use of MBENVBE Exhibit "A" INFORMATION REGARDING THE USE OF MINORITY AND WOMEN'S BUSINESS ENTERPRISES (MBE/WBE) Procedures for Implementation of 40 CFR Part 31.136(e) (Minority Business Enterprise/Women's Business Enterprise) Each bidder must fully comply with the requirements, terms, and conditions of the Federal policy to award a fair share of sub -agreements to minority and women's businesses. The bidder commits itself to taking affirmative actions contained herein, prior to submission of bids or proposals. Affirmative Actions 1. When feasible, segmenting total work requirements to permit maximum MBE/WBE participation. 2. Assuring that MBEs and WBEs are solicited whenever they are potential sources of goods or services. This activity may include: a. Sending letters or making other personal contacts with MBEs and WBEs (contact CDBG for website information) or other MBE/WBEs known to the bidder. MBEs and WBEs should be contacted when other potential subcontractors are contacted, within reasonable time (fifteen days) prior to bid submission or closing date for receipt of initial offers. Those letters or other contacts should communicate the following: i. Specific description of the work to be subcontracted; ii. How and where to obtain a copy of plans and specifications or other detailed information needed to prepare a detailed price quotation; iii. Date quotation is due to the bidder; iv. Name, address, and phone number of the person in the bidder's firm whom the prospective MBE/WBE subcontractor should contact for additional information. b. Sending letters or making other personal contacts with local, state, Federal, and private agencies and MBE/WBE associations relevant to the project. Such contacts should provide the same information provided in the direct contacts to MBE and WBE firms. 3. Establishing delivery schedules, if feasible, which will encourage participation by MBEs and WBEs. Determination of Compliance It is to be noted that bidders must demonstrate compliance with MBE/WBE requirements to be deemed responsible. Demonstration of compliance shall include, but is not limited to, the following information: 1. Names, addresses, and phone numbers of MBE/WBEs expected to perform Exhibit "A" work; 2. Work to be performed by the MBEs and WBEs; 3. Aggregate dollar amount of work to be performed by MBEs and WBEs, showing aggregate to MBEs and aggregate to WBEs separately; 4. Description of contacts to MBE and WBE organizations, agencies, and associates which serve MBE/WBEs, including names of organizations, agencies, and associations, and date of contacts; 5. Description of contacts to MBEs and WBEs, including number of contacts, fields, (i.e. equipment or material supplier, excavators, transport services, electrical subcontractors, plumbers, etc.) and date of contacts. To demonstrate compliance, all bidders must complete the following Minority and Women's Business Enterprise Utilization Worksheet and submit it to the Owner with their bid. Exhibit "A" This form to be submitted with Bid: MINORITY AND WOMEN'S BUSINESS ENTERPRISE UTILIZATION WORKSIIEET Grant Applicant Project Number 23-021 Community Development Block Grant (CDBG) Bus Shelters Contractor/Engineer Tolar Manufacturing Company, Inc. Address, City, State, and Zip 258 Mariah Circle, Corona, CA 92879 Contact Person Scott Williams Telephone No 951-808-0081 Amount of Contract $171,150.0"E Percentage WBE Percentage: 31 % I. MBE Subcontractor L.A.W. Contracting, LLC WBE Address, City, State, Zip 126 Yosemite Drive, San Antonio, TX 78232 Contact Person D'Ann Wideman Amount of Subcontract $53,200.00 Tax ID Number 01-0674706 Scope Of Work Demolition, removal, concrete and installation. Furnishings by Tolar. 2 R� 4 ut ly WBE Contact Person Amount of Subcontract Scope Of Work MBE WBE Contact Person Amount of Subcontract Scope Of Work Subcontractor Address, City, State, Zip Tax ID Number Subcontractor Address, City, State, Zip Tax ID Number MBE Subcontractor _ WBE Address, City, State, Zip Contact Person Amount of Subcontract Tax [D Number Scope Of Work 3/31/2021 Exhibit IIAPGnow certified Profile Print Business & Contact Information BUSINESS NAME L.A.W. Contracting, LLC OWNER Ms. D'Ann Wideman ADDRESS 126 Yosemite Dr. San Antonio, TX 78232 PHONE 210-286-8131 FAX 210-764-8442 EMAIL lawcontracting@hotmail.com WEBSITE lawcontrating.com COUNTY Bexar (TX) Certification Information CERTIFYING AGENCY South Central Texas Regional Certification Agency CERTIFICATION TYPE DBE - Disadvantaged Business Enterprise CERTIFIED BUSINESS DESCRIPTION Poured Concrete Foundation and Structure Contractors, Site Preparation Contractors, All Other Specialty Trade Contractors Commodity Codes Code Description NAICS 238110 Poured Concrete Foundation and Structure Contractors NAICS 238910 Site Preparation Contractors NAICS 238990 All Other Specialty Trade Contractors Additional Information https://txdot.txdotcros.com/FrontEnd/SearchCertifiedDirectory.asp?XID=7089&TN=txdot 1/1 GENT 0� ,F r o� March 3, 2020 D'Ann Wideman L.A.W. Contracting, LLC 126 Yosemite Dr. San Antonio, TX 78232 Dear D'Ann Wideman: Exhibit "A" South Central Texas Regional Certification Agency "Increasing economic prosperity by creating opportunities and eliminating barriers" n1jy„!.sc1rc,t.a,g �eJOS un j TUCP E �O *catFo+n Q We are pleased to inform you that your application for certification in our Disadvantaged Business Enterprise Program has been approved with the South Central Texas Regional Certification Agency (SCTRCA) and with the State of Texas Unified Certification Program (TUCP). In accordance with U.S. Department of Transportation (USDOT) DBE certification eligibility requirements promulgated at 49 CFR. Part 26 and/or Part 23 and is currently certified as a: *Disadvantaged Business Enterprise (DBE) Certification Number: 220039704 Certification Anniversary: March 31, 2021 Providing the following products or services: NAICS 238110: POURED CONCRETE FOUNDATION AND STRUCTURE CONTRACTORS NAICS 238910: SITE PREPARATION CONTRACTORS NAICS 238990: ALL OTHER SPECIALTY TRADE CONTRACTORS This certification shall remain valid, unless and until it has been removed in accordance with procedures set fourth in 49 CFR §26.87. In order to remain certified, it is your obligation to submit an Annual Update and Affidavit ("No Change Affidavit") annually on or before the anniversary of your DBE certification. A No Change Affidavit is a sworn affidavit affirming that there have been no changes in the firm's circumstances affecting its size, disadvantage status, ownership or the control requirements of the regulation, or any material change in the information provided in its application for DBE certification, including the support documentation. Please note that the SCTRCA reserves the right to request any other documentation that may be necessary to make a certification determination. Please notify this office within thirty (30) days of any changes affecting the size, ownership, control requirements, or any material change in the information provided in the submission of the certification application. Failure to provide these changes could result in your firm being removed from the certified vendor database. The SCTRCA and/or the TUCP reserve the right to re-evaluate a firm's certification status at anytime that they determine such re-evaluation is warranted. Thank you for your partici ation in the SCTRCA DBE Certification Program. Sin harles Johnson, Executive Director 3201 Cherry Ridge Dr., Building B, Mute #210 San Antonio TZ 78230 Phone: (210) 227-4RC_-1 (4722) Exhibit "A" Section 3 Information and Eligibility Requirements Exhibit "A" SECTION 3 FREQUENTLY ASKED QUESTIONS WHAT IS SECTION 3? Section 3 is a provision of the Housing and Urban Development (HUD) Act of 1968 which ensures that employment and other economic opportunities generated by certain HUD financial assistance shall, to the greatest extent feasible, be directed to low and very low-income persons. The City of Round Rock is committed to promoting employment, contracting, and training opportunities to low and very low-income individuals and to business concerns who employ such individuals. WHICH CITY OF ROUND ROCK PROJECTS ARE SUBJECT TO SECTION 3 REQUIREMENTS? Section 3 projects include housing rehabilitation, housing construction and other public construction (infrastructure, public facilities, park improvements etc.) assisted under the Community Development Block Grant Program (CDBG) when the total funding amount exceeds $200,000. WHAT IS A SECTION 3 BUSINESS CONCERN? A Section 3 Business Concern is a business that meets at least one of the following criteria, documented within the last 6 months: 1. At least 51% owned and controlled by low or very low income persons; or 2. Over 75% of the labor hours performed for the business over the prior 3-month period were performed by Section 3 workers; or 3. A business at least 51% owned and controlled by current public housing residents or residents who currently live in Section 8- assisted housing. If your business meets the criteria as noted above, please register as a Section 3 Business Concern on the HUD Section 3 Business Registry database here: https://portalapps.hud.gov/Sec3BusReg/BRegistry/What *Please note that registry on this database DOES NOT GUARANTEE contract preference. The City of Round Rock must still review and verify the attached certifications and provide final approval. WHO IS A LOW- INCOME PERSON? To determine if a person is considered low-income, please refer to the FY2021 HUD Individual Income limits included in the attached Section 3 Eligibility Guidelines. WHO IS A "SECTION 3 WORKER"? A Section 3 worker is any worker who currently meets, or when hired within the past 5 years met, at least one of the following categories: 1. The worker's income for the previous or annualized calendar year is below the income limit established by HUD; or 2. The worker is employed by a Section 3 Business Concern; or 3. The worker is a YouthBuild Participant. Exhibit "A" WHO IS A "TARGETED SECTION 3 WORKER"? A Section 3 worker is any worker who currently meets, or when hired within the past 5 years met, at least one of the following categories: 1. The worker is employed by a Section 3 Business Concern; or 2. Currently meets or when hired met, at least one of the following, documented within the past 5 years: • living in the service area or the neighborhood of the project, as defined in 24 CFR Part 75.5; or • Is a YouthBuild Participant. If you have questions or need assistance, please contact the Community Development office at (512) 341-3328 Exhibit "A" Section 3 Business Concern Certi�Ication Instructions: Enter the following information and select the criteria that applies to certify your business's Section 3 Business Concern status. Business Information Name of Business: Address of Business. Name of Business Owner: Phone Number Preferred Contact Information Email: ❑ Same as above Name of Preferred Contact Phone Number: Email: Type of Business (select from the following options): OCorporation UPartnership ❑Sole Proprietorship DJoint Venture Select from ONE of the following three options below that applies and provide required documentation for verification and certification: U At least 51 % of the business is owned and controlled by low or very low income persons (Refer to Eligibility Guidelines document). o Most Recent Income Tax Return Statement Ll At least 51 % of the business is owned and controlled by current public housing residents or residents who currently live in Section 8-assisted housing. o Letter of verification from the Public Housing Authority ❑ Over 75% of the labor hours performed for the business over the prior three-month period are performed by Section 3 workers (Refer to Eligibility Guidelines document). o Payroll Hours Log for ALL employees for the prior three-month period; and o Payroll Hours Log for the prior three-month period showing at least 75% of total hours were worked by Section 3 or Targeted Section 3 Workers; and o Section 3 or Targeted Section 3 Self -Certifications for all workers included in the 75% claim NOT APPLICABLE 3/29/2023 Exhibit "A" Business Concern Affirmation affirm that the above statements (on the frontside of this form) are true, complete, and correct to the best of my knowledge and belief. I understand that businesses who misrepresent themselves as Section 3 business concerns and report false information to the City of Round Rock may have their contracts terminated as default and be barred from ongoing and future considerations for contracting opportunities. I hereby certify, under penalty of law, that the following information is correct to the best of my knowledge. NOT APPLICABLE Print Name: Scott Williams, usiness Development Manager Signature: ! Date: 3/29/2023 Certrfcation expires within six months of the date of signature Information regarding Section 3 Business Concerns can be found at 24 CFR 75.5 FOR ADMINISTRATIVE USE ONLY Is the business a Section 3 Business Concern based upon their certification and documentation provided? OYES ONO Reviewer Comments: EMPLOYERS MUST RETAIN THIS FORM IN THEIR SECTION 3 COMPUANCE FILE FOR FIVE YEARS. Exhibit "A" City of Round Rock Section 3 Eligibility Guidelines Individual Income Limits FY 2022 Income Limits FY 2022 Income Income Limit Area Category Limits Extremely Low IncomeLimits $23, 200 30% Very Low City of Round Rock Income Limits (50%) $38,650 Low Income Limits $61,800 (80%) *income limits effective June 15, 2022 https://www.hudexchanae.info/programs/home/home-income-limits/ The worker's income must be at or below the amount provided below for an individual (Household of 1) regardless of actual household size. Definitions A "Section 3 Worker" is: o a low or very low-income resident (the worker's income for the previous or annualized calendar year is below the income limit established by HUD); or o employed by a Section 3 business concern; or o a YouthBuild participant. A "Targeted Section 3 Worker" is: o employed by a Section 3 business concern or o currently meets or when hired met at least one of the following categories as documented within the past five years: • living within the service area or neighborhood of the project, as defined in 24 CFR Part 75.5; or • a YouthBuild participant A YouthBuild participant is: o A participant of the YouthBuild Program which is a community -based pre - apprenticeship program that provides job training and education opportunities for at risk youth, ages 16-24, who have previously dropped out of high school. Exhibit "A" Contractor's Guide to Prevailing Wage Requirements illiillt DAVIS-BACON AND LABOR STANDARDS CONTRACTOR GUIDE ADDENDUM Exhibit "A" Table of Contents INTRODUCTION . . . . . . . . . . . 3 BASIC DBA DEFINITIONS . . . . . . . . . . . . . . . . . . . 3 LAWS AND REGULATIONS . . . . . . . . . . . . . . . . . . . 4 CONTRACTOR RESPONSIBILITIES . . . . . . . . . . . . . . . 7 CONTRACT ADMINISTRATOR RESPONSIBILITIES . . . . . . . . 7 WAGE BASICS . . . . . . . . . . . . . . . . . . . . . . . . . 8 REVIEWING PAYROLLS . . . . . . . . . . . . 9 REPORTING PAYROLLS . . . . . . . . . . . . . . . . . . . I I ADDITIONAL WORK CLASSIFICATION AND WAGE RATES . . . . 14 SANCTIONS AND RESTITUTION . . . . . . . . . . . . . . . 17 ? Contraclor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM This Guide has been prepared for you as a contractor performing work on construction projects that are assisted by the Department of Hous ing and Urban Development and subject to Davis -Bacon prevailing wage requirements This Guide does not address contractor requirements involved in direct Federal contracting where HUD or another Federal agency enters into a procurement contract In this laver case, the Fed eral Acquisition Regulations (FAR) are applicable. While the guidance contained in this Guide is generally applicable to any Davis -Bacon cov ered project, specific questions pertaining to direct Federal contracts shoufd be addressed to the Contracting Officer who signed the contract for the Federal agency. Our objective here is to provide you with a guide that is simple and non -bureaucratic yet comprehensive, and will help you better under- stand and comply with Davis -Bacon labor standards HUD's Office of Davis Bacon and Labor Standards worked closely with the Department of Labor's Wage and Hour Division to make sure that the labor stan- dards provisions In your contract and the specifics of complying with them represent the latest information It is the Department of Labor that has general administrative oversight of all Federal contracting agen- cies, such as HUD, which administer the day-to-day responsibilities of enforcing Davis -Bacon provisions in construction contracts that they either fund or assist in funding This Guide contains six main chapters. The first chapter includes the laws and regulations associated with Federal labor standards adminis- tration and enforcement. The second chapter lists the responsibilities of contractors and of state, tribal, and local contracting agencies that administer HUD programs The third chapter lists wage basics, includ- ing wage decisions, wage classifications, and wage rates, to provide background for the rest of the Guide. The fourth chapter discusses re- viewing and reporting payrolls The fifth chapter delves into additional work classifications and wage rates The sixth and final chapter dis- cusses sanctions and restitution For further background. the DBLS Agency Guide may be used as a reference Finally, not all HUD construction projects are covered by Davis Bacon wage rates. For the purpose of this Guide, we are assuming that a deter- mination has already been made that Davis -Bacon wage rates are appli- cable Should you wish assistance in determining whether Davis Bacon wage rates apply to a particular project or if you need other related tech- nical assistance, please consult with the HUD Labor Standards Field staff for your area See Section 3 in the Agency Guide 3 Contractor Guide Addendum Table of Contents Exhibit "A" The Davis -Bacon Act (DBA) The Davis -Bacon Act (DBA) requires the payment of prevailing wage rates (determined by the U.S Department of Labor) to all laborers and mechanics on Federal government and District of Columbia construc- tion projects in excess of $2,000. Construction includes alteration and/ or repair, including painting and decorating, of public buildings or public works Most HUD construction work is not covered by the DBA itself since HUD seldom contracts directly for construction services. Most often, if DB applies to a HUD project is it because of a labor provision contained in one of HUD's'Related Acts' (see 5.9 in the Agency Guide) The Related Acts are ohen referred to as the Davis -Bacon and Related Acts or DBRA The Contract Work Hours and Safety Standards Act (CWHSSA) CWHSSA requires time and one-half pay for overtime (OT) hours (over 40 in any workweek) worked on a covered project. The CWHSSA ap- plies to both direct federal contracts and to federally -assisted contracts where those contracts require or involve the employment of laborers and mechanics and where federal wage standards (e.g, Davls-Bacon or HUD -determined prevailing wage rates) are applicable. CWHSSA provisions apply to all laborers and mechanics, including watchmen and guards, employed by any contractor or subcontractor. CWHSSA also applies to maintenance laborers and mechanics employed by con- tractors or subcontractors engaged in the operation of Public Housing Agencies (PHA), Tribally Designated Housing Entities (TDHE), and Indi- an Housing Agencies (IHA) developments. Exemptions: CWHSSA O/T provisions do not apply where the federal assistance is only in the nature of a loan guarantee or insurance. CWHSSA O/T provisions do not apply to prime contracts of $100,000 or less. The Copeland Act (Anti -Kickback Act) The Copeland Act makes it a Federal crime for anyone to require any laborer or mechanic (employed on a Federal or Federally -assisted proj- ect) to kickback, (i.e , give up or payback) any part of their wages The Copeland Act requires every employer to submit weekly certified payroll reports, and regulates permissible payroll deductions. The Fair Labor Standards Act (FLSA) The FLSA governs matters such as federal minimum wage rates and O/T. These standards are generally applicable to any labor performed and may be pre-empted by other (often more st(ingent) federal stan- dards such as the DBRA prevailing wage requirements and CWHSSA O/T provisions The authority to administer and enforce FLSA provi- sions resides solely with COL Davis -Bacon Regulations DOL has published rules and instructions concerning Davis Bacon and other labor laws in the Code of Federal Regulations (CFR). These reg- ulations can be found in Title 29 CFR Parts 1, 3, 5, 6, and 7 Part 1 ex- plains how DOL establishes and publishes DBA wage determinations (also referred to as wage decisions) and provides instructions on how to use the determinations. Part 3 describes Copeland Act requirements for payroll deductions and the submission of weekly CPRs. Part 5 cov- ers the labor standards provisions that are in contracts relating to Da- vis -Bacon Act wage rates and the responsibilities of contractors and contracting agencies to administer and enforce the provisions Part 6 provides for administrative proceedings enforcing Federal labor stan- dards on construction and service contracts Finally, Part 7 sets param- eters for practice before the Administrative Review Board. These regu- lations are used as the basis for administering and enforcing the laws DOL Regulations are available onlinewww ecfr gov2u_rren[/title 29 4 1 Contractor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM Construction Contract Provisions and Labor Standards Administration Labor standards administration involves the activities that take place primarily before construction begins Administration sets the stage for the compliance activities that occur during the construction phase. The first and sometimes most difficult step Is determining whether and to what extent Davis -Bacon wage standards apply to a particular contract or project The Factors of Labor Standards Applicability (see Appendix II-6) should be helpful. Most HUO-assisted construction work is cov- ered by Davis -Bacon, but there are some exceptions. The best and saf est approach is to first assume that Davis Bacon requirements will be applicable whenever the contract/project involves construction work valued In excess of S2,000, then, look more closely to see if there Is any reason for non -coverage. Each contract subject to Davis -Bacon labor standards requirements must contain labor standards clauses and a Davis -Bacon wage decision. These documents are normally wound into the contract specifications The labor standards clauses The contract for construction is the vehicle to ensure contractor com- pliance and Davis -Bacon wage enforcement. Therefore, the bid speci- ficatlons and/or the contract for each project subject to Davis -Bacon wage rates must contain both a Davis -Bacon wage decision and labor standards clauses The labor standards clauses describe the responsi- bilities of the contractor concerning Davis -Bacon wages and obligate the contractor to comply with the Davis -Bacon wage and reporting requirements and with the O,'T provisions of the CWHSSA (applicable only when the prime contract is valued at over $100,000). The labor standards clauses also provide for remedies in the event of violations, including the withholding of payments due to the contractor to ensure the payment of wages or liquidated damages that may be found due, and sanctions should violations occur. These contract clauses enable the contract administrator to enforce the Federal labor standards ap- plicable to the project HUD has standard forms that contain contract clauses For example, the HUD-92554M, Supplementary Conditions Of The Contract for Construction, which is issued primarily for FHA (Fed- eral Housing Administration) muhtfamlly housing and other construc- tion projects administered by HUD; the HUD 4010, Federal Labor Stan- dards Provisions, which is used for CDBG (Community Development and Block Grant) and HOME (HOME Investment Partnerships Program) projects, and the HUD-5370, General Conditions for Construction Con- tracts (construction contracts >S150,000) or the HUD-5370-EZ, Gener- al Contract Conditions for Small Construction/Development Contracts (construction contracts 42.000 but s$150,000) which are used for Public and Indian Housing projects. These should be wound into the contract specifications or incorporated by specific reference in the bid/ contract documents (see Labor Relations Letter 96-03) 5 1 Contractor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM Davis -Bacon Wage Decisions The term 'wage decision' includes the original decision and any subse- quent decisions that modify, supersede, correct, or otherwise change the provisions of the original decision The term 'wage decision' is used within this Guide to mean the Davis -Bacon wage decision The terms 'wage decision' and 'wage determination' are used interchangeably A wage decision is a schedule of construction work classifications, wage rates, and fringe benefits that represent the minimum rates that must be paid to workers employed in those classifications. wage deci- sions are established for defined geographic areas, usually by county or group of counties, and four general characters of construction work Contractor Guide Addendum Table of Contents Exhibit "A" •� I `army ► RNW " . The principal contractor is responsible for the full compliance of all em- ployers (the contractor, subcontractors, and any lower -tier subcontrac- tors) with the labor standards provisions applicable to the project. Be- cause of the contractual relationship between a prime contractor and their subcontractors, subcontractors generally should communicate with the contract administrator only through the prime contractor (See Contract Administrator Responsibilities, below) The contract administrator is responsible for the proper administration and enforcement of the Federal labor standards provisions on con- tracts covered by Davis -Bacon requirements. This term is used to rep- resent the person (or persons) who will provide labor standards advice and support to contractors and other project principals (e g , owner, sponsor, architect), including providing the proper Davis -Bacon wage decision (see 61. The Wage Decision) and ensuring that the wage de- cision and contract clauses are incorporated into the contract for con- struction. The contract administrator also monitors labor standards compliance (see Section 12, Payroll Compliance Reviews and Correc- tions, in the Agency Guide) by conducting interviews with construction workers at the job site and reviewing payroll reports. and oversees any enforcement actions that may be required The contract administrator could be an employee or agent of HUD, or Of a city or county or public housing agency. For HUD projects admin- istered directly by HUD staff, usually FHA -insured multifamily projects, the contract administrator will be the HUD Labor Standards field staff. But many HUD -assisted projects are administered by local contracting agencies such as PHAs, TOHEs, and States, cities and counties under HUD's CDBG and HOME programs In these cases, the contract administrator will likely be local agency staff. In either case, the guidance for contractors remains essentially the same. DOL also has a role in monitoring Daws-Bacon administration and en- forcement In addition, DOL has independent authority to conduct in- vestigations. A DOL investigator or other DOL representative may visit Davis -Bacon construction sites to interview construction workers or review payroll information. 7 1 Contractor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM The Wage Decision Davis -Bacon labor standards stipulate the wage payment requirements for skilled workers, operators, truck drivers, and laborers —for example carpenters, electricians, plumbers, roofers, rollers, screeds, bulldozers, water wagons, dump trucks, and other construction work classifica- tions that may be needed for the project The Davis -Bacon wage deci- sion that applies to the project contains a schedule of work classifica- tions and wage rates that must be followed. Remember, the wage decision is contained in the contract specifica- tions along with the labor standards clauses. See 512 in the Agency Guide. The work classifications and wage rates A Davis -Bacon wage decision is simply a listing of different work clas- sifications and the minimum wage rates that must be paid to anyone performing work in those classifications You'll want to make sure that the work classifications you need are con- tained in the wage decision, and make certain that you know exactly what wage rate(s) you will need to pay Some wage decisions cover sev- eral counties and/or types of construction work (e g , residential and commercial work) and can be lengthy and difficult to read. The contract administrator (HUD Labor Standards field staff or local agency staff) is available to assist with any trouble reading the wage decision or finding the applicable work classification(s) To make reading lengthy wage decisions easier, a contract administra- tor may prepare a Project Wage Sheet (HUD-4720). This sheet is a one page transcript that will show only the classifications and wage rates for a project A blank copy of a Project Wage Rate Sheet is provided in the Appenda Posting the wage decision, Davis -Bacon poster, and Additional Classifications wages The prime contractor is responsible for posting a copy of the wage de- cision (or the Project Wage Rate Sheet), a copy of the DOL Davis -Bacon poster titled Employee Rights Under the Davis -Bacon Act (Form W H- 1321). and Additional Classifications wages at the job site in a place that is easily accessible to all the construction workers employed on the project and where the wage decision and poster will not be destroyed by wind, rain, etc. The purpose of this posting is to provide information to the construction laborers and mechanics working on the project about their entitlement to the prevailing wage for their trade, and to advise them whom to contact (the contract administrator) if they have any questions or want to file a complaint. 8 Contractor Guide Addendum Table of Contents Exhibit "A" Certified Payroll Reports (CPRs) To demonstrate compliance with labor standards requirements, each employer shall prepare, certify, and submit payroll reports for each week to the sponsor, applicant, or owner for any contract work that is performed See 29 CFR § 5.5(a)(3)(ti) for information on CPRs CPR format Employers on an FHA project are required to use the HUD -authorized Electronic Payroll System (EPS) to submit CPR reports. If an approved electronic payroll reporting system is not being used by the LCA„ the employer must ensure that all information from DOL Payroll Form WH- 347 is included and that the LSS can reasonably interpret it. Form WH- 347 is available online at rcrLr[-dot Qyv/whdliflt7t15[xh3_4ZAd1. Submission requirements Each employer shall submit payroll reports beginning with the first week such employer performs work on the site of the work. Employers shall submit reports promptly following the close of each such pay week. 'No Work' payrolls Employers are not required to submit reports for weeks during which no work was performed at the site of work, provided that the payroll reports are numbered sequentially or that the employer has provided written notice that its work on the project has been suspended Weekly payroll certification Each weekly payroll submitted shall be accompanied by a'Statement of Compliance' that bears the original signature of the owner, executive/ corporate officer, or a designee authorized by the owner or officer The signature must be in ink, pencil is not acceptable. Signature stamps, photocopies, and facsimiles are not acceptable The employer may uti- lize the reverse side of the DOL Payroll Form WH-347 as its Statement of Compliance or another document that contains the same language prescribed on the reverse of the WH 347 False Submissions The falsification of any of the above certifications may subject the em- ployer to civil or criminal prosecution under § 1001 of Title 19 and § 231 of Title 31 of the United States Code (USC). 9 1 Contractor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM Payroll Review and Submission The prime contractor should review each subcontractor's payroll re- ports for compliance prior to submitting the reports to the contract administrator Remember. the prime contractor is responsible for the full compliance of all subcontractors on the contract and will be held accountable for any wage restitution that may be found due to any la- borer or mechanic that is underpaid and for any liquidated damages that may be assessed for 0/T violations All the payroll reports for any project must be submitted to the contract administrator through the prime contractor. An alert prime contractor that reviews subcontractor payroll submis- sions can detect any misunderstandings early, prevent costly under- payments, and protect itself from financial loss should underpayments occur Payroll Retention Every contractor (including every subcontractor) must keep a complete set of their own payrolls and other basic records —such as employee ad. dresses and full SSNs, time cards- tax records, evidence of fringe bene- fit payments —for a Davis -Bacon project for at least three years after the project is completed The prime contractor must keep a complete set of all the payrolls for every contractor (including subcontractors) for at least three years after completion of the project Payroll Inspection In addition to submitting payrolls to the contract administrator, every contractor (including subcontractors) must make their own copy of the payrolls and other basic records available for review or copying to any authorized representative from MUD or DOL. 10 Contractor Guide Addendum Table of Contents Exhibit "A" Completing a Payroll Report Each employer shall maintain payroll records with respect to their own workforce employed at the site of the work. The prime contractor shall maintain such records relative to all laborers and mechanics working at the site of the work during the course of the construction work for at least three years following the completion of the work. Such records shall contain: Project and contractor/subcontractor information Each payroll must identify the contractor or subcontractor's name and address, the project name and number, and the week ending date. Week dates must be indicated in the spaces provided. Numbering payrolls Is optional but strongly recommended. Employee information The name and an individually identifying 4-digit number for each labor- er and mechanic. Employers must always maintain each employee's ad- dress and full Social Security number (SSN) during the construction of the project and for no less than three years following completion This information must be made available to the prime contractor, HUD, and/ or the LCA upon request Employers (prime contractors and subcontractors) must maintain the current address and full SSN for each employee and must provide this information upon request to the contracting agency or other authorized representative responsible for Federal labor standards compliance monitoring. Prime contractors may require a subcontractor to provide this information for the prime contractor's records DOL has modified form WH-347, Payroll, to accommodate these reporting requirements Work classification Each employee must be classified in accordance with the wage deci- sion based on the type of work they perform Apprentices or trainees The first payroll on which any apprentice or trainee appears must be accompanied by a copy of that apprentice's or trainee's registration in a registered or approved program A copy of the portions of the regis- tered or approved program pertaining to the wage rates and ratios shall also accompany the first payroll on which the first apprentice or trainee appears. Split classifications For an employee that worked in a split classification, make a separate entry for each classification of work performed, distributing the hours of work to each classification accordingly, and reflecting the rate of pay and gross earnings for each classification. Deductions and net pay may be based upon the total gross amount earned for all classifications. Hours worked The payroll should show only the regular and O/T hours worked on one particular project The employer must show both the daily and to- tal weekly hours for each employee. If an employee performs work at job sites other than the project for which the payroll is prepared, those 'other job' hours should not be reported on the payroll. In these cases, employers should list the employee's name, classification, hours for this project only, the rate of pay and gross earnings for this project, and the gross earned for all projects. Deductions and net pay may be based upon the employee's total earnings (for all projects) for the week Rate of pay Employers must show the basic hourly rate of pay for each employee for one particular project If the wage decision includes a fringe benefit and the employer does not participate in approved fringe benefit programs, the employer must add the fringe benefit rate to the basic hourly rate of pay, and must list the 0/T rate if C/T hours were worked 11 1 Contractor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM Piece -work For any piece -work employees, the employer must compute an ef- fective hourly rate for each employee each week based upon the em- ployee's piecework earnings for that week. To compute the effective hourly rate, divide the piecework earnings by the total number of hours worked, including consideration for any O/T hours. The effective hourly rate must be reflected on the certified payroll. This hourly rate may be no less than the wage rate (including fringe benefits, if any) on the wage decision for the classification of work performed It does not matter that the effective hourly rate changes from week to week, only that the rate is no less than the rate on the wage decision for the classification of work performed Remember, the O/T rate is computed at one and one half times the ba- sic rate of pay plus any fringe benefits For example, if the wage deci- sion requires S10/hour basic plus $5/hour fringe benefits, the O/T rate would be: ($10 x 1.5) + $5 = $20/hour Gross wages earned Show the gross amount of wages earned for work performed on a par- ticular project Note. Employees with work hours and earnings on other projects may show gross wages for a particular project over gross earn- ings from all projects (e g , $425.40/$764.85) and base deductions and net pay on the *all projects' earnings. Deductions Show the amounts of any deductions from the gross earnings 'Other' deductions should be identified (e.g . Savings Account or Loan Repay- ment) Any voluntary deduction (i.e., not required by law or by an order of a proper authority) must be authorized in writing by the employee or provided for in a collective bargaining (union) agreement. A short note signed by the employee is all that is needed and should accompany the first payroll on which the other deduction appears. The note needs to show the type, amount, and frequency of the deduction. A new deduc- tion authorization is required when any of the aforementioned items change. MORE INFO linty one employee authorization Ir needed for recurring (e n wuekif) 'other deducnun4 Writtar. emplcyeav authorrratlon =s not tegu4red fw inrorrw lox and Sor tal St ^: rtl, dPducNon^ 12 I Contractor Guide Addendum Table of Contents Exhibit "A" Net pay Show the net amount of wages paid Statement of Compliance The Statement of Compliance is the certification. It is located on the reverse side of a standard payroll form (WH-347) Employers must be sure to complete the identifying information at the top, particularly if at- taching the Statement of Compliance to an alternate payroll form such as a computer payroll Also. the employer must check either 4(a) or 4(b) if the wage decision contains a fringe benefit. Checking 4(a) indicates that the employer is paying required fringe benefits to approved plans or programs, and 4(b) indicates that the employer is paying any required fringe benefit amounts directly to the employee by adding the fringe benefit rate to the basic hourly rate of pay If the employer is paying a portion of the required fringe benefit to programs and the balance directly to the employee, the employer must explain those differences in box 4(c) Signature For paper payrolls submitted, the payroll is signed with an original sig- nature in ink. The payroll must be signed by a principal of the firm (owner or officer such as the president, treasurer, or payroll administrator) or by an authorized agent (a person authorized by a principal in writing to sign the payroll reports). Signature authorization (for persons other than a principal) should be submitted with the first payroll signed by such an agent For paper payrolls, signatures in pencil, signature stamps. Xerox copies, POFs, and other facsimiles are not acceptable. E INFO - rnetrt of Compkame is reautreci for each errrIW wcakit pe'reJ tin m4tty how marr. paper drt twoded to is tf tf c employ^a data 13 1 Contractor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM After contract award, if it is determined that additional work classifica- tions are required because the wage decision lacks all the necessary classifications and wage rates, the prime contractor and, if applicable, its subcontractors employing workers in such classifications shall re- quest an additional work classification and propose a wage rate and fringe benefits for such classification on form SF-1444, Request for Authorization of Additional Classification and Rate. The contractor or subcontractor shall make its request for a final decision through the LSS or LCA, as appropriate, to DOL at whd-cbaconform ance-in coming @adot gov. The LSS/LCA shall assist the employer in preparing the request and, if necessary, provide guid- ance on the policies and procedures involved Note. Additional work classifications and wage rates may be requested only after the effective wage decision 'lock -in' date (See DOL Regula- tions at 29 CFR Part 5 § 5.5(a)(1)(ii) ) Additional Work Classification and Wage Rate Parameters Signature Additional work classifications must be signed by DOLS for FHA -in- sured projects managed by HUD and signed by the LCA contracting officer for projects managed by LCAs, then forwarded to DOL with the applicable wage decision where. The requested work classification is used in the area of the project by the construction industry, The work that will be performed by the requested work classification is not performed by a work classification that is already contained within the applicable wage decision. The proposed wage rate for the requested work classification bears a reasonable relationship to the wage rates on the wage decision, and The workers that will be employed in the requested work classification (if it is known who the workers are or will be) or the workers' representa- tives agree with the proposed wage rate. General guide The wage rate and fringe benefits proposed for any classification must be in accordance with the guidance available in All Agency Memoran- dum 213. The proposed wage rate and fringe benefits should bear a reasonable relationship to the entirety of the rates within the relevant category There are four basic categories. skilled crafts, laborers, truck drivers, and power equipment operators Additional classifications pro- posed for power equipment operators must specify the type(s) of pow- er equipment involved. Making the Request Although a request for additional work classification and wage rate may be prompted following an LSS/LCA review, the proposal must originate with the prime contractor/employer that will utilize the work classifica- tion The prime contractor/employer must submit the request in writ- ing. A basic request must identify the contract/project involved, the work classification requested, and the wage rate, including any bona fide fringe benefits proposed. In some cases, it may be necessary for the prime contractor/employer to describe the work that the request- ed work classification would perform The prime contractor/employer should use form SF-1444. Request for Authorization of Additional Clan sification and Rate, to submit the request, 14 1 Contractor Guide Addendum Table of Contents Exhibit "A" LSS/LCA Review of Request The LSS/LCA will review the prime contractor/employer's request to determine if it satisfies the approval criteria at 5.12 19.2. The LSS/LCA will contact the prime contractor/employer if clarification or additional information is needed to complete the review. Signing the request, reporting to DOL If the LSS/LCA review fords that the requested work classifications and wage rate/fringe benefits meet the criteria at 5121.9.2, the LSS/LCA submits the completed SF-1444, related documentation, and the appli- cable wage decision to the DOL National Office for final decision using DOL's dedicated email address. whd•chaconformance Incoming0do_I nqy Disagreement with the request; referring for DOL decision If the LSS/LCA review finds that the requested work classification and wage rate/fringe benefits fails to meet the approval criteria or If the par ties do not agree on the proper classification or wage rate/fringe bene- fits for the work described, the LSS/LCA shall prepare an SF-1444 and a written report explaining the results of the review and any issues in dispute among the parties, and shall forward these along with a copy of the applicable wage decision to the DOL National Office for its decision using the same dedicated DOL email address DOL decision DOL regulations permit 30 days for DOL to respond to the SF-1444. IDOL will notify the LSS/LCA in writing of its decision DOL approval When DOL approves the requested additional work classification and wage rate/fringe benefits, the LSS/LCA shall provide a copy of the DOL notice of approval to the prime contractor/employer with instructions that the additional work classification and wage rate/fringe benefits must be posted on the job site with the wage decision Exhibit "A" CONTRACTOR GUIDE ADDENDUM DOL disapproval When DOL disapproves the requested work classification and wage rate/fringe benefits, DOL will notify the LSSILCA in writing of the rea- sons why the request cannot be approved. DOL may also indicate what work classifications/wage rate/fringe benefits could be approved for the work involved if a modified request is submitted Notification to the prime contractor/employer The LSS/LCA will notify the prime contractor/employer in writing of the results of the LSS/LCA review and/or DOL decision and provide a copy of the DOL notice. Requests for DOL reconsideration The LSS/LCA, the prime contractor/employer. or other interested par- ties may request reconsideration of the DOL decision on a requested additional work classification and wage rate/fringe benefits. Such re- quests must be made in writing accompanied by a full statement of the interested patty's views and any supporting wage data or other perti- nent information. 16 1 Contractor Guide Addendum Table of Contents Exhibit "A" t.VN i MAIL; I UN liUlUt AUUtNUUM SANC:"I IONS AND RESTITUTION Introduction Even in the best of circumstances, things can go wrong. In a Davis-Sa- con context, 'things going wrong' usually means there's a difference of opinion or a dispute about whether and to what extent underpayments have occurred These disputes are usually between the contract ad- ministrator and one or more employers (the prime contractor and/or a subcontractor). The dispute may involve something simple such as an additional classification request that is pending before DOL, or some- thing as significant as investigative findings following a complaint of underpayment This chapter discusses some of the things you might expect, and what you can do to make your views known and to lessen any delays in resolving the problem or issue Administrative Review on Labor Standards Disputes The labor standards clauses in the contract and DOL regulations pro- vide for administrative review of issues where there is a difference of views between the contract administrator and any employer The most common circumstances include Additional classifications and wage rates Additional classification and wage rate requests are sometimes denied by DOL An employer that is dissatisfied with the denial can request re- consideration by the DOL Wage and Hour Administrator The employer may continue to pay the wage rate, as requested, until a final decision is rendered on the matter When the final decision is known, the employer will be required to pay any additional wages that may be necessary to satisfy the wage rate that is established Reconsideration DOL normally identifies the reasons for denial in its response to the re- quest. Any interested person (e g., the contract administrator, employer. or representatives of the employees) may request reconsideration of the decision on the additional classification request. The request for reconsideration must be made in writing and must thor- oughly address the denial reasons identified by DOL Employer requests for reconsideration should be made through the contract administrator but may be made directly to DOL (See DOL Regulations 29 CFR § 1.8 ) All requests initiated by or made through the contract administrator or HUD must be submitted through HQLS (Headquarters Office Davis -Ba- con and Labor Standards) Administrative Review Board Any interested party may request a review of the Administrator's de- cision on reconsideration by DOL's Administrative Review Board DOL regulations 29 CFR Part 1 explain the procedures for such reviews. (See also 29 CFR § 1 9.) Findings of underpayment Compliance reviews and other follow-up enforcement actions may re- sult in findings of underpayment The primary goal in every case and at every step in this process is to reach agreements about who may have been underpaid and how much wage restitution may be due, and to promptly deliver restitution to any underpaid workers The contract administrator will usually work informally with employers to reach such agreements Rulings and interpretations unrelated to findings of underpayment DOL is the authority for rulings and interpretations unrelated to findings of underpayments This includes disputes concerning the prevailing wage rates as determined by DOL. DORA applicability, character of work decisions, and interpretation and application of DOL regulations at 29 CFR Parts 1, 3, and 5 These and other such matters must be referred to the DOL Wage and Hour Administrator for their ruling and/or interpreta- tion per 29 CFR § 5 13 Any request for a ruling or an interpretation from the DOL Administrator via DBLS must be submitted through HQLS with a copy to the local LSS 17 1 Contractor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM Disputes concerning findings of underpayment Underpayments usually occur when a contractor or subcontractor does not properly pay wages according to the approved wage determination and it has been identified as part of a Oavis-Bacon and DBLS enforce- ment action. There may be other situations that also create underpay- ments, and they can originate from the employer, prime contractor, or any other interested party. Any underpayment decision by DBLS will in- clude a formal decision letter with a Notice of Right to Appeal DOL review DOL will review the contract administrator's report and the arguments against the findings presented in the hearing request DOL may affirm or modify the findings based upon the materials presented You will be notified in writing by DOL of the results of its review. If DOL concludes that violations have occurred, you will be given an opportunity to correct any underpayments or to request a hearing before a DOL ALJ (See DOL Regulations 29 CFR § 5.11 (b) and 29 CFR Part 6, Rules of Practice for Administrative Proceedings) Administrative Review Board Contractors and/or subcontractors may request a review by the Admin- istrative Review Board of the decision(s) rendered by the DOL ALJ in the administrative hearing process. See DOL regulations 29 CFR Part 7 for more information about this proceeding. Withholding The contract administrator shall cause the withholding of payments due to the prime contractor to ensure the payment of wages that are believed to be due and unpaid (e g , if wage underpayments or other violations are not corrected within 30 days after written notification to the prime contractor) DOL may also direct the withholding of contract payments for alleged wage underpayments. Withholding is serious and is not taken unless warranted. If withholding is deemed necessary, the contractor will be notified in writing. Only the amounts needed to meet the contractor's (and/or subcontractors') liability shall be withheld. 18 1 Contractor Guide Addendum ?a-,,te of Conan Exhibit "A" Deposits and Escrows In some situations, certain labor standards issues are not or cannot be resolved in time to meet project closeout schedules. In order to per mit a final closing/closeout to proceed while certain labor issues are outstanding, a deposit account (HUD -administered projects, e.g mul tifamrly housing insured and grant programs) or an escrow account (LCA-administered projects, e.g, CDBG, HOME, HOPE VI (Housing Op- portunities for People Everywhere)) may be established as a guarantee to ensure the payment of any wages that have been or may be found due to workers that were employed in the construction of the project Deposit and escrow accounts may also hold fringe benefits payments that are due to plans or programs and/or liquidated damages that are assessed for violations of CWHSSA O/T provisions The deposit or es- crow account is controlled by the contract administrator. When a final decision is rendered, the contract administrator makes disbursements from the account in accordance with the decision. Deposit/escrow ac- counts are established for one or more of the following reasons. MORE INFO fh-n.,-a •• 11,:. pr,me . irltfantor re tr,etisibie ;,r.r; wdl be tit Is Le►ie fi r ry w-rNe r,Iloill rc.o 1c. our !G ..n. ur,l-+ . PIOYN 11 t,. r411stfur Its., . ( It rc ( r l rGarJ . r61t" rmcdsier! r'.ub<t:.It4-tu,r, onr, -t rf ir:rifr,.,;ij..,W - :41 "^ Re.r c?I. Sr �U�.. Cf thr- P^^c-pnl f.b it U�.•c::, -" l: 1. 4e.•1,tut.-tir, i�y i,,,, fa.♦.+yrm.e. vl ' >:.:rq ut J-,v Aq: rrc. , 1" Where the parties have agreed to amounts of wage resti- tution that are due, but the employer hasn't furnished ev- idence yet that all the underpaid workers have received their back wages (e.g., unfound workers) The amount of the deposit is equal to the total gross amount of resti- tution due to workers lacking payment evidence As these workers are paid and proper documentation is provided to the contract administra- tor. amounts corresponding to the documented payments are returned to the depositor. Amounts for any workers who cannot be located are held in the deposit/escrow account for three years and disposed as de- scribed in Section 11 4 1 of this Guide, Sometimes, wage restitution cannot be paid to an affected employee because, for example, the employee has moved and cannot be located. After wage restitution has been paid to all the workers who could be located, the employer must submit a list of any workers who could not be found and paid (unfound workers) See 12.4.6 in the Agency Guide for more information. Where underpayments are suspected or alleged and an Investigation has not yet been completed The deposit is equal to the amount of wage restitution and any liquidat- ed damages, if applicable, that are estimated to be due If the final de- termination of wages due is less than the amount estimated and placed in the escrow account, the escrow will be reduced to the final amount and the difference will be returned to the depositor. If the parties agree to the investigative findings, the amounts due to the workers will be paid by the employer. As these workers are paid and proper 19 Contractor Guide Addendum Table of Contents CONTRACTOR GUIDE ADDENDUM documentation is provided to the contract administrator the gross amounts corresponding to the documented payments are returned to the depositor, If the employer Is unable to make the payments to the workers (e g , lacks the funds necessary), the contract administrator may make dis- bursements directly to the workers in the net amounts calculated by the employer. The amounts withheld from the workers for tax deduction will be returned to the employer as payments to workers are made The employer shall be responsible for reporting and transmitting withhold- ings to the appropriate agencies If the employer is not cooperating in the resolution, the contract admin- istrator shall make disbursements to the workers in accordance with the schedule of wages due. Amounts for unfound workers will be re- tained as described In Section 13.4 6 in the Agency Guide If the parties do not agree and an administrative hearing is requested, the escrow will be maintained. MORE INFO Rr*mtmr..?r If /-'U h;r-,,� a,y U,�-..' ,i ,..r '0- C,'rn�`,g feast• f*andarrt` iN���i ar.i° ,i' = ,1. , _ w r. >; c-. �>;,. ...`tact ttia n�era,• e2^m.r,r aru• ,,:"rhrHU,:[_„iyj„ro, wl,,.J,•r-i- ,'i ,<r�rIF. Where the parties are waiting for the outcome of an ad- ministrative hearing that has been or will be requested contesting a final determination of wages due The deposit shall be equal to the amount of wage restitution and liqui- dated damages, if applicable, that have been determined due. Once a final decision is rendered, disbursements from the escrow account are made in accordance with the decision Administrative Sanctions Contractors and/or subcontractors that violate the labor standards provisions may face administrative sanctions imposed by HUD and/or DOL. DOL debarment Contractors and/or subcontractors that are found by the Secretary of Labor to be in aggravated or willful violation of the labor standards pro- visions of the DBRA will be ineligible (debarred) to participate in any DBRA or Davis -Bacon Act contracts for up to three years. Debarment in- cludes the contractor or subcontractor and any firm, corporation, part nership, or association in which the contractor or subcontractor has a substantial interest Debarment proceedings can be recommended by the contract administrator or initiated by DOL. Debarment proceedings are described in DOL regulations 29 CFR § 5.12, HUD sanctions HUD sanctions may include Limited Denials of Participation (LDPs), de- barments, and suspensions. 20 1 Contractor Guide Addendum Table of Contents Exhibit "A" CONTRACTOR GUIDE ADDENDUM Umited Denial of Participation HUD may Issue to the employer an LDP, which prohibits the employer from further participation in HUD programs for a period of up to one year. The LDP is usually effective for the HUD program in which the violation occurred and for the geographic jurisdiction of the issuing HUD Office HUD regulations concerning LDPs are found at 24 CFR §§ 24 700-24 714 Debarment and suspensions In certain circumstances. HUD may initiate its own debarment or sus pension proceedings against a contractor and/of subcontractor in connection with improper actions regarding Davis Bacon obligations For example, HUD may initiate debarment where a contractor has been convicted for making false statements (such as false statements on certified payrolls or other prevailing wage certifications), or initiate sus pension where a contractor has been indicted for making false state- ments. HUD regulations conceming debarment and suspension are found at 24 CFR Part 24 Falsification of Certified Payroll Reports Cases that involve certified payroll falsification may be referred to DOL for its investigation at the outset or referred to DOL for administrative review/hearings or other sanctions All referrals suggesting consideration for criminal prosecution must be submitted through the established hierarchy: States may submit any such recommendation to DOL directly. 21 1 Contractor Guide Addendum Table of Contents Exhibit "A" Applicable Dept. of Labor General Wage Decision Exhibit "A" CDBG Bus Shelters Project February 6, 2923 "General Decision Number: TX20239997 01/9612023 Superseded General Decision Number: TX20229997 State: Texas Construction Types: Heavy and Highway Counties: Atascosa, Bandera, Bastrop, BeLL, Bexar, Brazos, Burleson, CQLdweLL, ComoL, CoryeLL, Guadalupe, Hays, KendaLL, Lampasas, McLennan, Medina, Robertson, Travis, Williamson and Wilson Counties in Texas. HEAVY (excluding tunnels and dams, not to be used for work on Sewage or Water Treatment Plants or Lift / Pump Stations in BeLL, CoryeLL, McCLennon and WiLliamson Counties) and HIGHWAY Construction Projects Note: Contracts subject to the Davis -Bacon Act are generally required to pay at Least the appLicabLe minimum wage rate required under Executive Order 14926 or Executive Order 13658. Please note that these Executive Orders apply to covered contracts entered into by the federal government that are subject to the Davis -Bacon Act itself, but do not apply to contracts subject onLy to the Davis -Bacon Related Acts, including those set forth at 29 CFR 5.1(a)(2)-(60). IIf the contract is entered Executive Order 14926 f linto on or after January 39, / generaLLy applies to the 12822, or the contract is f contract. (renewed or extended (e.g., an /. The contractor must pay /option is exercised) on or / aLL covered workers at lafter January 39, 2922: / Least $16.29 per hour (or the appLicabLe wage rate f / Listed on this wage determination, if it is higher) for aLL hours spent performing on the contract in 2923. f Ilf the contract was awarded onl. Executive Order 13658 Exhibit "A" for between January 1, 2015 and/ lianuary 29, 2922, and the / /contract is not renewed or /. (extended on or after January l 130, 2922: / 1 1 generaLLy applies to the / contract. / The contractor must pay aLL/ covered workers at Least / $12.15 per hour (or the / appLlcabLe wage rate Listed/ on this wage determination,/ if it is higher) for aLL / hours spent performing on / that contract in 2023. / / The appLlcabLe Executive Order minimum wage rate wlLL be adjusted annuaLLy. If this contract is covered by one of the Executive Orders and a cLassification considered necessary for performance of work on the contract does not appear on this wage determination, the contractor must stiLL submit a conformance request. AdditionaL information on contractor requirements and worker protections under the Executive Orders is avaiLabLe at http://www.doL.govlwhdlgovcontracts. Modification Number Publication Date 9 0119612023 SUTX2011-906 0810312011 Rates CEMENT MASON/CONCRETE FINISHER (Paving and Structures) ......................$ 12.56 ** ELECTRICIAN ......................$ 26.35 FORM BUILDER/FORM SETTER Paving & Curb ...............$ 12.94 ** Structures ..................$ 12.87 ** LABORER Asphalt Raker ...............$ 12.12 ** FLagger.....................$ 9.45 ** Laborer, Common .............$ 19.50 ** Laborer, Utility ............ $ 12.27 ** Fringes Exhibit "A" PlpeLayer...................$ 12.79 ** Work Zone Barricade Servicer....................$ 11.85 ** PAINTER (Structures) .............$ 18.34 POWER EQUIPMENT OPERATOR: AgricuLturaL Tractor ........ $ 12.69 ** Asphalt Distributor ......... $ 15.55 ** Asphalt Paving Machine ...... $ 14.36 ** Boom Truck ..................$ 18.36 Broom or Sweeper ............ $ 11.94 ** Concrete Pavement Finishing Machine ........... $ 15.48 ** Crane, HydrauLic 89 tons or Less .....................$ 18.36 Crane, Lattice Boom 89 tons or Less ................$ 15.87 ** Crane, Lattice Boom over 89 tons .....................$ 19.38 Crawler Tractor .............$ 15.67 ** DirectionaL DriLLing Locator .....................$ 11.67 ** DirectionaL DriLLing Operator ....................$ 17.24 Excavator 50,009 Lbs or Less........................$ 12.88 ** Excavator over 50,090 Lbs... $ 17.71 Foundation DriLL, Truck Mounted .....................$ 16.93 Front End Loader, 3 CY or Less ........................$ 13.04 ** Front End Loader, Over 3 CY.$ 13.21 ** loader/Backhoe..............$ 14.12 ** Mechanic ....................$ 17.10 MiLLIng Machine .............$ 14.18 ** Motor Grader, Fine Grade .... $ 18.51 Motor Grader, Rough ......... $ 14.63 ** Pavement Marking Machine .... $ 19.17 RecLaimer/PuLverizer........ $ 12.88 ** RoLLer, Asphalt .............$ 12.78 ** RoLLer, Other ...............$ 10.50 ** Scraper .....................$ 12.27 ** Spreader Box ................$ 14.04 ** Trenching Machine, Heavy .... $ 18.48 Exhibit "A" Servicer .........................$ 14.51 ** Steel Worker Reinforcing .................$ 14.00 ** Structural ..................$ 19.29 TRAFFIC SIGNALIZATION: Traffic SignaL InstaLLation Traffic SignaL/Light Pole Worker ......................$ 16.00 ** TRUCK DRIVER Lowboy-FLoat................$ 15.66 ** Off Road HauLer.............$ 11.88 ** Single AxLe.................$ 11.79 ** Single or Tandem AxLe Dump Truck .......................$ 11.68 ** Tandem AxLe Tractor w/Semi Trailer .....................$ 12.81 ** WELDER ...........................$ 15.97 ** WELDERS - Receive rate prescribed for craft performing operation to which welding is incidentaL. ** Workers in this classification may be entltLed to a higher minimum wage under Executive Order 14026 ($16.29) or 13658 ($12.15). Please see the Note at the top of the wage determination for more information. Note: Executive Order (ED) 13796, Establishing Paid Sick Leave for FederaL Contractors applies to aLL contracts subject to the Davis -Bacon Act for which the contract is awarded (and any soLicitation was issued) on or after January 1, 2017. If this contract is covered by the ED, the contractor must provide employees with 1 hour of paid sick Leave for every 39 hours they work, up to 56 hours of paid sick Leave each year. EmpLoyees must be permitted to use paid sick Leave for their own iLLness, injury or other health -related needs, including preventive care; to assist a famiLy member (or person who is Like famiLy to the employee) who is iLL, injured, or has other health -related needs, including preventive care; or for reasons resulting from, or to assist a famiLy member (or person who is Exhibit "A" Like family to the employee) who is a victim of, domestic vioLence, sexuaL assault, or stalking. Additional information on contractor requirements and worker protections under the EO is oval LabLe at https:llwww.doL.govlagencieslwhd/government-contracts. UnLlsted cLassifications needed for work not included within the scope of the cLassifications Listed may be added after award only as provided in the Labor standards contract clauses (29CFR 5.5 (a) (1) (ii)). The body of each wage determination Lists the classification and wage rates that have been found to be prevaiLing for the cited type(s) of construction in the area covered by the wage determination. The cLassifications are Listed in aLphabeticaL order of ""identifiers"" that indicate whether the particular rate is a union rate (current union negotiated rate for Local), a survey rate (weighted average rate) or a union average rate (weighted union average rate). Union Rate Identifiers A four Letter classification abbreviation identifier enclosed in dotted Lines beginning with characters other than ""SU"" or ""UA M"" denotes that the union classification and rate were prevaiLing for that classification in the survey. ExampLe: PLUM9198-995 9710112014. PLUM is on abbreviation identifier of the union which prevailed in the survey for this classification, which in this example would be PLumbers. 9198 indicates the LocaL union number or district counclL number where appLlcabLe, i.e., PLumbers LocaL 0198. The next number, 995 in the example, is an internal number used in processing the wage determination. 0710112014 is the effective date of the most current negotiated rate, which in this example is JuLy 1, 2914. Union prevaiLing wage rates are updated to reflect aLL rate changes in the coLLective bargaining agreement (CBA) governing this cLossifi.cation and rate. Survey Rate Identifiers Exhibit "A" CLassifications Listed under the ""SU"" identifier indicate that no one rate prevaiLed for this classification in the survey and the published rate is derived by computing a weighted average rate based on aLL the rates reported in the survey for that classification. As this weighted average rate includes aLL rates reported in the survey, it may include both union and non -union rates. Example: SULA2912-997 511312014. SU indicates the rates are survey rates based on a weighted average caLcuLation of rates and are not majority rates. LA indicates the State of Louisiana. 2012 is the year of survey on which these classifications and rates are based. The next number, 997 in the example, is an internaL number used in producing the wage determination. 511312014 indicates the survey completion date for the cLassifications and rates under that identifier. Survey wage rates are not updated and remain in effect untiL a new survey is conducted. Union Average Rate Identifiers CLassificati.on(s) Listed under the UAVG identifier indicate that no single majority rate prevaiLed for those cLassifications; however, 109% of the data reported for the cLassifications was union data. EXAMPLE: UAVG-OH-0910 0812912014. UAVG indicates that the rate is a weighted union average rate. OH indicates the state. The next number, 9019 in the example, is an internal number used in producing the wage determination. 9812912014 indicates the survey completion date for the cLassifications and rates under that identifier. A UAVG rate wiLL be updated once a year, usuaLLy in January of each year, to reflect a weighted average of the current negotiated/CBA rate of the union Locals from which the rate is based. WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initiaL decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination Exhibit "A" * a Wage and Hour Division Letter setting forth a position on a wage determination matter * a conformance (additionaL cLassification and rate) ruLing On survey related matters, initiaL contact, including requests for summaries of surveys, should be with the Wage and Hour National Office because NationaL Office has responsibility for the Davis -Bacon survey program. If the response from this initiaL contact is not satisfactory, then the process described in 2.) and 3.) shouLd be foLLowed. With regard to any other matter not yet ripe for the formal process described here, initiaL contact shouLd be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 209 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 289 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a fuLL statement of the interested party's position and by any information (wage payment data, project description, area practice materlaL, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeoL directly to the Administrative Review Board (formerly the Wage AppeaLs Board). Write to: Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) ALL decisions by the Administrative Review Board are final. Exhibit "A" END OF GENERAL DECISIO" Exhibit "A" HUD Form 4230A Report Additional Classification Rate Exhibit "A" U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT HUD FORM 4230A REPORT OF ADDITIONAL CLASSIFICATION AND RATE OMB Approval Number 2501-0011 (Exp. WU2022) 1. FROM (name and address of requesting agency) 2. PROJECT NAME AND NUMBER 3. LOCATION OF PROJECT (City, County and State) 4. BRIEF DESCRIPTION OF PROJECT 5. CHARACTER OF CONSTRUCTION ❑ Building ❑ Residential ❑ Heavy ❑ Other (specify) ❑ Highway 8. WAGE DECISION NO. (include modification number, if any) DATE of WAGE DECISION: 7. WAGE DECISION EFFECTIVE DATE (LOCKdN): ❑ COPY ATTACHED 8. WORK CLASSIFICATION(S) HOURLY WAGE RATES BASIC WAGE FRINGE BENEFIT(S) (if any) 9. PRIME CONTRACTOR (name, address) 9a. 10. SUBCONTRACTOR/EMPLOYER, IF APPLICABLE (name, address) ❑ Agree ❑ Disagree 9b. SIGNATURE DATE Check All That Applyd ❑ The work to be performed by the additional classification(s) is not performed by a classification in the applicable wage decision. ❑ The proposed classification is utilized in the area by the construction industry. ❑ The proposed wage rate(s), including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage decision. ❑ The interested parties, including the employees or their authorized representatives, agree on the classifications) and wage rate(s). ❑ Supporting documentation attached, including applicable wage decision. I Check One: ❑ Approved, meets all criteria. DOL confirmation requested. ❑ One or more classifications fail to meet all criteria. DOL decision requested. FOR HUD USE ONLY LR2000: Agency Representative Date (Typed name and signature) Log in: Log out: Phone Number HUD-4230A (8-19) PREVIOUS EDITION IS OBSOLETE U.S. Department of Labor PAYROLL Wage and Hour Division (For Contractors Optional Use; See Instructions at www.dol.govtwhdtforms/wh3471nstr.htm) Persons are not required to respond to the collection of information unless it displays a currently valid OMB control number. ;Mn1A U.S. W2ge and Hour Dnwon Rev. Dec. 2008 NAME OF CONTRACTOR OR SUBCONTRACTOR ADDRESS OMB No.:1235-0008 Expires: 07/31/2024 PAYROLL NO. FOR WEEK ENDING PROJECT AND LOCATION PROJECT OR CONTRACT NO. (1) NAME AND INDIVIDUAL IDENTIFYING NUMBER (e.g., LAST FOUR DIGITS OF SOCIAL SECURITY NUMBER OF WORKER (2) u� 00 d � O r g 3w� (3) WORK CLASSIFICATION (4) DAY ANO DATE (5) TOTALI HOURSI I (6) RATE OF PAY (7) GROSS AMOUNT EARNED DEDUCTIONS (9) NET WAGES PAID FOR WEEK O o FICA WITH- HOLDING TAX OTHER TOTAL DEDUCTIONS HOURS WORKED EACH DAY O S O 5 O s O s O s O s O s O s wmle wmpretwn or . ohm wH-34 i is optional. t is mandatory for covered contractors and subcontractors performing work on Federally financed or assisted construction contracts to respond to the Infonnabon oollectlon contained In 29 C.F.R. % 3.3, 5.5(a). The Copeland Act (40 U.S.C. 6 3145 f wneectors and W K:onVactwa performing work on Federally financed m assisted construction contracts to'fumish weekly a statement with respect to the wages paid each employee during the preceding week.' U.S. Department of Labor (DOL) regulations at 29 C.F.R. 4 5.Na1j3XAi require correctors to wbmt weedy a copy of as payrolls to the Federal agency contracting for or financing the construction Fimied. accompanied by a signed "Statement of Compliance' indicating that the payrolls are correct and complete and that each laborer of mechanic has been paid rot toss than trw proper Davis -Sawn prevewng wage rate for the work performed. DOL and federal contracting agencies receiving this Information review the information to determine that employees have received legally required wages and fringe benefits. Public Burden Statement We rsnmate -oat , wA rake an avrrhage. d 55 mwrtee !o complete this collection. Including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of Information. If you have any corrmerK •erfarding rheee est,mates or any other aspect of this collection, including suggestions for reducing this burden, sand them to the Administrator, Wage and Hour Division, U.S. Department of Labor, Room S3502. 200 Constitution Avenue. N.W. Washington, D.C. 20210 (over) Date (Name of Signatory Party) (Title) do hereby state: (1) That I pay or supervise the payment of the persons employed by on the (Contractor or Subcontractor) that during the payroll period commencing on the (Building or Work) day of , and ending the day of all persons employed on said project have been paid the full weekly wages earned, that no rebates have been or will be made either directly or indirectly to or on behalf of said from the full (Contractor or Subcontractor) weekly wages earned by any person and that no deductions have been made either directly or indirectly from the full wages earned by any person, other than permissible deductions as defined in Regulations, Part 3 (29 C.F.R. Subtitle A), issued by the Secretary of Labor under the Copeland Act, as amended (48 Stat. 948, 63 Stat. 108, 72 Stat. 967; 76 Stat. 357, 40 U.S.C. § 3145), and described below: (2) That any payrolls otherwise under this contract required to be submitted for the above period are correct and complete; that the wage rates for laborers or mechanics contained therein are not less than the applicable wage rates contained in any wage determination incorporated into the contract. that the classifications set forth therein for each laborer or mechanic conform with the work he performed. (3) That any apprentices employed In the above period are duly registered in a bona fide apprenticeship program registered with a State apprenticeship agency recognized by the Bureau of Apprenticeship and Training, United States Department of Labor, or if no such recognized agency exists in a State, are registered with the Bureau of Apprenticeship and Training, United States Department of Labor. (4) That: (a) WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS, OR PROGRAMS ❑ — in addition to the basic hourly wage rates paid to each laborer or mechanic listed in the above referenced payroll, payments of fringe benefits as listed in the contract have been or will be made to appropriate programs for the benefit of such employees, except as noted in section 4(c) below. (b) WHERE FRINGE BENEFITS ARE PAID IN CASH ❑ — Each laborer or mechanic listed in the above referenced payroll has been paid, as indicated on the payroll, an amount not less than the sum of the applicable basic hourly wage rate plus the amount of the required fringe benefits as listed in the contract, except as noted in section 4(c) below. (c) EXCEPTIONS EXCEPTION (CRAFT) EXPLANATION REMARKS' SAMPLE REPORT PAYROLL (For Contractors Optional Use, See Instruction. Form WH-3471ns1.) NAME OF CONTRACTOR x OR SUBCONTRACTOR H ADDRESS ACES CONSTRUCTION COMPANY, INC. (1) 1776 America Street; Anytown. Montana 596G4 PAYROLL NO FOR WEEK ENDING PROJECT AND LOCATION PROJECT OR CONTRACT NO. 01 (Show k and FINAL at end) July 4, 1903 Happy Valley Manor-Anylown. MT 59604 101J5075-PM-WAH-18 O y1 ti 141 DAY AND DATE (51 16) (7) (a) fat fit w bit (3) DEDUCTIONS NET WAGES S M T W TH F S NAME, ADDRESS. AND - O pp �' WORK O TOTAL RATE GROSS PAID FOR 28129113011 2 3 4 YnTH _ . SOCIAL SECURITY NUMBER O Y i = CLASSIFICATION O OF PAY AMOUNT FICA HOLOWO STATE VAC TOTA WEEK HOURS OF EMPLOYEE F K HOURS WORKED EACH DAY EARNED TAIL W t H FUND OTHER DEDUCTIONS ; w John Doe 521-44-7086 Foreman " A working foremen rs one who, in addition to his supeMwry du Yes - M least 20% - oerforms the 1974 Clark Ave. Carpenter " 0 2 2 1 1 6 1 10.95 of a laborer or mechanic during a wbsMlllial pan o1 his wodi week. (2) 1 S 8 8 8 8 8 40 7.30 357.70 15.18 53.60 8.00 10.00 86.78 270.92 Downtown, MT 59624 Dick Brown 644-43-7806 Box CU. y Ct 245 Backhoe Ins. (3) 2 S 8 8 8 8 8 40 6.00 Anylown, MT 59801 Operator 240,00 10.00 45.CO 5.00 5.00 65.00 175.00 John Doe 501-44-7086 10 cu. yd. (WORKING ON MORE THAN ONE JOB: ONE JOB IS AN FHA PROJECT. STATE'Circled noun this piled-) Anywhere St. Truck Driver O 116.10 (4) Downtown, MT 59624 0 6 8 18 6.45 S 8 2 J�FRINGE 8 22 239.30 10.59 48.00 7.00 65,59 173,71 BJI Thomas 515-39-1005 Cement O BENEFITS) 1050 Ctearbridge St. /Somewhere. MT 59011 1 Mason A( S8 8 8 32 6.56 209.92 - Fringe ene6ts Pa,d m Cash (5)R John Johnson 505-43-5478 Cement O \ 515 Broadway 2 Mason \Anytown, MT 59601 S 8 8 8 8 32 5.90 188.80 - Fringe Benefits Paid Into an Approved Fund orPlan Tom Tompson 505-43-5470 Box (DUAL CLASSIFICATION. Worker must be entered on payroll Mice and sign by the lower 1010 2 Laborer 0 rate or pay received.) X Helklujah, MT 59903 S 4 7 8 19 4.95 94,05 (6 Tom Tompson 505-43-5478 Box Cement 1010 Mason O 123.90 Hallelu)ah, MT 59903 S 4 1 8 8 21 5.90 217.95 10.80 15.90 5,80 10.00 42.50 175AS Harry Jamison 555-44.3372 (Owner) Box 333 O (WORKING OWNER' Must show the daily and total hours worked on the site.) (7) Tile Friendly, MT 59526 Setter S 8 8 6 8 8 1 1 40 Joe Smith S27-38-7537 Apprentice (APPRENTICES. Apprenticeship Certificate Showing Dept of Labor Certification Must Be 730 - 3rd Street 01st Carpenter Submitted With the First P roll The A nlice A ars On.Anytown, +10 8 8 MT 59601 Step - 55% 8 8 32 4.02 128.64 5.00 1 8.00 2. 15.00 113.64 "ALL DEDUCTIONS UNDER -OTHER' SUCH AS PURCHASES, ADVANCES. BONDS, ETC. MUST BE IDENTIFIED AND SUPPORTED BY A SIGNED STATEMENT FROM THE EMPLOYEE AUTHOAWNG SUCH DEDUCTIONS WITH THE TOTAL AMOUNT AND REPAYMENT AMOUNT. Community Development Black Grant (COBG) Program COBG Administration Manual SAMPLE REPORT In addition to the basic hourly wage rates paid to each laborer or mechanic Date listed in the above referenced payroll, payments of fringe benefits as fisted in the contract have been or wtp be made to appropriate programs for the I, _ Samantha Sammons Bookkeeper do hereby state benefit of such employees, except as noted In Section 4(C) below. IN— of signatory party) (Tine) (1) That 1 pay or supervise the payment of the persons employed by Ace Construction Company on the Happy Valley Maxtor (Contraclp or Subconn tor) (Building of work) 101-3$075 . That during the payroll period commencing on the 28th day of June . 19 83 and ending the 411, day of July 19 83 all persons employed on sad protect have been paid the full weekly wages eamed, that no rebates have been or will be made either directly or Indirectly to or on behalf of said Ace Construction Company from the full weekly wages earned by any person and that (Conlraaor or Sumonuacfor) no deductions have been made either dwectly or indirectly from the full wages earned by any person, other than permissible deductions as defined in Regulations, Part 3 (29 CFR Subtitle A), Issued by the Secretary of Labor under the Copeland Act as amended (48 Slat. 948. 63 Swat 108, 72 Stal, 967, 76 Slat. 357; 40 U.S.C. 276c), and described below FICA. Federal, and State Other. Varallon antl Insurance BE SURE TO INCLUDE EXPLANATION AND SIGNED STATEMENT FOR ALL "OTHER" DEDUCTIONS (2) That any payrolls otherwise under this contract required to be submitted for the above period are correct and complete, that the wage rates for laborers or mechanics contained therein are not less than the applicable wage rates contained in any wage determination Incorporated into the contract. that the classifications set forth therein for each laborer or mechanic Conform with the worts he perlormed. (3) That any apprentices employed in the above period are duty rnglstered in a bona fide apprenticeship program registered with a State apprenticeship agency recognized by the Bureau of Apprenticeship and Training, United States Department of Labor, or it no such recognized agency exists in a Slate, are registered with the Bureau of Apprenticeship and Training, United States Department of Labor. (4) That (b) WHERE FRINGE BENEFITS ARE PAID IN CASH (Bill Thomas) Each laborer or mechanic listed in the above referenced payroll has been paid, as indicated on the payroll, an amount not less than the sum of the applicable basic hourly wage rate plus the amount of the required Mrge benefits as listed in the contract, except as rated in Section 4(c) below. (c) EXCEPTIONS EXCEPTION CRAFT EXPLANATION Exceptions must be approved Use this spew for any special Send copy of plan, or unusual ctrcumstances w4hich affects wages or employees. Remarlrs Additional space which can be used for explanations NON -COVERED JOB CLASSIFICATIONS Workers performing the following classifications are not subject to the prevailing wage requirements - Project Superintendent, Project Engineer, Supervisory Foreman, Watchman. Watetboy, Messenger, and Clerical workers such as timekeepers payroll clerics. and bookkeepers. NAME AND TITLE SIGNATURE Samantha Simmons Bookkeeper "' THE WILLFUL FALSIFICATION OF ANY OF THE ABOVE STATEMENTS MAY SUBJECT THE CONTRACTOR OR SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION. SEE SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE 31 OF THE UNITED STATES CODE. John Johnson) (a) WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS, — AN AUTHOR17ATION FORM OR LETTER MUST HE SUBMITTED FOR ANYONE OR PROGRAMS SIGNING PAYROLLS OTHER THAN AN OFFICER OF THE COMPANY. Community Development Block Grant (CDBG) Program COBG Administration Manual Exhibit "A" Record of Employee U.S. Department of Housing i OMB Approval No. 2501-0009 and Urban Development i (exp. 12/31/2024) Interview Instructionsi Office of Davis -Bacon and Labor Standards Instructions General: This form is to be used by HUD and local agency staff for recording information gathered during on -site interviews with laborers and mechanics employed on projects subject to Federal prevailing wage requirements. Typically, the staff that will conduct on -site interviews and use this form are HUD staff and fee construction inspectors, HUD Labor Standards staff, and local agency labor standards contract monitors. Information recorded on the form HUD-11 is evaluated for general compliance and compared to certified payroll reports submitted by the respective employer. The comparison tests the veracity of the payroll reports and may be critical to the successful conclusion of enforcement actions in the event of labor standards violations. The thoroughness and accuracy of the information gathered during interviews is crucial. Note that the interview itself and the information collected on the form HUD-11 are considered confidential. Interviews should be conducted individually and privately. All laborers and mechanics employed on the job site must be made available for interview at the interviewers request. The employee's participation, however, is voluntary. Interviews shall be conducted in a manner and place that are conducive to the purposes of the interview and that cause the least inconvenience to the employer(s) and the employee(s). Completing the form HUD-11 Items 1 a - 1 c: Self-explanatory Items 2a — 2d: Enter the employee's full name, a telephone number where the employee can be reached, and the employee's home address. Many construction workers use a temporary address in the locality of the project and have a more permanent address elsewhere from which mail may be forwarded to them. Obtain a more permanent address, if available. Ask the employee for a form of identification (e.g., driver's license) to verify their name. Items 3a — 4c: Enter the employee's responses. Ask the employee whether they have a pay stub with them; if so, determine whether the pay stub is consistent with the information provided by the employee. Items 5 — 7: Be certain that the employee's responses are specific. For example, job classification (#5) must identify the trade involved (e.g., Carpenter, Electrician, Plumber) — responses such as "journeyman" or "mechanic" are not helpful for our purposes. Items 8 — 12b Self-explanatory Items 13 — 15c: These items represent some of the most important information that can be gathered while conducting on -site interviews. Please be specific about the duties you observed the employee performing. It may be easiest to make these observations before initiating the interview. Please record any comments or remarks that may be helpful. For example, if the employee interviewed was working with a crew, how many workers were in the crew? Was the employee evasive? The level of specificity that is warranted is directly related to the extent to which interview(s) or other observations indicate that there may be violations present. If interviews indicate that there may be underpayments involving a particular trade(s), the interviewer is encouraged to interview as many workers in that trade(s) that are available. Items 16 — 17b: The information on the form HUD-11 may be reviewed for general compliance, initially. For example, are the job classification and wage rate stated by the employee compatible with the classifications and wage rates on the applicable wage decision? Are the duties observed by the interviewer consistent with the job classification? Item 18: Please place here any additional information you may want to document or continuing intonation from other lines that do not fit in their block space. Once the corresponding certified payroll reports are received, the information on the HUD-11 shall be compared to the payroll reports. Any discrepancies noted between the HUD-11 information and that on the payroll report shall be noted in Item 16, Remarks. If discrepancies are noted, follow-up actions to resolve the discrepancies must be taken. -- ---- -- ---- .... j Previous ons are o orate --- —�.— orm .I1 osr Exhibit "A" Record of Employee U.S. Department of Housing and Urban Development Interview Office of Davis -Bacon and Labor Standards OMB Approval No. 2501-00( (exp. 12/31 /202 The pudic reporting burden estimate for this collection of information is 15 minutes per response on average. This includes reviewing instructions, searching existing data sources, gathering, and maintaining the data, and completing the collection of information. This information may not be collected, nor are you required to provide, the information requested unless displays a currently valid OMB control number. The information collected ensures compliance with the Federal labor standards through recording interviews with construction workers. The information collected assists HUD in compliance monitoring of Federal labor standards. Any information collected is covered by the Privacy Act of 1974 and by 29 CFR 5.6(a)(5). Individw and agencies collecting this information must maintain these records in a manner that protects the individuals on whom the information is maintained. The information collected herein is voluntary, and any information provided shall be kept confidential, but failure to provide the information collected may delay enforcement of any possible Federal labor standards violations the information would have identified any. Comments concerning this burden statement, or this collection should be sent to: National Director, Office of Davis -Bacon and Labor Standards 451 7th Sham RW Room 7108 Washinotan nc 70410 When providing rnmmanta nlease refer to OMR Anoroval 2501. 0(109 Pursuant to 5 U.S.C. § 552a(e)(3), this Privacy Act Statement serves to inform you of the following concerning the collection of the information on this form. A. AUTHORITY: Collection of the information solicited on this forth is authorized by the Davis -Bacon Act as promulgated through Department of Labor Regulations under 29 CFR Part 5. B. PURPOSE: The primary purpose for soliciting this information is to determine if the wages paid by an employer on a project covered by the Davis -Bacon Act are in compliance with fade Labor standards. C. ROUTINE USES: The information collected ensures compliance with the Federal labor standards through recording interviews with construction workers on topics related to wages p on the project. The information is reviewed by HUD authorized personnel to ensure compliance with Federal labor standards under the Davis -Baron Act on covered projects. If violations found, the information collected is used to conduct enforcement actions to ensure restitution is paid to workers of covered projects are paid proper wages under the Davis -Bacon Act. D. CONSEQUENCES OF FAILURE TO PROVIDE INFORMATION: The information collection is voluntary. Refusing to give information will not impact your status with your employer or I government. Failure to provide the information will limit the ability of HUD to determine if you were paid proper wages under the Davis -Bacon Act, and will limit the ability for HUD to se metittdion for vnu in tha avant a violation m fmind Ia. Project Name 2a. Employee Name b. Project Number 2b. Employee Phone Number (including area code) 1c. Contractor or Subcontractor (Employer) 2c. Employee Home Address & Zip Code 2d. Verification of identification? Yes No How long on this job? 3b. Last date on this job before today? 3c. No. of hours last day on this job? 4a. Hourly rate of pay? 4b. Fringe Benefits? Vacation Yes No Medical Yes No Pension Yes No 4c. Pay stub? Yes No 5. Your job classification(s) (list all) — continue in block 18 if necessary 6. Your duties — continue in block 18 if necessary 7. Tools or equipment used — continue in block 18 if necessary 8. Are you an apprentice or trainee? Yes No 10. Are you paid at least time and % for all hours worked in excess of 40 in a week? Yes No 9. Are you paid for all hours worked? Yes No 11, Have you ever been threatened or coerced into giving up any part of your pay? Yes No 12a. Employee Signature 12b. Date 13. Duties observed by the Interviewer (Please be specific.) 14. Remarks — continue in block 18 if necessary 15a. Interviewer Name (Please Print) 15b. Signature of Interviewer 15c. Date of Interview Payroll Examination 16. Remarks — continue in block 1 B if necessary 7a. Signature of Payroll Examiner 17b. Date rev ous a ons are o olete Form •1 1 Exhibit "A" Record of Employee U.S. Department of Housing and Urban Development OMB Approval No. 2501-00( Previous *ditions are o o to Form HIJOA I (I V2021) Exhibit "A" PAYROLL DEDUCTION AUTHORIZATION FORM This is authorization to the to deduct from my paycheck $ 'This is for item number as shown below: Repayment of 1. Loan 2. Retirement 3. Advance on Wages 4. Savings 5. Saving Bonds 6. Uniforms `This deduction is to be made: Date: 7. Credit Union 8. Profit Sharing 9. Donations to Agencies 10, 4nsurance Premiums 11. Union Dues Check Appropriate Box One Time Only Weekly Bi-Weekly For Weeks Employee's Signature: Printed or Typed Name: Project Name and Number: Exhibit "A" PERMISSIBLE PAYROLL DEDUCTIONS The "Anti -Kickback" regulations of the Copeland Act permit the following deductions from the workman's weekly wages: 1. Where required by Federal, State or Local Statutes. 2. Bona fide payment of wages without discount of interest. 3. Deductions required by court process, provided such deduction is not in favor of the contractor, subcontractor, or any affiliated person, or where collusion exists. 4. The purchase price of United States Notes, Stamps and Bonds. 5. The repayment of loans to or the purchase of shares in, credit unions organized and operated in accordance with Federal or State statutes. 6. Contributions to a Federal Government or quasi-govem mental agency. 7. The payment of dues or premiums to unaffiliated associations for medical or hospitalization insurance where the employer is not required by law to supply such benefits. 8. Contributions to the Red Cross and Community Chests. 9. Regular union initiation fees and membership dues where a collective bargaining agreement provides for such deductions. (This does not include work permits or special assessments.) Exhibit "A" STATEMENT OF NON-PERFORMANCE Payroll Number: I, (Name of Signatory party) (TM1b) do hereby state that NO PERSONS employed by performed work on (Name of submllUng company) the construction project known as for the payroll period commencing on the day of (1 dates eek) (month) and ending on the day of (last dale of week) (month) Signature of Authorized Person Dale `THIS STATEMENT IS NOT REQUIRED TO BE SUBMITTED UNTIL AFTER SUBMISSION OF THE INITIAL PAYROLL REPORT REV. 2123/201/ Exhibit "A" Title 29 — Labor Regulations Exhibit "A" Title 29 - LABOR Subtitle A — Office of The Secretary of Labor PART 3 - CONTRACTORS AND SUBCONTRACTORS ON PUBLIC BUILDING OR PUBLIC WORK FINANCED IN WHOLE OR IN PART BY LOANS OR GRANTS FROM THE UNITED STATES Sect. Name 3.1 Purpose and scope. 3.2 Definitions. 3.3 Weekly statement with respect to payment of wages. 3.4 Submission of weekly statements and the preservation and inspection of weekly payroll records. 3.5 Payroll deductions permissible without application to or approval of the Secretary of Labor. 3.6 Payroll deductions permissible with the approval of the Secretary of Labor. 3.7 Applications for the approval of the Secretary of Labor. 3.8 Action by the Secretary of Labor upon applications. 3.9 Prohibited payroll deductions. 3.10 Methods of payment of wages. 3.11 Regulations part of contract. Authority: R.S. 161, sec. 2, 48 Stat. 848; Reorg. Plan No. 14, of 1950, 64 Stat. 1267; 5 U.S.C. 301; 40 U.S.C. 276c. Source: 29 FIR 97, Jan. 4, 1964, unless otherwise noted. 29 CFR 3.1 - Purpose and scope. This part prescribes "anti -kickback" regulations under section 2 of the Act of June 13, 1934, as amended (40 U.S.C. 276c), popularly known as the Copeland Act. This part applies to any contract which is subject to Federal wage standards and which is for the construction, prosecution, completion, or repair of public buildings, public works or buildings or works financed in whole or in part by loans or grants from the United States. The part is intended to aid in the enforcement of the minimum wage provisions of the Davis -Bacon Act and the various statutes dealing with federally assisted construction that contain similar minimum wage provisions, including those provisions which are not subject to Reorganization Plan No. 14 (e.g., the College Housing Act of 1950, the Federal Water Pollution Control Act, and the Housing Act of 1959), and in the enforcement of the overtime provisions of the Contract Work Hours Standards Act whenever they are applicable to construction work. The part details the obligation of contractors and subcontractors relative to the weekly submission of statements regarding the wages paid on work covered thereby; sets forth the circumstances and procedures governing the making of payroll deductions from the wages of those employed on such work; and delineates the methods of payment permissible on such work. 29 CFR 3.2 - Definitions. As used in the regulations in this part: (a) The terms building or work generally include construction activity as distinguished from manufacturing, furnishing of materials, or servicing and maintenance work. The terms include, without limitation, buildings, structures, and improvements of all types, such as bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, powerlines, pumping stations, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, and canals, dredging, shoring, scaffolding, drilling, blasting, excavating, clearing, and landscaping. Unless conducted in connection with and at the site of such a building or work as is described in the foregoing sentence, the manufacture or furnishing of materials, articles, supplies, or equipment (whether or not a Federal or State agency acquires title to such materials, articles, supplies, or equipment during the course of the manufacture or furnishing, or owns the materials from which they are manufactured or furnished) is not a building or work within the meaning of the regulations in this part. Exhibit "A" (b) The terms construction, prosecution, completion, or repair mean all types of work done on a particular building or work at the site thereof, including, without limitation, altering, remodeling, painting and decorating, the transporting of materials and supplies to or from the building or work by the employees of the construction contractor or construction subcontractor, and the manufacturing or furnishing of materials, articles, supplies, or equipment on the site of the building or work, by persons employed at the site by the contractor or subcontractor. (c) The terms public building or public work include building or work for whose construction, prosecution, completion, or repair, as defined above, a Federal agency is a contracting party, regardless of whether title thereof is in a Federal agency. (d) The term building or work financed in whole or in part by loans or grants from the United States includes building or work for whose construction, prosecution, completion, or repair, as defined above, payment or part payment is made directly or indirectly from funds provided by loans or grants by a Federal agency. The term includes building or work for which the Federal assistance granted is in the form of loan guarantees or insurance. (e) Every person paid by a contractor or subcontractor in any manner for his labor in the construction, prosecution, completion, or repair of a public building or public work or building or work financed in whole or in part by loans or grants from the United States is employed and receiving wages, regardless of any contractual relationship alleged to exist between him and the real employer. (f) The term any affiliated person includes a spouse, child, parent, or other close relative of the contractor or subcontractor; a partner or officer of the contractor or subcontractor; a corporation closely connected with the contractor or subcontractor as parent, subsidiary, or otherwise, and an officer or agent of such corporation. (g) The term Federal agency means the United States, the District of Columbia, and all executive departments, independent establishments, administrative agencies, and instrumentalities of the United Stales and of the District of Columbia, including corporations, all or substantially all of the stock of which is beneficially owned by the United States, by the District of Columbia, or any of the foregoing departments, establishments, agencies, and instrumentalities. [29 FIR 97, Jan. 4, 1964, as amended at 38 FIR 32575, Nov. 27, 19731 29 CFR 3.3 - Weekly statement with respect to payment of wages. (a) As used in this section, the term employee shall not apply to persons in classifications higher than that of laborer or mechanic and those who are the immediate supervisors of such employees. (b) Each contractor or subcontractor engaged in the construction, prosecution, completion, or repair of any public building or public work, or building or work financed in whole or in part by loans or grants from the United States, shall furnish each week a statement with respect to the wages paid each of its employees engaged on work covered by this part 3 and part 5 of this chapter during the preceding weekly payroll period. This statement shall be executed by the contractor or subcontractor or by an authorized officer or employee of the contractor or subcontractor who supervises the payment of wages, and shall be on form WH 348, "Statement of Compliance", or on an identical form on the back of WH 347, "Payroll (For Contractors Optional Use)" or on any form with identical wording. Sample copies of WH 347 and WH 348 may be obtained from the Government contracting or sponsoring agency, and copies of these forms may be purchased at the Government Printing Office. (c) The requirements of this section shall not apply to any contract of $2,000 or less. (d) Upon a written finding by the head of a Federal agency, the Secretary of Labor may provide reasonable limitations, variations, tolerances, and exemptions from the requirements of this section subject to such conditions as the Secretary of Labor may specify. 129 FIR 97, Jan. 4, 1964, as amended at 33 FIR 10186, July 17, 1968: 47 FIR 23679. May 28, 1982] Exhibit "A" 29 CFR 3.4 - Submission of weekly statements and the preservation and inspection of weekly payroll records. (a) Each weekly statement required under Sec. 3.3 shall be delivered by the contractor or subcontractor, within seven days after the regular payment date of the payroll period, to a representative of a Federal or State agency in charge at the site of the building or work, or, if there is no representative of a Federal or State agency at the site of the building or work, the statement shall be mailed by the contractor or subcontractor, within such time, to a Federal or State agency contracting for or financing the building or work. After such examination and check as may be made, such statement, or a copy thereof, shall be kept available, or shall be transmitted together with a report of any violation, in accordance with applicable procedures prescribed by the United States Department of Labor. (b) Each contractor or subcontractor shall preserve his weekly payroll records for a period of three years from date of completion of the contract. The payroll records shall set out accurately and completely the name and address of each laborer and mechanic, his correct classification, rate of pay, daily and weekly number of hours worked, deductions made, and actual wages paid. Such payroll records shall be made available at all times for inspection by the contracting officer or his authorized representative, and by authorized representatives of the Department of Labor. (Reporting and recordkeeping requirements in paragraph (b) have been approved by the Office of Management and Budget under control number 1215-0017) 129 FIR 97, Jan. 4, 1964, as amended at 47 FIR 145, Jan. 5, 19821 29 CFR 3.5 - Payroll deductions permissible without application to or approval of the Secretary of Labor. Deductions made under the circumstances or in the situations described in the paragraphs of this section may be made without application to and approval of the Secretary of Labor: (a) Any deduction made in compliance with the requirements of Federal, State, or local law, such as Federal or State withholding income taxes and Federal social security taxes. (b) Any deduction of sums previously paid to the employee as a bona fide prepayment of wages when such prepayment is made without discount or interest. A bona fide prepayment of wages is considered to have been made only when cash or its equivalent has been advanced to the person employed in such manner as to give him complete freedom of disposition of the advanced funds. (c) Any deduction of amounts required by court process to be paid to another, unless the deduction is in favor of the contractor, subcontractor, or any affiliated person, or when collusion or collaboration exists. (d) Any deduction constituting a contribution on behalf of the person employed to funds established by the employer or representatives of employees, or both, for the purpose of providing either from principal or income, or both, medical or hospital care, pensions or annuities on retirement, death benefits, compensation for injuries, illness, accidents, sickness, or disability, or for insurance to provide any of the foregoing, or unemployment benefits, vacation pay, savings accounts, or similar payments for the benefit of employees, their families and dependents: Provided, however, That the following standards are met: (1) The deduction is not otherwise prohibited by law; (2) It is either: (i) Voluntarily consented to by the employee in writing and in advance of the period in which the work is to be done and such consent is not a condition either for the obtaining of or for the continuation of employment, or (ii) provided for in a bona fide collective bargaining agreement between the contractor or subcontractor and representatives of its employees; (3) No profit or other benefit is otherwise obtained, directly or indirectly, by the contractor or subcontractor or any affiliated person in the form of commission, dividend, or otherwise; and (4) The deductions shall serve the convenience and interest of the employee. (e) Any deduction contributing toward the purchase of United States Defense Stamps and Bonds when voluntarily authorized by the employee. Exhibit "A" (0 Any deduction requested by the employee to enable him to repay loans to or to purchase shares in credit unions organized and operated in accordance with Federal and State credit union statutes. (g) Any deduction voluntarily authorized by the employee for the making of contributions to governmental or quasi -governmental agencies, such as the American Red Cross. (h) Any deduction voluntarily authorized by the employee for the making of contributions to Community Chests, United Givers Funds, and similar charitable organizations. (i) Any deductions to pay regular union initiation fees and membership dues, not including fines or special assessments: Provided, however, That a collective bargaining agreement between the contractor or subcontractor and representatives of its employees provides for such deductions and the deductions are not otherwise prohibited by law. 6) Any deduction not more than for the "reasonable cost' of board, lodging, or other facilities meeting the requirements of section 3(m) of the Fair Labor Standards Act of 1938, as amended, and part 531 of this title. When such a deduction is made the additional records required under Sec. 516.25(a) of this title shall be kept. (k) Any deduction for the cost of safety equipment of nominal value purchased by the employee as his own property for his personal protection in his work, such as safety shoes, safety glasses, safety gloves, and hard hats, if such equipment is not required by law to be furnished by the employer, if such deduction is not violative of the Fair Labor Standards Act or prohibited by other law, if the cost on which the deduction is based does not exceed the actual cost to the employer where the equipment is purchased from him and does not include any direct or indirect monetary return to the employer where the equipment is purchased from a third person, and if the deduction is either (1) Voluntarily consented to by the employee in writing and in advance of the period in which the work is to be done and such consent is not a condition either for the obtaining of employment or its continuance; or (2) Provided for in a bona fide collective bargaining agreement between the contractor or subcontractor and representatives of its employees. (29 FIR 97, Jan. 4, 1964, as amended at 36 FIR 9770, May 28, 19711 29 CFR 3.6 - Payroll deductions permissible with the approval of the Secretary of Labor. Any contractor or subcontractor may apply to the Secretary of Labor for permission to make any deduction not permitted under Sec. 3.5. The Secretary may grant permission whenever he finds that: (a) The contractor, subcontractor, or any affiliated person does not make a profit or benefit directly or indirectly from the deduction either in the form of a commission, dividend, or otherwise; (b) The deduction is not otherwise prohibited by law; (c) The deduction is either (1) voluntarily consented to by the employee in writing and in advance of the period in which the work is to be done and such consent is not a condition either for the obtaining of employment or its continuance, or (2) provided for in a bona fide collective bargaining agreement between the contractor or subcontractor and representatives of its employees; and (d) The deduction serves the convenience and interest of the employee. 29 CFR 3.7 - Applications for the approval of the Secretary of Labor. Any application for the making of payroll deductions under Sec. 3.6 shall comply with the requirements prescribed in the following paragraphs of this section: (a) The application shall be in writing and shall be addressed to the Secretary of Labor. (b) The application need not identify the contract or contracts under which the work in question is to be performed. Permission will be given for deductions on all current and future contracts of the applicant for a period of 1 year. A renewal of permission to make such payroll deduction will be granted upon the submission of an application which makes reference to the original application, recites the date of the Secretary of Labor's approval of such deductions, states affirmatively that there is continued compliance with the standards set forth in the provisions of Sec. 3.6, and specifies any conditions which have changed in regard to the payroll deductions. Exhibit "A" (c) The application shall state affirmatively that there is compliance with the standards set forth in the provisions of Sec. 3.6. The affirmation shall be accompanied by a full statement of the facts indicating such compliance. (d) The application shall include a description of the proposed deduction, the purpose to be served thereby, and the classes of laborers or mechanics from whose wages the proposed deduction would be made. (e) The application shall state the name and business of any third person to whom any funds obtained from the proposed deductions are to be transmitted and the affiliation of such person, if any, with the applicant. [29 FIR 97, Jan. 4, 1964, as amended at 36 FIR 9771, May 28, 19711 29 CFR 3.8 - Action by the Secretary of Labor upon applications. The Secretary of Labor shall decide whether or not the requested deduction is permissible under provisions of Sec. 3.6; and shall notify the applicant in writing of his decision. 29 CFR 3.9 - Prohibited payroll deductions. Deductions not elsewhere provided for by this part and which are not found to be permissible under Sec. 3.6 are prohibited. 29 CFR 3.10 - Methods of payment of wages. The payment of wages shall be by cash, negotiable instruments payable on demand, or the additional forms of compensation for which deductions are permissible under this part. No other methods of payment shall be recognized on work subject to the Copeland Act. 29 CFR 3.11 - Regulations part of contract. All contracts made with respect to the construction, prosecution, completion, or repair of any public building or public work or building or work financed in whole or in part by loans or grants from the United States covered by the regulations in this part shall expressly bind the contractor or subcontractor to comply with such of the regulations in this part as may be applicable. In this regard, see Sec. 5.5(a) of this subtitle. Exhibit "A" Required Bulletin Board Posters Exhibit "A" EMPLOYEE RIGHTS UNDER THE DAVIS-BACON ACT PREVAILING You must be paid not less than the wage rate listed in the Davis -Bacon Wage Decision posted WAGES with this Notice for the work you perform. OVERTIME You must be paid not less than one and one-half times your basic rate of pay for all hours worked over 40 in a work week. There are few exceptions. ENFORCEMENT Contract payments can be withheld to ensure workers receive wages and overtime pay due, and liquidated damages may apply d overtime pay requirements are not met. Davis -Bacon contract clauses allow contract termination and debarment of contractors from future federal contracts for up to three years. A contractor who falsifies certified payroll records or induces wage kickbacks may be subject to civil or criminal prosecution, fines and/or imprisonment. APPRENTICES Apprentice rates apply only to apprentices properly registered under approved Federal or State apprenticeship programs PROPER PAY if you do not receive proper pay, or require further information on the applicable wages, contact the Contracting Officer listed below. FE!rzabeth Alvarado C08G c wro,nator City o1 Round Rock 221 East Main Street Round Rock, Texas 78664 512 341.3326 or contact the U.S. Department of tabor's Wage and Hour Division. Job Safetyand Healt 4 ... c' It's the law! U. �(,: Lf O•i� , .(Jill to -31,ty V,—, employ:, ;. OSHA v You -"y -,4 OSHA to tubanh:d Ih, 11YI1I to (-)'.,HA fil;.1 th.1—, "'C' fc and .... fic;00,110 comfit "Jipf.,C, Ye, ... tll;,y IIt<,Ini Iron yl,�,,,-,, 1.1'a 1,11. OSHA 10 d"y' ,,I by you, C ... I'l, -j,:, 1" 'Moy autf t-. Ith '.o-phmls ... Il" your III,: OSlicr Y,.,. It.l. "'Jill I., OSHA i� ... ployc' Yol., ... -.1 Ih,-, A fill W, yod Yn,^ ImIdoyt-1 —.,%I v.od'i'l-C ha7ald, Ly the nn !],r I-n -ld "o-I I.rl.f% lh;,I I-- tic-, ,, 'ful"d or T, i thk — , i'l to fir, eis 0 You, -,id,Cd l,( lmli, .Ind old" of 10 I,—, -,d ........ ....... "ot, -ust di l..1 S,,f,aty 1-.01h "—vd muk" I!,, 0SH A, r I'­1 :qpply 1" 1-- lll:!1011:. ;,;,(I cone w I C- 9,C, jrd) i-M.Pi 01T:"y Y-1 "ll"A Nc, hu'l, "., Vol; omit c ... 1,ply —.1h the ,CC,,j-I--.1 -,d the OSH AM This Ilse posse, avai I ohle fittm O'S I IA - Tho Best Resourci, for Safely .,f)(i Hedthh Seguridad y Salud en elTrabajo ,Es la Ley! EMPLEADOS Usted tiene el derecho de notificar a su empleador o a la OSHA sobre peligros en el lugar de trabajo. Usted tambien puede pedir que la OSHA no revele su nombre Usted tiene el derecho de pedir a la OSHA que realize una inspeccion Si usted piensa que en su trabajo existen condiciones peligrosas o poco saludables Usted o su representante pueden participar en esa inspeccion. Usted tiene 30 dias Para presentar una queja ante la OSHA si su empleador Ilega a tomar represalias o discriminar en su contra por haber denunciado la condition de seguridad o salad o por ejercer los derechos consagrados bajo la Ley OSH. Usted tiene el derecho de ver las citaciones enviadas por la OSHA a su empleador. Su empleador debe colocar las citaciones en el lugar donde se encontraron las supuestas infracciones o cerca del mismo. Su empleador debe corregir los peligros en el lugar de trabajo para la fecha indicada en la citation y debe certificar que dichos peligros se hayan reducido o desaparecido. Usted tiene derecho de recibir copias de su historial o registro medico y el registro de su exposition a sustancias o condiciones toxicas o daninas. Su empleador debe colocar este aviso en su lugar de trabajo. Ad Usted debe cumplir con todas las normas de seguridad y salud ocupacionales expedidas conforme a la Ley OSH que sean aplicables a sus propias acciones y conducta en el trabajo EMPLEADORES: Usted debe proporcionar a sus empleador un lugar de empleo libre de peligros conocidos Usted debe cumplir con las nommas de seguridad y salud ocupacionales expedidas conforme a la Ley OSH Equal Employment Opportunity is Private Employers, State and Local Governments, Educational Institutions, Employment Agencies and Labor Organizations Applicants to and employees of most private employers, state and local governments, educational institutions, employment agencies and labor organizations are protected under Federal law from discrimination on the following bases: RACE, COLOR, RELIGION, SEX, NATIONAL ORIGIN Title VII of the Civil Rights Act of 1964, as amended, protects applicants and employees from discrimination in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment, on the basis of race, color, religion, sex (including pregnancy), or national origin. Religious discrimination includes failing to reasonably accommodate an employee's religious practices where the accommodation does not impose undue hardship. DISABILITY Title I and Title V of the Americans with Disabilities Act of 1990, as amended, protect qualified individuals from discrimination on the basis of disability in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment Disability discrimination includes not making reasonable accommodation to the known physical or mental limitations of an otherwise qualified GENETICS Title 11 of the Genetic Information Nondiscrimination Act of 2008 protects applicants and employees from discrimination based on genetic information in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment. GINA also restricts employers' acquisition of genetic information and strictly limits disclosure of genetic information. Genetic information includes information about genetic tests of applicants, employees, or their family members: the manifestation of diseases or disorders in family members (family medical history); and requests for or receipt of genetic services by applicants, employees, or their family members. RETALIATION All of these Federal laws prohibit covered entities from retaliating against a person who files a charge of discrimination, participates in a discrimination individual with a disability who is an applicant or employee, barring undue hardship. proceeding, or otherwise opposes an unlawful employment practice. AGE The Age Discrimination in Employment Act of 1967, as amended, protects applicants and employees 40 years of age or older from discrimination based on age in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment. SEX (WAGES) In addition to sex discrimination prohibited by Title VII of the Civil Rights Act, as amended, the Equal Pay Act of 1963, as amended, prohibits sex discrimination in the payment of wages to women and men performing substantially equal work, in jobs that require equal skill, effort, and responsibility, under similar working conditions, in the same establishment. WHAT TO DO IF YOU BELIEVE DISCRIMINATION HAS OCCURRED There are strict time Emits for filing charges of employment discrimination. To preserve the ability of EEOC to act on your behalf and to protect your right to file a private lawsuit, should you ultimately need to, you should contact EEOC promptly when discrimination is suspected: The U.S. Equal Employment Opportunity Commission (EEOC), 1-800-6694000 (toll -free) or 1-800-669-6820 (toll -free TTV number for individuals with hearing impairments). EEOC field office information is available at www,eeoc.gov or in most telephone directories in the U.S. Government or Federal Government section. Additional information about EEOC, including information about charge filing, is available at www.eeoc.gov. Employers Holding Federal Contracts or Subcontracts Applicants to and employees of companies with a Federal government contract or subcontract are protected under Federal law from discrimination on the following bases: RACE, COLOR, RELIGION, SEX, NATIONAL ORIGIN Executive Order 11246, as amended, prohibits job discrimination on the basis of race, color, religion, sex or national origin, and requires affirmative action to ensure equality of opportunity in all aspects of employment. INDIVIDUALS WITH DISABILITIES Section 503 of the Rehabilitation Act of 1973, as amended, protects qualified individuals from discrimination on the basis of disability in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment. Disability discrimination includes not making reasonable accommodation to the known physical or mental limitations of an otherwise qualified individual with a disability who is an applicant or employee, barring undue hardship. Section 503 also requires that Federal contractors take affirmative action to employ and advance in employment qualified individuals with disabilities at all levels of employment, including the executive level. DISABLED, RECENTLY SEPARATED, OTHER PROTECTED, AND ARMED FORCES SERVICE MEDAL VETERANS The Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212, prohibits job discrimination and requires affirmative action to employ and advance in employment disabled veterans, recently separated veterans (within three years of discharge or release from active duty), other protected veterans (veterans who served during a war or in a campaign or expedition for which a campaign badge has been authorized), and Armed Forces service medal veterans (veterans who, while on active duty, participated in a U.S. military operation for which an Armed Forces service medal was awarded). RETALIATION Retaliation is prohibited against a person who files a complaint of discrimination, participates in an OFCCP proceeding, or otherwise opposes discrimination under these Federal laws. Any person who believes a contractor has violated its nondiscrimination affirmative action obligations under the authorities above should contact immediately: The Office of Federal Contract Compliance Programs (OFCCP), U.S. Department of labor, 200 Constitution Avenue, N.W., Washington, D.C. 20210, 1-800-397-6251 (toll -free) or (202) 693-1337 (i'M. OFCCP may also be contacted by e-mail at OFCCP-Public®dol.gov, or by calling an OFCCP regional or district office, listed in most telephone directories under U.S. Government, Department of Labor. Programs or Activities Receiving Federal Financial Assistance RACE, COLOR, NATIONAL ORIGIN, SEX In addition to the protections of Title V11 of the Civil Rights Act of 1964, as amended, Title VI of the Civil Rights Act of 1964, as amended, prohibits discrimination on the basis of race, color or national origin in programs or activities receiving Federal financial assistance. Employment discrimination is covered by Title VI if the primary objective of the financial assistance is provision of employment, or where employment discrimination causes or may cause discrimination in providing services under such programs. Tide IX of the Education Amendments of 1972 prohibits employment discrimination on the basis of sex in educational programs or activities which receive Federal financial assistance. INDIVIDUALS WITH DISABILITIES Section 504 of the Rehabilitation Act of 1973, as amended, prohibits employment discrimination on the basis of disability in any program or activity which receives Federal financial assistance. Discrimination is prohibited in all aspects of employment against persons with disabilities who, with or without reasonable accommodation, can perform the essential functions of the job. If you believe you have been discriminated against in a program of any institution which receives Federal financial assistance, you should immediately contact the Federal agency providing such assistance. EEOC 9102 and OFCCP 8108 Versions Useable With 11109 Supplement EEOGP/E-1 (Revised 11109) La igualdad de oportunidades de empleo es LA LEY Empleadores privados, gobiernos locales y estatales, instituciones educativas, agenclas de empleo y organizations de trabalo Los postulantes y empleados de la mayoria de los empleadores privados, los gobiernos locales y estatales, las instituciones educativas, las agenclas de empleo y las organizaciones de trabajo estin protegidos por la ley federal contra la discrimination en funcion de-. RAZA, COLOR, RELIGION, SEXO, PROCEDENCIA El T'mdo V11 de la Ley de Derrehos Civiles (Civil Rights Act) de 1964, con sus modificaciones, protege a los postulantes y a los empleados contra la disc irnin 6n en to que respecta a la contratacion, los ascensos, los despidos, Jos pagos, las compensaciones adicionales, la capacitation laboral, la clas6cxiort las relerenaas y los demas aspectos del empleo, en funaon de raza, color, religion, sexo (mclwdas las embarazadas) o prvoedenaa La discrimination religiosa se refiere a la fatta de adaptarion ramnable a las practices re4osas de un empleado, siempre y cuando dicha adaptacion no provoque una dificultad economics dexmedxia pars la compafiia DISCAPACIDAD Los Titulos 1 y V de la Ley de Estadourudenses con Discapacidades (Amencans with Disabilities Act) de 19%, con sus modificaciones, protege a las personas idoneas contra la discrimination por discapacidad en to que respecta a la contratacion, los ascensos, los despidos, los pagos, las compensaciones adicionales, la capacitaci6n laboral, la clasificacion, las referencias y los demis aspectos del empleo. La discrimination por discapacidad se refiere a la falta de adaptaciones razonables para las limitaciones fisicas o mentales de una persona idonea que tiene una discapacidad y que es un postulante o un empleado, salvo que dichas adaptaciones provoquen una dificultad economics desmedida pars la companies MAD La Ley contra la Discrimination Laboral por Edad (Age Discrimination in Employment Act) de 1967, con sus modificaciones, protege a los postulantes y empleados de 40 anos o mas contra la discrimination por cuestiones de edad en to que respecta a la contratacion, Jos ascensos, los despidos, los pagos, las compensaciones adicionales, la capacitation laboral, la clasificacion, las referencias y los demas aspectos del empleo. SEXO (SALARIOS) Ademis de to establecido en el Titulo V11 de la Ley de Derechos Civiles, con sus modificaciones, la Ley de Igualdad en las Remuneraciones (Equal Pay Act) de 1963, con sus moMcaciones, tambien prohibe la discrimination sexual en el pago de los salarios a las mujeres y los hombres que reaficen bisicamente el mismo trabajo, en empleos que requieran )as mismas habilidades, esfuerzo y responsabibdad, en condiciones laborales similares, en el mismo establecirTuento. GENETICA Fl Titulo I1 de la Ley de No Discrimination por Information Genetica (Genetic Information Nondiscrimination Act, G[NA) de 2008 protege a los postulantes y empleados contra la discrimination basada en la information genetica en to que respecta a la contratacion, los ascensos, los despidos, los pagos, las compensations adicionales, la capacitation laboral, la clasificacion, las referencias y los demas aspectos del empleo. La GINA tambien knuta la adquisicion de information genetics par parte de los empleadores y condiciona de manera estricta su divulgaci6n. La information genetica incluye las pruebas geneticas de los postulantes, empleados o integrantes de sus familias, la manifestation de enfermedades o trastomos de los nuembros de la familia (historia medica familiar) y las solicitudes o la reception de serviaos geneticos por pane de los postulantes, empleados o integrantes de sus fanubas. REPRESALIAS Todas estas leyes federates prohrben a las entidades cubiertas que tomen represalias en contra de una persona que presenta una cargo por discrimination, participa en un procedimiento por discrimination o que, de algon otro modo, se opone a una prictica laboral ilicita. QUE DEBE NACER SI CONSIDERA QUE ES VICTIMA DE LA DISCRIMINACION Existen plazos estrictos para presentar cargos por discrimination laboral. A fin de preservar la capacidad de la Conusi6n para la Igualdad de Oportunidades en el Empleo (Equal Employment Opportunity Commission, EEOC) de actuar en representation suya y proteger su derecho a truciar una demanda privada si fuese necesario en ultima instancia, debe comunicarse con la EEOC apenas sospeche que se produjo un hecho de discrimination: Comision para la Igualdad de Oportunidades en el Empleo de los Estados Unidos, 1-804G694000 (hnea gratuita) o 14WO-669M20 (linea gratuita'M pars las personas con problemas auditivos). Puede encontrar information sobre las sucursales de la EEOC en www.eeoc.gov o en la mayona de las guias telefonicas en la section Gobiemo Federal o Gobierno de los Estados Unidos. Tambien puede obtener information adicional sobre la EEOC, incluso coma presentar un cargo, en www.eeoc.gov. Empleadores que tengan contratos o subcontratos con el gobierno federal Los postulantes y empleados de las companias que tengan un contrato o subcontrato con el gobierno federal esUm protegidos por la ley federal contra ]a discrimination en f mcion de: RAZA, COLOR, RELIGI6N, SEXO, PROCEDENCIA El Decreto E)ecutivo 11246, con sus modifications, pmhrbe la dise-iminadon en el Dabajo en fundon de raza, color, religion, sexo o procedenaa y exige que se implementen actions afirrnativas para garantirar la igualdad de oporurnidades en todos los aspectos laborales. PERSONAS CON DISCAPACIDADES La Section 503 de la Ley de Rehabilitation (Rehabilitation Act) de 1973, con sus modifications, protege a las personas idoneas contra la discrimination por discapacidad en to que respecta a la contratacion, los ascensos, los despidos, los pagos, las compensaciones adicionales, la capacitation laboral, la clasificacion, las referencias y los demas aspectos del empleo. la discrimination por discapacidad se refiere a la fatta de adaptations razonables pars [as limitaciones fisicas o mentales de una persona idonea que bene una discapacidad y que es un postulante o un empleado, salvo que dichas adaptaciones provoquen una dificultad economica desmedida para la companies La Section 503 tambien exige que los contrabstas federales implementen acciones afirmadvas para empiear y avanzar en el empleo de personas idoneas con discapacidades en todos los niveles laborales, incluido el nivel ejecutivo. VETERANOS DISCAPACITADOS, RECItN RETIRADOS, BAJO PROTECC16N Y CON MEDALLA POR SERVICIO A LAS FUERZAS ARMADAS 1a Ley de Asistencia a la Readaptacion de Veteranos de Vietnam (Vietnam Era Veterans' Readjustment Assistance Act) de 1974, con sus modificaciones, 38 U.S.C. 4212. prolube la discrimination laboral y erdge que se implementen actions afirmativas para emplear y avanzar en el empleo de los veteranos discapacitados, recien retirados (en el plazo de los tres anos posteriores a la baja o al cese del servicio activo), otros veteranos bajo protection Oos veteranos que prestaron servicio durante una guerra o en una campana o expedition para la cual se les autorizo una insignia de campana) y Ins veteranos con medalla por servicio a las Fuerzas Armadas (aquellos que durante el servicio activo, participaron en una operation mifitar de los Estados Unidos por la eual se ]as reccnocio con una medalla por servicio a las Fuerzas Armadas). REPRESALIAS Quedan prohibidas las represahas contra una persona que presents una demanda por discriminacion, participa en un procedirriento de la Oficina de Programas de Cumplimiento de Contratos Federales (O/jice ojFederal Contract Compliance Programs, OFCCP) o que se oponga, de algun otro modo, a la discrimination segun estas [eyes federales. Toda persona que considere que un contratista violo sus obligaciones de action alirmativa o no discrimination Begun las autoridades mencionadas anteriormente debe comunicarse de inmediato con La Oficina de Programas de CumpUrniento de Contratos Federales (OFCCP), Departamento de Trabajo de Ins Estados Unidos, 200 Constitution Avenue, N.W., Washington, D.C. 20210, telefono 143 397b251 (linea gratuita) o (202) 693-1337 Oinea TM. Tambien puede enviar un mensaje de correo electronico a la OFCCP (OFCCP-Public®dol.gov) o bien, llamar a una de sus oficinas regionales o del distrito, las cuales aparecen en la mayoria de las gwas telef6nicas en la section Gobiemo de los Estados Unidos, Departamento de Trabajo. Programas o actividades que reciben asistencia financiera federal RAZA, COLOR, PROCEDENCIA, SEXO Ademas de las proteaiones establecidas en el Thulo VII de [a Ley de Derechos Cranes de 1964 y sus modificaciones, el Mtulo VI de dicha ley, con sus modifications, prohrbe la disc iminaaon por rare, color o procedencia en los programers o las actividades que Tedhan asistencia &iandera federaL La discrimination W)oral esta cubierta por el11tulo VI s el ob)etivo principal de la asistencia firwndera es brindar empleo, o si la discriminaton W)oral provora o puede pravvocar disaimuwdon cuando se popordonan los servicios de dichos programers. El Tltulo IX de las Reforrnas Educativas de 1972 prohrbe la dis mi iw6n Wvral segun el seco en los programers o las actividades educativvas que reciben asistencia finandera federal PERSONAS CON DISCAPACIDADES La Seccion 504 de la Ley de Rehabilitation de 1973, con sus modifications, prolube la discrimination laboral por discapacidad en cualquier programa o actividad que reciba asistencia financiera federal. Queda prohibida la discrimination en todos los aspectos laborales contra las personas discapacitadas que, con o sin adaptaciones razonables, pueden desempeciar las funciones esenciales del trabajo. Si tree que ha sido victima de discrimination en algun programa de una institution que reciba asistencia financiera federal, debe comunicarse de inmediato con la agencia federal que brinda dicha asistencia. Versiones uttlizables de la EEOC 9/02 y la OFCCP 8108 con el Suplemento 11109 EEOC-PIE-1 (Revisado 11109) Exhibit "A" DERECHOS DEL EMPLEADO BAJO LA LEY DAVIS-BACON SALARIOS Nose Is puede page menos de to tam de pogo Indkade an Is Decision de Setarlos Davis -Bacon Gjada con PREVALECIENTES esta Avlso pare el trabajo qua Ud, cl sempefle. SOBRETIEMPO Se Is he de pager no memos de tlempo y medio de su rose bAslca de pago par codas las horas traba�adas an exceso de 40 on uns semans laboral. Existen pocas excepctones. CUMPLIMIENTO Se pueden reterer pegos por oontratos para asegursase qua los obaaos teclban Ics satadm y el pago de sobratlempo debidos, y se podrla aplcar darlos y perjuicios sl nose cumple con las exigenclas del pago de sobrotiempo. Las cidusules contrectueles de Davis -Bacon permlten In larmhaci6n y exciusfon de contratistas pare efectuar hiuros contratos ledereles haste tres aAos. El contmilste quo lelsi(ique "registros certllicedos de las n6minas de pago o Induzca devoludones de salarlos puede set sujeto a pmcesamiento cJA o criminal, multas y/o encarcalamlento. APRENDICES Les lases de aprend"s s6lo se aptican a aprendices correctaments Inscritos bolo programas federates o estatales aprobados PAGO APROPIADO Si Ud no reubs el pago epropmdo, o preasa de Inforrha66n adicional sobre las salarios apl"bles, p6n9ase an contacto con at Comratlsta Olfcial qua eparace abajo: o p6ngese an contecto con Is Division de Horas y Salarios del Oepartamento de Trabajo de los EE.UU. Exhibit "A" Federal Labor Standards Provisions Exhibit "A" Federal Labor Standards Provisions U.S. Department of Housing and Urban Development Office of Labor Relations Applicability The Project or Program to which the construction work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions are included in this Contract pursuant to the provisions applicable to such Federal assistance. A. 1. (1) Minimum Wages. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by 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 which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(b)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of 29 CFR 5.5(a)(1)(iv), also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under 29 CFR 5.5(a)(1)(ii) and the Davis -Bacon poster (WH- 1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible, place where it can be easily seen by the workers (II) (a) Any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. HUD shall approve an additional classification and wage rate and fringe benefits therefor only when the following criteria have been met. (1) The work to be performed by the classification requested is not performed by a classification in the wage determination, and (2) The classification is utilized in the area by the construction industry, and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (b) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and HUD or its designee agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by HUD or its designee to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, D C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise HUD or its designee or will notify HUD or its designee within the 30-day period that additional time is necessary. (Approved by the Office of Management and Budget under OMB control number 1215- 0140.) (c) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and HUD or its designee do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), HUD or its designee shall refer the questions, including the views of all interested parties and the recommendation of HUD or its designee, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise HUD or its designee or will notify HUD or its designee within the 30-day period that additional time is necessary. (Approved by the Office of Management and Budget under OMB Control Number 1215-0140.) (d) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs (1)(d)(b) or (c) of this paragraph, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (111) 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) 11 the contractor does not make payments to a trustee or other third person, the contractor may consider as part form HUD-4010 (0612009) Previous editions are obsolete Page 1 of 5 ref. Handbook 1344.1 Exhibit "A" of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis - Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (Approved by the Office of Management and Budget under OMB Control Number 1215-0140.) 2. Withholding. HUD or its designee shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federally -assisted contract subject to 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, all or part of the wages required by the contract, HUD or its designee may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. HUD or its designee may, after written notice to the contractor, disburse such amounts withheld for and on account of the contractor or subcontractor to the respective employees to whom they are due. The Comptroller General shall make such disbursements in the case of direct Davis -Bacon Act contracts 3. (1) Payrolls and basic records. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in Section I(b)(2)(B) of the Davis -bacon Act), daily and weekly number of hours worked, deductions made and (b) Each payroll submitted shall be accompanied by a actual wages paid. Whenever the Secretary of Labor has 'Statement of Compliance,- signed by the contractor or found under 29 CFR 5.5 (a)(1)(ty) that the wages of any subcontractor or his or her agent who pays or supervises laborer or mechanic include the amount of any costs the payment of the persons employed under the contract reasonably anticipated in providing benefits under a plan and shall certify the following: or program described in Section I(b)(2)(B) of the Davis- (1) That the payroll for the payroll period contains the Bacon Act, the contractor shall maintain records which information required to be provided under 29 CFR 5 5 show that the commitment to provide such benefits is (a)(3)(6), the appropriate information is being maintained enforceable, that the plan or program is financially under 29 CFR 5.5(a)(3)(i), and that such information is responsible. and that the plan or program has been correct and complete. Previous editions are obsolete form HUD-4010 (0612009) Page 2 of 5 rel. Handbook 1344.1 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 (Approved by the Office of Management and Budget under OMB Control Numbers 1215.0140 and 1215-0017.) (11) (a) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to HUD or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or its designee. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i) except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at htfp:Hwww.dol.aov/esa/whd/forms/wh347inslr.him or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to HUD or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or its designee, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this subparagraph for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to HUD or its designee. (Approved by the Office of Management and Budget under OMB Control Number 1215-0149.) Exhibit "A" (2) That each taborer 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 29 CFR Part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (c) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the 'Statement of Compliance' required by subparagraph A.3.(ii)(b). (d) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 16 and Section 231 of Title 31 of the United States Code. (III) The contractor or subcontractor shall make the records required under subparagraph A.3.(i) available for inspection, copying, or transcription by authorized representatives of HUD or its designee or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job- If the contractor or subcontractor fails to submit the required records or to make them available, HUD or its designee may, after written notice to the contractor, sponsor, applicant or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. 4. Apprentices and Trainees. (1) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wane rate who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. It the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (11) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant %to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S- Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by Previous editions are obsolete form HUD-4010 (06/2009) Page 3 of 5 ref. Handbook 1344.1 Exhibit "A" the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the 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 fill) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under 29 CFR Part 5 shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30. S. 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 will insert in any subcontracts the clauses contained in subparagraphs 1 through 11 in this paragraph A and such other clauses as HUD or its designee may by appropriate instructions require, and a copy of the applicable prevailing wage decision, and also a clause requiring the subcontractors to include these clauses In any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in this paragraph 7. Contract termination; debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract and for debarment as a contractor and a subcontractor as provided in 29 CFR 5 12 8. Compliance with Davls-Bacon and Related Act Requirements. All rulings and interpretations of the Davis -Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract 9. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7 Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and HUD or its designee, the U.S. Department of Labor, or the employees or their representatives. 10, (I) Certification of Eligibility. By entering into this contract the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of Section 3(a) of the Davis -Bacon Act or 29 CFR 5 12(a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24. (11) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of Section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24. (111) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. Additionally, U.S. Criminal Code, Section 1 01 0, Title 18, U S.C., 'Federal Housing Administration transactions% provides in part 'Whoever, for the purpose of . . . influencing in any way the action of such Administration..... makes, utters or publishes any statement knowing the same to be false..... shall be fined not more than $5,000 or imprisoned not more than two years, or both.' 11. Complaints, Proceedings, or Testimony by Employees. No laborer or mechanic to whom the wage, salary, or other labor standards 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. B. Contract Work Hours and Safety Standards Ad. The provisions of this paragraph B are applicabie where the amount of the prime contract exceeds $100,000 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 the individual is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in subparagraph (1) of this paragraph, the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in subparagraph (1) of this paragraph, in the sum of E10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in sub paragraph (1) of this paragraph. Previous editions are obsolete form HUD-4010 (06/2009) Page 4 of 5 ref. Handbook 1344 1 Exhibit "A" (3) Withholding for unpaid wages and liquidated damages. HUD or its designee shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any 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 contract, or any other Federally -assisted contract subject to the Contract Work Hours and Safely 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 subparagraph (2) of this paragraph. (4) Subcontracts. The contractor or subcontractor shall Insert in any subcontracts the clauses set forth in subparagraph (1)through (4) of this paragraph 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 in subparagraphs (1) through (4) of this paragraph C. 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 Slat 96). 40 USC 3701 et sea. (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 lake 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 Previous editions are obsolete form HUD1010 (06/2009) Page 5 of 5 ref. Handbook 1344.1 Exhibit "A" Federal Contract Provisions Exhibit "A" Community Development Block Grant Program 24 CFR Part 570 FEDERAL CONTRACT PROVISIONS This Contract is funded in whole or in part by the US Department of Housing and Urban Development Community Development Block Grant (CDBG) Program funds made available to the City of Round Rock. These additional provisions apply when CDBG is used to fund eligible activities permitted by the CDBG regulations published at 24 CFR Part 570. The Contractor and all of its Subcontractors shall comply with these Federal provisions. The Contractor shall include this document in all subcontracts and ensure it is also included in all lower -tier subcontracts of the Subcontractor. I. Davis -Bacon Act -29 CFR Parts 1, 3, S, 6, and 7 In carrying out this Agreement, the Contractor agrees to comply with the requirements of the Davis- Bacon Act, which requires the payment of prevailing wage rates (which are determined by the U.S. Department of Labor) to all laborers and mechanics on Federal government and District of Columbia construction projects in excess of $2,000. Construction includes alteration and/or repair, including painting and decorating, of public buildings or public works. A Davis - Bacon wage decision (or wage determination) is a listing of various construction work classifications, such as Carpenter, Electrician, Plumber and Laborer, and the minimum wage rates (and fringe benefits, where prevailing) that workers who perform work in those classifications must be paid. 2. Contract Work Hours and Safety Standards Act — 40 U.S.C. 327-333 The Contractor shall comply with the requirements of the Contract Work Hours and Safety Standards Act as supplemented by U.S. Department of Labor regulations 29 CFR Part 5. CWHSSA requires time and one-half pay for overtime (0/T) hours (over 40 in any workweek) worked on covered projects. The Act applies to both direct Federal contracts and indirect Federally -assisted contracts except where the assistance is solely in the nature of a loan guarantee or insurance. CWHSSA violations carry a liquidated damages penalty ($10/day per violation). Intentional violations of CWHSSA standards can be considered for criminal prosecution. CWHSSA does not apply to construction or rehabilitation contracts that are not subject to Federal prevailing wage rates. CWHSSA applies to prime contracts greater than $100,000 and to all subcontracts and lower -tier subcontracts or the Subcontractor. 3. Copeland "Anti -Kick Back" Act — 18 U.S.C. § 874 and 40 U.S.C. § 276c; 29 CFR Part3 The Contractor, Subcontractor(s) and lower -tier Subcontractors shall comply with the requirements of the Copeland "Anti -Kick Back' Act as supplemented in the U.S. Department of Labor regulations 29 CFR Part 3. The Copeland Act makes it a Federal crime for anyone to require any laborer or mechanic (employed on a Federal or Federally assisted project) to kickback (i.e., give up or pay back any part of their wages. The Copeland Act requires every employer (Contractors and Subcontractors) to submit weekly payroll reports (CPRs) and Exhibit "A" regulates permissible payroll deductions. 4. Equal Employment Opportunity — Title VII of the Civil Rights Act of 1964; E.O. 11246 A. The Contractor will ensure that all Subcontractor(s) and lower -tier Subcontractors agree to incorporate or cause to be incorporated into any contract for professional services or construction, or modification thereof, as defined in the regulations of the Secretary of Labor at 41 CFR Part 60, which is paid for in whole or in part with funds obtained from the Federal government or borrowed on the credit of the Federal government pursuant to a grant, contract, loan insurance or guarantee or undertaken pursuant to any Federal program involving a grant, contract, loan insurance or guarantee, the following equal opportunity clause below. B. During the performance of the contract, the Contractor, Subcontractor(s) and lower -tier Subcontractor(s) will: 1. Not discriminate against any employee or applicant for employment because of race, color, religion, sex or national origin; 2. Take affirmative action to ensure that applicants are employed, and the employees are treated during employment without regard to their race, color, religion, sex or national origin. 3. Such action shall include, but not be limited to the following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rate of pay or other forms of compensation; and selection for training, including apprenticeship; 4. Post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination. E.E.O. posters are included herein as Exhibit N to ensure notification of employees. 5. In all solicitations or advertisements for employees' state that all qualified applicants will receive considerations for employment without regard to race, color, religion, sex or national origin; 6. Send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representative of the E.E.O. commitments under this section, and shall post copies of the notice in conspicuous place available to employees and applicants foremployment; 7. Comply with all provisions of Executive Order 11246 of September 24, 1965, as amended by Executive Order 11375, and with the rules regulations and relevant orders of the Secretary ofLabor; 8. 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; 9. In the event of non-compliance 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, Subcontractor(s) and lower -tier Subcontractor(s) 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 as may be imposed and remedies Exhibit "A" invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations or order of the Secretary of Labor, or otherwise provided by law; and 10. Include paragraph B, and Bl-9 in every subcontract, lower -tier 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 14, 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 administering agency to enter into such litigation to protect the interests of the United States. C. The Contractor 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, instrument or subdivision of such government which does not participate in the work on or under the contract. D. The Contractor agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of 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. E. The Contractor 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 Subcontractor 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 City or the Secretary of Labor pursuant to Part II, Subpart D of theexecutive order. F. In addition, the applicant agrees that if it fails or refuses to comply with these undertakings, the City may take any or all of the following actions: Cancel, terminate or suspend in whole or in part this grant (contract, loan insurance or guarantee) refrain from extending any further assistance to the Contractor under the CDBG program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such Contractor; and refer the case to the Department of Justice for appropriate proceedings. 5. Title VI of Civil Rights Act of 1964 — 42 U.S.C. § 2000d et seq. During the performance of this contract, the Contractor, for itself, its assignees and successors interest (hereinafter referred to as the "Contractor', agrees as follows: Exhibit "A" A. The Contractor, with regard to the work performed by it during the contract, shall not discriminate on the grounds of race, color, sex or national origin in the selection and retention of Subcontractors, including procurements of materials and leases of equipment. The Contractor shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the regulations, including employment practices. B. In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, including procurements of materials or leases of equipment, each potential Subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under this contract and the regulations relative to nondiscrimination on the grounds of race, color, sex or national origin. C. The Contractor shall provide all information and reports required by the regulations or directives issued pursuant thereto, and shall permit access to its books, records, accounts, their sources of information and its facilities as may be determined by the City and the U.S. Department of Housing and Urban Development to be pertinent to ascertain compliance with such regulations, orders and instructions. Where any information is required or a Contractor is in the exclusive possession of another who fails or refuses to furnish this information, the Contractor shall so certify to the City or the U.S. Department of Housing and Urban Development, as appropriate, and shall set forth what efforts it has made to obtain the information. D. In the event of the Contractor's noncompliance with the nondiscrimination provisions of this contract, the City or the U.S. Department of Housing and Urban Development shall impose such contract sanctions as it may determine to be appropriate, including, but not limited to: 1. Withholding of payments to the Contractor under the contract until the Contractor complies; and/or 2. Cancellation, termination or suspension of the contract, in whole or in part. E. The Contractor shall include the provisions of paragraph A through E in every subcontract, including procurements of materials and leases of equipment, unless exempt by the regulations or directive issued pursuant thereto. The Contractor shall take such action with respect to any subcontract or procurement as the City or the U.S. Department of Housing and Urban Development may direct as a means of enforcing such provisions including sanctions for noncompliance: Provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a Subcontractor or supplier as a result of such direction, the Contractor may request the City to enter such litigation to protect the City, and in addition, the Contractor may request the U.S. Department of Housing and Urban Development to enter into such litigation to protect the interests of the United States. 6. Section 504 of the Rehabilitation Act of 1973 — 29 U.S.C. 794, 24 CFR Parts 8 and9 A. The Contractor will not discriminate against any employee or applicant for employment because of physical or mental handicap in regard to any position for which the employee or Exhibit "A" applicant for employment is qualified. The Contractor agrees to take affirmative action to employ, advance in employment and otherwise treat qualified handicapped individuals without discrimination based upon their physical or mental handicap in all demotion or transfer, recruitment, advertising, layoff or termination, rates of pay or other forms of compensation, and selection for training, including apprenticeship. B. The Contractor agrees to comply with the rules, regulations and relevant orders of the Secretary of Labor issued pursuant to the Act. C. In the event of the Contractor's non-compliance with the requirements of this clause, actions for non-compliance may be taken in accordance with the rules, regulations and relevant orders of the Secretary of Labor issued pursuant to the Act. D. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices that state the Contractor's obligation under the law to take affirmative action to employ and advance in employment qualified handicapped employees and applicants foremployment, and the rights of applicants and employees. E.E.O. posters are included herein as Exhibit N to ensure notification to disabled employees. E. The Contractor will notify each labor union or representative of workers with which it has a collective bargaining agreement or other contractual understanding, the that Contractor is bound by the terms of Section 504 of the Rehabilitation Act of 1973, and is committed to take affirmative action to employ and advance in employment physically and mentally handicapped individuals. F. The Contractor will include the provisions of this clause in every subcontract or purchase order of $2,500 or more unless exempted by rules, regulations or orders of the Secretary issued pursuant to Section 504 of the Act, so that such provisions will be binding upon each Subcontractor with respect to any subcontract or purchase order as the Director of the Office of Federal Contract Compliance Programs may direct to enforce such provisions, including action for noncompliance. 7. Architectural Barriers Act of 1968 — 42 U.S.C. 4151, et seq; 24 CFR Parts 40 and41 The Contractor shall comply with the Architectural Barriers Act, which requires buildings and facilities that are constructed by or on behalf of, or leased by the United States, or buildings financed, in whole or in part, by a grant or loan made by the United States to be accessible to persons with mobility impairments. The Architectural and Transportation Barriers Board (ATBCB) has coordination authority for the ABA of 1968. 8. Age Discrimination in Employment Act of 1975 — 42 U.S.C. 6101, et seq; 24 CFR Part 146 The Contractor shall comply with the Age Discrimination Act of 1975, which provides that no person, on the basis of age shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. Exhibit "A" 9. Americans with Disabilities Act of 1990 — E.O. 11250; 42 U.S.C. 12131; 24 CFR Part 35 The Contractor shall comply with the Americans with Disabilities Act of 1990, which provides that no person, on the basis of handicap, shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. 10. Energy Policy and Conservation Act — Public Law 94-163, Stat. 871 The Contractor shall comply with the requirements of mandatory standards and policies relating to energy efficiency, which are contained in the Georgia energy conservation plan issued in compliance with the Energy Policy and Conservation Act. 11. Section 109 Title I of the Housing and Urban Development Act of 1974 —42 U.S.C. 5309 The Contractor shall, as provided for in Section 109, ensure that no person in the United States shall, on the grounds of race, color, national origin, religion or sex be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with Federal financial assistance. 12. Section 306 Clean Air Act, Section 508 Clean Water Act and EPA Regulations— 42 U.S.C. 1857(h); 33 U.S.C. 1251 et seq. as amended; 40 CFR Part 15 The Contractor shall comply with the requirements of the Federal Clean Air Act and the Federal Water Pollution Control Act, as amended. Requirements for compliance with these regulations apply to contracts, subcontracts and subgrants in amounts in excess of $100,000. 13. Section 3 — 24 CFR Part 135 The Contractor shall comply with the purposes of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) (Section 3) and ensure that employment and other economic opportunities generated by HUD -funded programs, to the greatest extent feasible, and consistent with Federal, State and local laws and regulations, be directed to low -and very - low income persons, particularly those who are recipients of government assistance for housing, and to business concerns which provide economic opportunities to low -and very low-income persons. Section 3 regulations apply only to Contractors (or Subcontractors) receiving CDBG funds in excess of $100,000 to complete projects involving housing construction, rehabilitation or other public construction projects. 14. Certification of Non -segregated Facilities — E.O. 11246; 41 CFR Part 60-1.8 The Contractor certifies that it does not maintain or provide for its employees any segregated facility at any of its establishments, and those under its control. The Contractor certifies further that it will not maintain or provide for employment segregated facilities at any of its establishments, and it will not permit employees to perform their services at any location under its control where segregate facilities are maintained. The Contractor agrees that a breach of this certification is a violation of the Equal Opportunity Clause of the contract. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, rest rooms Exhibit "A" and wash rooms, restaurants and other eating areas, parking lots, drinking fountains, recreation or entertainment areas, transportation and housing facilities provided for employees which are segregated by explicit directive or in fad segregated on the basis of race, color, religion or national origin because of habit, local custom or otherwise. The Contractor further agrees that (except where it has obtained identical certifications from proposed Subcontractors for specific time periods) it will obtain identical certification from proposed Subcontractors prior to the award of subcontracts exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity Clause; that it will retain such certification in its files; and that it will forward this notice to such proposed Subcontractors (except where proposed Subcontractors have submitted identical certification for specific time periods). 15. Drug -free Workplace Requirements — 41 U.S.C. 701; 24 CFR Part 21. The Contractor shall comply with the requirements of the Drug -Free Workplace Act of 1988. The Contractor certifies to comply with the Drug -free workplace requirements in accordance with the Act, and with U.S. Department of Housing and Urban Development regulations. 16. Minority, Women -owned, Small Business Enterprise (M/W/SBE) — 24 CFR Part 85(e) The Contractor, and any subsequent Subcontractors, shall take affirmative steps to contract with minority, women -owned and small businesses, and labor surplus area firms. Affirmative steps shall include: A. Placing qualified small and minority businesses and women's business enterprises on solicitation lists; B. Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources; C. Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority businesses, and women's business enterprises; D. Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority business, and women's business enterprises; E. Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce; and F. Requiring the prime Contractor, if subcontracts are to be let, to take the affirmative steps listed in this section. 17. Copyrights and Patent Rights — 24 CFR Part 85.34 and Part 85.36(i)(8) No reports, maps or other documents produced in whole or in part under this contract shall be the subject of an application for copyright by or on behalf of the Contractor or any Exhibit "A" Subcontractor. The U.S. Department of Housing and Urban Development reserves a royatty-free, nonexclusive and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal government purposes (a) a copyright in any work developed under a grant, subgrant or contract under a grant or subgrant; and (b) any rights of copyright to which a grantee, subgrantee or Contractor purchases ownership with grant support. 18. Audits — 24 CFR Part 85.26(b)(1) Commercial Contractors (private for -profit, and private and governmental organizations) providing goods and services to State and local governments are not required to have a single audit performed. However, the Contractor shall maintain accounts and records, including personnel, property and financial records, adequate to identify and account for all costs pertaining to this contract and such other records as may be deemed necessary by the City to assure proper accounting for all funds applicable to this contract. These records will be made available for audit purposes to the City or any authorized representative, and will be retained consistent with Record Retention requirements stated in Section 21. 19. Conflict of interest — 24 CFR Part 85.36 and 24 CFR Part 570.611 The Contractor shall maintain a written code or standards of conduct which shall govern the performance of their officers, employees or agents engaged in the award and administration of contracts supported with CDBG. No employee, officer or agent of the City shall participate in the selection, or in the award or administration of a contract supported with CDBG if a conflict of interest, real or apparent, would be involved. Persons covered under this section include any person who is: A. An employee, agent, consultant, officer or elected or appointed official of the grantee, any designated public agency or any subrecipient agency that is receiving CDBG funds from the City; 1. Any member of his/her immediate family; 2. His or her partner; or 3. An organization which employs, or is about to employ, any of the above, has a financial or other interest in the firm selected for award. The Contractor's officers, employees or agents shall neither solicit nor accept gratuities, favors or anything of monetary value from Contractors, potential Contractors or parties to subagreements funded with CDBG funds. To the extent permitted by the State or local law or regulations, such standards of conduct shall provide for the penalties, sanctions or other disciplinary actions for violations of such standards of by the grantee's officers, employees or agents, or Contractors or their agents. Exhibit "A" No persons described in A through D above 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, may 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. 20. Records Retention — 24 CFR Part 85.42(a)-(d) The Contractor shall comply with the CDBG records retention regulations. Financial, program, supporting, statistical and other records pertinent to this contract and the grant program shall be maintained for 4 years (24 CFR Part 570(a)(16)). However, if any litigation, claim, negotiation, audit or other action involving the records starts before the expiration of the 4 year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the 4 year period, whichever is later. 21. Records Access — 24 CFR Part 85.42(e) & (f) The Contractor shall give access to all records, pertinent books, documents, papers or other records related to this contract to the awarding agency, the Comptroller of the United States and any of their authorized representatives in order to audit, examine, excerpt and transcribe information as needed. Exhibit "A" Federal Register 2 CFR Part 200, Appendix II Exhibit "A" FEDERALLY MANDATED PROCUREMENT CONTRACT PROVISIONS Appendix II to 2 CFR Part 200 Contract Provisions for Non -Federal Entity Contracts Under Federal Awards In addition to other provisions required by the Federal agency or non -Federal entity, all contracts made by the non -Federal entity under the Federal award must contain provisions covering the following, as applicable. The Contractor and all of its Subcontractors shall comply with these Federal provisions. The Contractor shall include this document in all subcontracts and ensure it is also included in all lower -tier subcontracts of the Subcontractor. (A) Contracts for more than the simplified acquisition threshold currently set at $150,000, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. (8) All contracts in excess of $10,000 must address termination for cause and for convenience by the non -Federal entity including the manner by which it will be effected and the basis for settlement. (C) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all contracts that meet the definition of "federally assisted construction contract" in 41 CFR Part 60-1.3 must include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, "Equal Employment Opportunity" (30 FR 12319, 12935, 3 CFR Part, 1964- 1965 Comp., p. 339), as amended by Executive Order 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," and implementing regulations at 41 CFR part 60, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor." (D) Davis -Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non -Federal entities must include a provision for compliance with the Davis -Bacon Act (40 U.S.C. 3141-3144, and 3146- 3148) as supplemented by Department of Labor regulations (29 CFR Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction'). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The non -Federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non -Federal entity must report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland "Anti -Kickback" Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, "Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States'. The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non -Federal entity must report all suspected or reported violations to the Federal awarding agency. (E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded by the non -Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 Exhibit "A" hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week, The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. (F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of "funding agreement" under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that "funding agreement," the recipient or subrecipient must comply with the requirements of 37 CFR Part 401, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations issued by the awarding agency. (G) Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as amended —Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non -Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA). (H) Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) must not be made to parties listed on the government -wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), "Debarment and Suspension." SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. (1) Byrd Anti -Lobbying Amendment (31 U.S.C. 1352}-Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non - Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier, up to the non -Federal award. (J) See §200.322 Procurement of recovered materials. [78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75888, Dec. 19, 2014]