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HomeMy Public PortalAbout191-2017 - Purchasing - Vic Butcher Construction - Lead Paint Remediationf AGREEMENT THIS AGREEMENT made and entered into this ' I day of � ', 2017, and referred to as Contract No. 191-2017 by and between the City of Richmond, Indiana, a municipal corporation acting by and through its Board of Public Works and Safety (hereinafter referred to as the "City") \ and Vic Butcher Construction, 23934 Edison Road, South Bend, Indiana, 46628 (hereinafter referred to as the "Contractor") and Jessica and Edward Sparks (hereinafter referred to as "Homeowners"). SECTION I. STATEMENT AND SUBJECT OF WORK In accordance with directives issued by the State of Indiana by and through its Department of Health (IDOH) and by and through its Department of Housing and Community Development (IHCDA), City hereby retains Contractor to provide services in connection with lead -based paint containment, encapsulation, stabilization, and rehabilitation for the private property located at 305 South 10`h Street (the "premises"), located in Richmond, Indiana (the "Project") as more specifically described on Contractor's proposal. All lead -based paint activities conducted by Contractor shall comply with all applicable federal and state guidelines as explained in part below. Contractor's proposal, dated October 13, 2017, consisting of two (2) pages, is on file in the office of the Department of Infrastructure and Development, is incorporated herein by reference and made a part of this Agreement, and is attached hereto as Exhibit A. Contractor agrees to abide by the same. The Parties expressly agree that in addition to the work listed in Exhibit A in connection with the interior of the premises, the cleaning and removal work shall include cleaning of the air vents and air ducts, and any other cleaning work typically associated with lead -based paint rehabilitation. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended 12 U.S.C. 1701u (Section 3), attached hereto and incorporated herein by reference as Exhibit B, and Contractor shall abide by said requirements. The parties to this Contract agree to comply with this Section and certify that they are under no contractual or other impediment that would prevent them from complying with these regulations. The Contractor agrees to notify each labor organization or representative workers with which the Contractor has a collective bargaining agreement of the Contractor's commitments under this Section 3 clause and include this clause in every subcontract subject to compliance with the Section 3 regulations. The Contractor will certify that any vacant employment positions, including training positions that are filled after the Contractor is selected but before the Contract is executed with persons other than those to whom the regulation of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the Contractor's obligations under this section of the Code of Federal Regulations. Noncompliance with HUD's regulations in this Part may result in sanctions, termination of this Contract for default, and debarment or suspension from future HUD assisted contracts. Contract No. 191-2017 Page 1 of I I f Contractor shall abide by all applicable provisions of the Federal Contract provisions set forth in 29 CFR 5.5, which requirements are incorporated herein by reference and made a part of this Agreement, and are attached hereto as Exhibit C. Contractor shall comply with all applicable US EPA and IFA requirements as well as any federal and state lead -based paint disposal requirements. Contractor shall comply with all other applicable Federal Construction Contract provisions required for Community Development Block Grant Programs, which requirements are incorporated herein by reference and made a part of this Agreement and are attached hereto as Exhibit D. Contractor was procured from the list of Contractors obtained from the Indiana Department of Health which list is attached hereto as Exhibit E, incorporated by reference, and made a part of this Agreement. Said list was provided to the City from the Indiana Department of Health via correspondence from the Indiana Housing and Community Development Authority. Should any provisions, terms, or conditions contained in any of the documents attached hereto as Exhibits, or in any of the documents incorporated by reference herein, conflict with any of the provisions, terms, or conditions of this Agreement, this Agreement shall be controlling. The Contractor shall furnish all labor, material, equipment, and services necessary which are incidental to the proper completion of all work specified. Unless otherwise specified, all materials shall be new, and both workmanship and materials shall be good quality. All workmen and sub- contractors shall be skilled in their trades. The Contractor shall obtain and pay for all permits necessary for the completion and execution of the work. The Contractor must contact the City of Richmond Department of Infrastructure and Development ("I&D") prior to commencing any work. Strict compliance with codes and ordinances shall be observed in all phases of construction work. The contractor shall perform all work in conformance with applicable local codes, state codes, and requirements whether or not covered by the Specifications and Bid for the work. The Contractor shall adequately protect the work, adjacent property, and the public, and shall be responsible for any damage or injury due to its act or neglect. The Contractor shall permit and facilitate observation of the work by the City and/or I&D, at all times. The Contractor shall at all times keep the premises free from the accumulations of waste materials or rubbished caused by its employees at work; and at the completion of the work it shall remove all rubbish from and about the premises and all its tools, scaffolding and surplus materials and shall leave its work "wet mop clean" or its equivalent. It is further agreed that all materials, and equipment that have been removed and replaced as part of the work hereunder shall belong to Contractor unless otherwise specified in writing as a provision of this Contract. Contractor and each subcontractor, if any, is responsible for its work as per this Contract. The Contractor shall ensure that any sub -contractors used shall be fully responsible for any work performed as per this Contract. The Contractor agrees that it is as fully responsible to the City and the IHCDA for the acts and omission of its sub -contractors and of persons either directly or indirectly employed by it, as it is for the acts and omissions of itself or persons directly employed by it. Nothing contained this Contract shall create any contractual relation between any sub -contractor and the City nor any contractual relation between any sub -contractor and the IHCDA. Page 2 of 11 No performance of services shall commence until the following has been met: 1. The City is in receipt of any required certificates of insurance; 2. The City is in receipt of any required affidavit signed by Contractor in accordance with Indiana Code 22-5-1.7-11(a)(2); and 3. A purchase order has been issued by the Purchasing Department. SECTION II. STATUS OF CONTRACTOR Contractor shall be deemed to be an independent contractor and is not an employee or agent of the City of Richmond. The Contractor shall provide, at its own expense, competent supervision of the work. SECTION III. COOPERATION FROM HOMEOWNERS The Homeowners agree to permit the Contractor to use, at no cost, existing facilities such as light, heat, power, and water necessary to the carrying out and completion of the work. The Homeowners also agree to cooperate with the Contractor to facilitate the performance of the work, including the removal and replacement of rugs, coverings, and furniture as necessary. The premises are not to be occupied during the course of satisfactory completion of the work. SECTION IV. COMPENSATION, CHANGES IN THE WORK, CORRECTION OF WORK AND GUARANTEES Contractor shall submit to the City its invoices for the work to be performed pursuant to this Agreement in a total sum not to exceed Sixty Thousand Nine Hundred Twenty-four Dollars and Zero Cents ($60,924.00) for complete and satisfactory performance of the work required hereunder. City shall forward Contractor's invoices to the Indiana Department of Housing and Community Development (IHCDA) and said invoices shall be paid by IHCDA. The final payment shall not be due until the Contractor has delivered to I&D a complete release of all liens arising out of the Contract, if any. In the event IHCDA is unwilling to pay Contractor the invoices submitted pursuant to this Agreement, the City shall pay the above -described amount to Contractor for complete and satisfactory performance of the work required hereunder. I&D may process changes in the work only upon approval by the Homeowners, the Contract Sum being adjusted accordingly. All such orders and adjustments shall be in writing as an addendum to this contract BEFORE EXECUTING THE WORK INVOLVED. The Contractor guarantees the improvements herein provided for, for a period of two (2) years from the date of final acceptance of all work required by this Contract. It is further agreed that the Contractor shall furnish the Homeowners with all manufacturers' and suppliers' written guarantees and warranties covering materials and equipment furnished under this Contract and Contractor shall keep and maintain copies of all furnished guarantees and warranties for a period of at least seven (7) years. The final payment shall not be due until the Contractor has delivered to I&D a complete release of all liens arising out of the Contract; recognizing, however, that this is a No -Lien Agreement. Ten percent (10%) of the Contract amount will be withheld until the property passes the Lead -Based Page 3 of 11 Paint Clearance Test. I&D will pay for the first clearance test. If the Contractor fails the first clearance test, the Contractor must pay for any further testing until the property passes the clearance test. Contractor understands that the City proposes to pay its share of the Contract, as defined in said Contract, of work by means of a rehabilitation grant from the Indiana Housing and Community Development Authority and agrees that no payments shall be due to Contractor until the work is inspected and approved by I&D and the Homeowners. Contractor shall cooperate with the City by furnishing lien wavers, release, and other documents as required by Start Development, Inc. A representative from I&D shall inspect and shall be permitted to inspect the premises at least twice per day on each workday Contractor is at the premises and Contractor shall provide I&D with a daily work plan that is being completed by Contractor on the premises each day. I&D shall keep a log of each visit to the premises and shall assess and validate the work done by Contractor each workday. I&D shall provide the IHCDA by e-mail a weekly report summarizing the work performed by Contractor and summarizing any issues that arose during the week, which e-mail shall be sent to the designated IHCDA representative by the end of the day on Friday of each week. A representative from IDOH shall also be permitted to visit the premises and conduct any inspections deemed necessary by the IDOH. SECTION V. TERM OF AGREEMENT This Agreement shall become effective when signed by all parties and shall continue in effect until the completion of the project. Notwithstanding the term of this Agreement, City may terminate this Agreement in whole or in part, for cause, at any time by giving at least five (5) working days written notice specifying the effective date of termination and the reasons for termination which shall include but not be limited to the following: (1) failure, for any reason of the Contractor to fulfill in a timely and proper manner its obligations under this Agreement; (2) submission by the Contractor to the City of reports that are incorrect or incomplete in any material respect; (3) ineffective or improper use of funds provided under this Agreement; (4) unavailability of sufficient funds to make payment on this Agreement. In the event of such termination, the IHCDA, or the City as specified above in the event IHCDA is unwilling to pay, shall be required to make payment for all work performed prior to the effective date of termination by Contractor, but shall be relieved of any other responsibility herein. This Agreement may also be terminated by either the City, or the Contractor, in whole or in part, by mutual Agreement setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. This Agreement may also be terminated by the City, in whole or in part, in the event the grant funding to the City under which this Agreement is made is suspended or terminated. Page 4 of 11 A force majeure event is an event that includes but is not restricted to: acts of God; acts of a legislative, administrative, or judicial entity; acts of contractors other than contractors engaged directly by Contractor; fires; floods; labor disturbances; epidemics; and unusually severe weather. In the event that performance of services by Contractor is affected by a force majeure event that is beyond the Contractor's reasonable control, Contractor will be granted a time extension and the parties will negotiate an equitable adjustment to the price of any affected services, where appropriate, based upon the effect of the force majeure event on performance by Contractor. However, City retains the right to terminate as set forth above and in the event of such termination, the City shall be required to make payment for all work performed prior to the effective date of termination by Contractor, but shall be relieved of any other responsibility herein. Notwithstanding the above termination provisions, additional termination and settlement provisions are as follows: CITY'S RIGHT TO TERMINATE THE CONTRACT Should the CONTRACTOR neglect to perform the work properly or fail to perform any provisions of the Contract, the CITY, after seven (7) days written notice to the CONTRACTOR and its surety, if any, may without prejudice to any other remedy it may have, make good the deficiencies and deduct the cost thereof from the payment then or thereafter due to the CONTRACTOR; or, at its option, may terminate the Contract and take possession of all materials, tools, and appliances and finish the work by such means as it sees fit, with the approval of Star Development, Inc. If the unpaid balance of the Contract Sum exceeds the expense of finishing the work, such excess shall be paid to the CONTRACTOR, but if such expense exceeds such unpaid balance, the CONTRACTOR shall pay the difference to the CITY. (2) CONTRACTOR'S RIGHT TO TERMINATE THE CONTRACT Should the work be stopped by any public authority for a period of thirty (30) days or more, through no fault of the CONTRACTOR, or should the work be stopped through act or neglect of the CITY for a period of fourteen (14) days, the CONTRACTOR upon ten (10) days written notice to the CITY and CITY REPRESENTATIVE, may stop all work or terminate the Contract and recover from the CITY payment for all work properly executed to date. SECTION VI. WITHHOLDING, RETAINAGE, AND CLAIMS FOR PAYMENTS Contractor understands, acknowledges and agrees that pursuant to Indiana Code 36-1-12-13 the City must provide for the payment of subcontractors, laborers, material suppliers, and those performing services under a public works contractor and further agrees that in the event Contractor fails to timely pay any subcontractor, laborer, or material supplier for the performance of services or delivery of materials under this Agreement that the Board of Public Works and Safety for the City shall withhold payments in an amount sufficient to pay the subcontractors, laborers, material suppliers, or those providing services. Contractor further understands, acknowledges, and agrees that the Board shall proceed with the proper administrative procedures initiated as the result of any claims timely filed by any subcontractor, laborer, or material supplier under Indiana Code 36-1-12-12. Page 5 of 11 SECTION VII. INDEMNIFICATION AND INSURANCE Contractor agrees to obtain insurance and to indemnify the IHCDA, the City, and the Homeowners for any damage or injury to person or property or any other claims which may arise from the Contractor's conduct or performance of this Agreement, either intentionally or negligently; provided, however, that nothing contained in this Agreement shall be construed as rendering the Contractor liable for acts of the City, its officers, agents, or employees, and that nothing contained in this Agreement shall be construed as rendering the Contractor liable for any acts of the Homeowners. Contractor shall as a prerequisite to this Agreement, purchase and thereafter maintain such insurance as will protect it from the claims set forth below which may arise out of or result from the Contractor's operations under this Agreement, whether such operations by the Contractor or by any sub -contractors or by anyone directly or indirectly employed by any of them, or by anyone for whose acts the Contractor may be held responsible. Coverage Limits A. Worker's Compensation & Statutory Disability Requirements B. Employer's Liability $100,000 C. Comprehensive General Liability Section 1. Bodily Injury $1,000,000 each occurrence $2,000,000 aggregate Section 2. Property Damage $1,000,000 each occurrence D. Comprehensive Auto Liability Section 1. Bodily Injury $1,000,000 each person $1,000,000 each occurrence Section 2. Property Damage $1,000,000 each occurrence E. Comprehensive Umbrella Liability $1,000,000 each occurrence $1,000,000 each aggregate F. Contractor's Pollution Liability $1,000,000 each occurrence G. Professional Liability Errors and Omissions $1,000,000 each occurrence It is further agreed that the Contractor, at its sole cost and expense shall acquire and maintain fire and extended coverage insurance upon the entire structure on which the work of this Contract is herein described. The insurance coverage shall be for One Hundred Percent (100%) of the insurable value which is declared not to exceed Fifty Thousand Dollars ($50,000.00), on a form of policy approved by the Insurance Commissioner of the State of Indiana, or an agency duly delegated by him for insuring such a risk in the State of Indiana. Loss, if any, is to be payable to the Homeowners having Page 6 of 11 legal title to the property that is to be rehabilitated, except in such cases as may require payment of the proceeds of such insurance to the City as its interests may appear. SECTION VIII. OTHER FEDERAL CONTRACT PROVISIONS (EQUAL EMPLOYMENT OPPORTUNITY, ENVIRONMENTAL REQUIRED LANGUAGE) The Parties agree that in addition to the other provisions of this Contract, the Contract Documents shall include, and the Parties agreed to be bound by, the terms and conditions of all the following: A. General Federal Contract Provisions B. Federal Conflict of Interest Provisions C. Federal Retention and Custodial Requirements D. Federal Disclosure Reports E. Rehabilitation Act of 1974 F. Executive Order H 063 G. Executive Order 14246, as amended by Executive Order 11375 H. Office of Federal Contract Compliance Programs (OFCCP) Subcontract Notification (where applicable) I. Monthly Employment Utilization Report (where applicable) J. Listing of Active Federal and Non -Federal Projects (where applicable) K. Employer Information Report (where applicable) L. Prime Contractor/Grantee Report (where applicable) M. Affirmative Action Plan N. Certification of Non -`Segregated Facilities (where applicable) O. Age Discrimination Act of 1975. P. Executive Order 12138: Women Business Enterprise Policy Q. Special Conditions Pertaining to Hazards, Safety Standards, Accident Prevention and Lead -Based Paint Hazards R. Danger Signals and Safety Devices S. Certification Compliance with Clean Air and Water Acts (where applicable) Page 7 of 11 All documents listed above shall be incorporated herein by reference and shall become the entire Contract and shall be made as much a part of this Contract as if they had been included, attached, or set forth herein. The above documents constitute the entire agreement between the parties and no written or oral agreement of any kind exists to change the provisions hereof. No other work shall be done, nor additional monies paid, unless provided for in a Contract amendment, signed by the parties hereto. As previously stated, Federal Construction Contract Provisions required for Community Development Block Grant Program Construction Agreements are attached hereto as Exhibit D and incorporated herein by reference and made a part of this Agreement. Contractor and any and all subcontractors, independent contractors, suppliers, facilitators, or any other person participating in any program or activity receiving federal financial assistance shall comply with the provisions for the elimination of Lead -Based paint hazards under 24 CFR Part 35 and shall take all necessary precautions to guard against damages to property and injury to persons. The parties agree to execute any needed addendums to this Agreement to incorporate any further federal, state, or other provisions that might be required by IHCDA. SECTION IX. COMPLIANCE WITH WORKER'S COMPENSATION LAW Contractor shall comply with all provisions of the Indiana Worker's Compensation law, and shall, before commencing work under this Agreement, provide the City a certificate of insurance, or a certificate from the industrial board showing that the Contractor has complied with Indiana Code Sections 22-3-2-5, 22-3-5-1 and 22-3-5-2. If Contractor is an out of state employer and therefore subject to another state's worker's compensation law, Contractor may choose to comply with all provisions of its home state's worker's compensation law and provide the City proof of such compliance in lieu of complying with the provisions of the Indiana Worker's Compensation Law. In case any work is sublet, the Contractor shall require the subcontractor similarly to provide Workmen's Compensation Insurance for all of the latter's employees. SECTION X. PROHIBITION AGAINST DISCRIMINATION A. Pursuant to Indiana Code 22-9-1-10, Contractor, any sub -contractor, or any person acting on behalf of Contractor or any sub -contractor shall not discriminate against any employee or applicant for employment to be employed in the performance of this Agreement, with respect to hire, tenure, terms, conditions or privileges of employment or any matter directly or indirectly related to employment, because of race, religion, color, sex, disability, national origin, or ancestry. B. Pursuant to Indiana Code 5-16-6-1, the Contractor agrees: 1. That in the hiring of employees for the performance of work under this Agreement of any subcontract hereunder, Contractor, any subcontractor, or any person acting on behalf of Contractor or any sub -contractor, shall not discriminate by reason of race, religion, color, sex, national origin or ancestry against any citizen of the State of Indiana who is qualified and available to perform the work to which the employment relates; 2. That Contractor, any sub -contractor, or any person action on behalf of Contractor or any sub -contractor shall in no manner discriminate against or intimidate any employee hired for the performance of work under this Agreement on account of race, religion, color, sex, national origin or ancestry; Page 8 of I I 3. That there may be deducted from the amount payable to Contractor by the City under this Agreement, a penalty of five dollars ($5.00) for each person for each calendar day during which such person was discriminated against or intimidated in violation of the provisions of the Agreement; and 4. That this Agreement may be canceled or terminated by the City and all monies due or to become due hereunder may be forfeited, for a second or any subsequent violation of the terms or conditions of this section of the Agreement. C. Pursuant to Indiana Code 22-9-1-10 and the Civil Rights Act of 1964, the Contractor as the subrecipient and any of Contractor's subcontractors shall not discriminate against any employee or applicant for employment, to be employed in the performance of this Agreement, with respect to the employee's or applicant's hire, tenure, terms, conditions or privileges of employment or any matter directly or indirectly related to employment, because of the employee's or applicant's race, color, religion, sex, disability, national origin, or ancestry. Acceptance of this Agreement also signifies compliance with applicable Federal laws, regulations, and executive orders prohibiting discrimination in the provision of services based on race, color, national origin, age, sex, disability, or status as a veteran. D. Violation of the terms or conditions of this Agreement relating to discrimination or intimidation shall be considered a material breach of this Agreement. SECTION XI. COMPLIANCE WITH E-VERIFY PROGRAM REOUIREMENTS Pursuant to Indiana Code 22-5-1.7, Contractor is required to enroll in and verify the work eligibility status of all newly hired employees of the contractor through the Indiana E-Verify program. Contractor is not required to verify the work eligibility status of all newly hired employees of the contractor through the Indiana E-Verify program if the Indiana E-Verify program no longer exists. Prior to the performance of this Agreement, Contractor shall provide to the City its signed Affidavit affirming that Contractor does not knowingly employ an unauthorized alien in accordance with IC 22-5-1.7-11 (a) (2). In the event Contractor violates IC 22-5-1.7 the Contractor shall be required to remedy the violation not later than thirty (30) days after the City notifies the Contractor of the violation. If Contractor fails to remedy the violation within the thirty (30) day period provided above, the City shall consider the Contractor to be in breach of this Agreement and this Agreement will be terminated. If the City determines that terminating this Agreement would be detrimental to the public interest or public property, the City may allow this Agreement to remain in effect until the City procures a new contractor. If this Agreement is terminated under this section, then pursuant to IC 22-5-1.7-13 (c) the Contractor will remain liable to the City for actual damages. SECTION XII. IRAN INVESTMENT ACTIVITIES Pursuant to Indiana Code (IC) 5-22-16.5, Contractor certifies that Contractor is not engaged in investment activities in Iran. In the event City determines during the course of this Agreement that this certification is no longer valid, City shall notify Contractor in writing of said determination and shall give contractor ninety (90) days within which to respond to the written notice. In the event Contractor fails to demonstrate to the City that the Contractor has ceased investment activities in Iran within ninety (90) days after the written notice is given to the Contractor, the City may proceed with any remedies it may have pursuant to IC 5-22-16.5. In the event the City determines during the course of this Agreement that this certification is no longer valid and said determination is not Page 9 of 11 refuted by Contractor in the manner set forth in IC 5-22-16.5, the City reserves the right to consider the Contractor to be in breach of this Agreement and terminate the agreement upon the expiration of the ninety (90) day period set forth above. SECTION XIII. RELEASE OF LIABILITY Contractor and Homeowners hereby agree to release and hold harmless the City and IHCDA and all officers, employees, or agents of the same from all liability for negligence which may arise in the course of Contractor's performance of its obligations pursuant to this Agreement. The Contractor agrees to defend, indemnify and hold harmless the City, IHCDA, and the Homeowners, their employees and agents, for any costs, claims, or purported claims or dangers arising out of or incident to, the work which may be caused out of any act of negligence or omission of the Contractor, its subcontractors, agents or employees. SECTION XIV. MISCELLANEOUS This Agreement is personal to the parties hereto and neither party may assign or delegate any of its rights or obligations hereunder without the prior written consent of the other party. It shall be controlled by Indiana law and shall be binding upon the parties, their successors and assigns. It constitutes the entire Agreement between the parties, although it may be altered or amended in whole or in part at any time by filing with the Agreement a written instrument setting forth such changes signed by both parties. This Agreement may be simultaneously executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. The parties hereto submit to jurisdiction of the courts of Wayne County, Indiana, and suit arising under this Contract, if any, must be filed in said courts. The parties specifically agree that no arbitration or mediation shall be required prior to the commencement of legal proceedings in said Courts. Any person executing this Contract in a representative capacity hereby warrants that he has been duly authorized by his or her principal to execute this Contract. In the event of any breach of this Agreement by Contractor, and in addition to any other damages or remedies, Contractor shall be liable for all costs incurred by City due to the enforcement of this Agreement, including but not limited to City's reasonable attorney's fees, whether or not suit is filed. [Remainder of Page Intentionally Left Blank.] Page 10 of 11 In the event that an ambiguity or question of intent or a need for interpretation of this Agreement arises, this Agreement shall be construed as if drafted jointly by the parties, and no presumption or burden of proof shall arise favoring or disfavoring any party by virtue of the authorship of any of the provisions of this Agreement. IN WITNESS WHEREOF, the parties have executed this Agreement at Richmond, Indiana, as of the day and year first written above, although signatures may be affixed on different dates. "CITY" THE CITY OF RICHMOND, INDIANA by and through its Board of Public Works and Safety Vicki • .. . President Date: APPROVED: Sn yor Date: ( - I � - 13 "CONTRACTOR" VIC BUTCHER CONSTRUCTION 23934 Edison Road South Bend, IN 46628 "M IS �nt No Printed: V J L Ey -fC h -ems Title: d W /k-N 'eVL. Date: HOMEOWNERS OF 305 SOUTH IOTH STREET By: Jessica Sparks By: (LL� Edward Spa s Date: —I) ? 1 ? Page 11 of 1 I Proposal Vic Butcher Construction 23934 Edison Rd South Bend In. 46628 GNRLBUTCHER(a-),YAHOO.COM City of Richmond Community Development program 50N.511 st Richmond, IN R.E. 305 S loth St Interior: Date: 10/13/17 Floor coverings: *remove and replace all carpet and padding, all floors to be sealed before relaying carpet (color TBA by homeowner) *Install new vinyl flooring and underlayment in kitchen Interior paint: *Wayne coating and chair rail in kitchen to be wet scraped and painted (color TBA by homeowner) *Wet scrape and paint door jamb between kitchen and utility room *wet scrape and paint all baseboard in re -carpeted rooms (color to be white) Interior doors: Remove and replace interior hollow core door at laundry room (casing and door to be painted white) Exterior: Siding: *remove vinyl siding where existing and prep house for new Siding *install new 1/ inch insul-board on entire house (all seams to be taped) *Install new vinyl .044 vinyl siding, corner posts, and j-channel (color TBA by home owner) Windows: *Remove and replace (14) window units (windows to be white vinyl double hung half screen replacement style windows that are 5-star energy rated *all exterior casing to be furred and wrapped with aluminum (color to be white) EX�HIB�T PAGE L *framed openings to be repaired as needed *remove (4) basement windows and install (4) glass block windows Entry doors *Remove and replace (4) exterior doors (doors to be primed fiberglass units) *fur down door openings to standard height (exterior to be sided over, interior trim to fit) *all door casing to be furred and wrapped with aluminum *install new lock set on doors (locks to be keyed a like) Foundation: *Foundation to be we scraped and washed with muramic acid *paint foundation (color TBA by homeowner) *Clean and cover 3'perimiter of house with mulch Front porch: *Wet scrape and prep columns and existing handrail and spindles *Install new hand rail and spindles to replace missing *install missing support column *paint Front Porch Columns, handrail, spindles and floor (Color to be white except floor color TBA by homeowner) Gutters: *new white gutters/ downspouts to be installed General Conditions *Clean for clearance entire house inside and out *lay plastic and set up all necessary lead safe barriers where needed *Maintain a safe working environment, post all needed signs barriers around work area Terms: Total: $60,924.00 Bid includes all labor and materials unless noted otherwise Bid includes all permits and debris removal Bid includes all travel and lodging expenses 11WIPIT PAGE Section'3 Clause A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S. C. 1701u (Section 3). The purpose of the Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance of HUD assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to. low and very low income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the Part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set for minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the anticipated date the work shall begin- D. The contract agrees to include this Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section a clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR Part 135. E. The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135. F. Noncompliance with HUD's regulations in 24 CFR Part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from fixture HUD assisted contracts. G. With respect to work performed in connection with Section 3 covered Indiana housing assistance, Section 7(b) of the Indian Self -Determination and Educations Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7 (b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the awarded of contracts and subcontracts shall be given to Indian organizations and Indian -owned economic enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7(b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b). EXHIBIT _ PAGOJ 9,'6rz017 eCFR — Code of Federal Regulations EXHIBIT _FAGE O Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an , apprentice; (2) Trainee means a person registered and receiving on-the-job training in a construction occupation under a program which has been approved in advance by the U.S. Department of Labor, Employment and Training Administration, as meeting its standards for on-the-job training programs and which has been so certified by that Administration. (3) These provisions do not apply to apprentices and trainees employed on projects subject to 23 U.S.C. 113 who are enrolled in programs which have been certified by the Secretary of Transportation in accordance with 23 U.S.C. 113(c). (4) A distinct classification of "helper" will be issued in wage determinations applicable to work performed on construction projects covered by the labor standards provisions of the Davis -Bacon and Related Acts only where: (i) The duties of the helper are clearly defined and distinct from those of any other classification on the wage determination; (ii) The use of such helpers is an established prevailing practice in the area; and (iii) The helper is not employed as a trainee in an informal training program. A "helper" classification will be added to wage determinations pursuant to §5.5(a)(1)(ii)(A) only where, in addition, the work to be performed by the helper is not performed by a classification in the wage determination. (o) Every person performing the duties of a laborer or mechanic 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, grants, or guarantees from the United States is employed regardless of any contractual relationship alleged to exist between the contractor and such person. (p) The term wages means the basic hourly rate of pay; any contribution irrevocably made by a contractor or subcontractor to a trustee or to a third person pursuant to a bona fide fringe benefit fund, plan, or program; and the rate of costs to the contractor or subcontractor which may be reasonably anticipated in providing bona fide fringe benefits to laborers and mechanics pursuant to an enforceable commitment to carry out a financially responsible plan of program, which was communicated in writing to the laborers and mechanics affected. The fringe benefits enumerated in the Davis - Bacon Act include medical or hospital care, pensions on retirement or death, compensation for injuries or illness resulting from occupational activity, or insurance to provide any of the foregoing; unemployment benefits; life insurance, disability insurance, sickness insurance, or accident insurance; vacation or holiday pay; defraying costs of apprenticeship or other similar programs; or other bona fide fringe benefits. Fringe benefits do not include benefits required by other Federal, State, or local law. (q) The term wage determination includes the original decision and any subsequent decisions modifying, superseding, correcting, or otherwise changing the provisions of the original decision. The application of the wage determination shall be in accordance with the provisions of §1.6 of this title. [48 FR 19541, Apr. 29, 1983, as amended at 48 FR 50313, Nov. 1, 1983; 55 FR 50149, Dec. 4, 1990; 57 FR 19206, May 4, 1992; 65 FR 69693, Nov. 20, 2000; 65 FR 80278, Dec. 20, 2000; 82 FR 2225, Jan. 9, 20171 t Back to Top §§5.3-5.4 [Reserved] f. Back to Top §5.5 Contract provisions and related matters. (a) The Agency head shall cause or require the contracting officer to insert in full in any contract in excess of $2,000 which is entered into for the actual construction, alteration and/or repair, including painting and decorating, of a public building or public work, or building or work financed in whole or in part from Federal funds or in accordance with guarantees of a Federal agency or financed from funds obtained by pledge of any contract of a Federal agency to make a loan, grant or annual contribution (except where a different meaning is expressly indicated), and which is subject to the labor standards provisions of any of the acts listed in §5.1, the following clauses (or any modifications thereof to meet the particular needs of the agency, Provided, That such modifications are first approved by the Department of Labor): (1) Minimum wages. (i) All laborers and mechanics employed or working upon the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of https:i/www.ecfr.gov/cgi-birVtext-idx?SID=388cdbO5T7018253461305230cdl400e&mc=true&node=pt29.1.5&rgn=div5#se29.1.5 15 6/23 ........ _,.__ . 9/6/2017 eCFR —Code of Federal Regulations XHISIT C, PAGE I 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 paragraph (a)(1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and 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 §5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a)(1)(5) of this section) and the Davis -Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. (ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) 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 the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (2) Withholding. The (write in name of Federal Agency or the loan or grant recipient) 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 https:;/www.ecfr.gov/cgi-b in/text-idx?SIo=388cdb0577o18253461305230cd140oe&mc=true&node=pt29.1.5&rgn=div5#se29.1.5_15 7/23 ____I I 1...__ __ --I T...... . 9%,V2017 eCFR — Code of Federal Regulations i � iHIBI C 'AGE 3 aF �2 1 the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the contract, the (Agency) may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records. (i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the project). Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis -Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis -Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the (write in name of appropriate federal agency) if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant, sponsor, or owner, as the case may be, for transmission to the (write in name of agency). 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 httpJlwww.doLgou/esa/whdlforms/wh347instr.htm 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 the (write in name of appropriate federal agency) if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit them to the applicant, sponsor, or owner, as the case may be, for transmission to the (write in name of agency), 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 section 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 the sponsoring government agency (or the applicant, sponsor, or owner). (B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be provided under §5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under §5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete; (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (a)(3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. https://www.ecfr.gov/cgi-bin/text-idx?SiD=388cdb0577018253461305230cd1400e&mc=true&node=pt29.1.5&rgn=div5f€se29.1.5_15 8(23 9/6/2017 eCFR — Code of Federal Regulations EXHIBIT Q, PAGE r j. or-- (iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the (write the name of the agency) or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees—(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30. (5) Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the (write in the name of the Federal agency) may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. https:/Avww.ecfr.gov/cgi-bin/text-idx?SID=388odb0o'77018253461305230cdl400e&mc=true&node=pt29.1.5&rgn=div5#se29.1.5 15 9/23 902017 eCFR — Code of Federal Regulations EXH1B11T (' FACE 5--OF ! _ The prime contractor shall be responsible for the compliance by any subcontractor or lower tie-r-subcontractor —w7—n­arFtT e contract clauses in 29 CFR 5.5. (7) Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. (8) Compliance with Davis -Bacon and Related Act requirements. All rulings and interpretations of the Davis -Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of eligibility. (i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. (b) Contract Work Hours and Safety Standards Act, The Agency Head shall cause or require the contracting officer to insert the following clauses set forth in paragraphs (b)(1), (2), (3), and (4) of this section in full in any contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by §5.5(a) or §4.6 of part 4 of this title. 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 conract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; liability for unpaid wages, liquidated damages. In the event of any violation of the clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. in addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of $25 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The (write in the name of the Federal agency or the loan or grant recipient) shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally -assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (b)(1) through (4) of this section. (c) In addition to the clauses contained in paragraph (b), in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in §5.1, the Agency Head shall cause or require the contracting officer to insert a clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of https://www.ecfr.gov/cgi-bi n/text-idx?S[D=388cdb0577018253461305230cdl400e&mc=true&rode=pL29.1.5&rgrt=div5#se29.1.5_15 10/23 9,16/2017 eCFR — Code of Federal Regulations �:Ar '' i r C, Q ` r -- — wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Further, e ge p'---I Head shall cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the (write the name of agency) and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job. (The information collection, recordkeeping, and reporting requirements contained in the following paragraphs of this section were approved by the Office of Management and Budget. 148 FR 19540, Apr. 29, 1983, as amended at 51 FR 12265, Apr. 9, 1986; 55 FR 50150, Dec. 4, 1990; 57 FR 28776, June 26, 1992; 58 FR 58955, Nov. 5, 1993; 61 FR 40716, Aug. 5, 1996; 65 FR 69693, Nov. 20, 2000; 73 FR 77511, Dec. 19, 2008; 81 FR 43450, July 1, 2016; 82 FR 2225, 2226, Jan. 9, 2017] t Back to Top §5.6 Enforcement. (a)(1) It shall be the responsibility of the Federal agency to ascertain whether the clauses required by §5.5 have been inserted in the contracts subject to the labor standards provisions of the Acts contained in §5.1. Agencies which do not directly enter into such contracts shall promulgate the necessary regulations or procedures to require the recipient of the Federal assistance to insert in its contracts the provisions of §5.5. No payment, advance, grant, loan, or guarantee of funds shall be approved by the Federal agency unless the agency insures that the clauses required by §5.5 and the appropriate wage determination of the Secretary of Labor are contained in such contracts. Furthermore, no payment, advance, grant, loan, or guarantee of funds shall be approved by the Federal agency after the beginning of construction unless there is on file with the agency a certification by the contractor that the contractor and its subcontractors have complied with the provisions of §5.5 or unless there is on file with the agency a certification by the contractor that there is a substantial dispute with respect to the required provisions. (2) Payrolls and Statements of Compliance submitted pursuant to §5.5(a)(3)(ii) shall be preserved by the Federal agency for a period of 3 years from the date of completion of the contract and shall be produced at the request of the Department of Labor at any time during the 3-year period. (3) The Federal agency shall cause such investigations to be made as may be necessary to assure compliance with the labor standards clauses required by §5.5 and the applicable statutes listed in §5.1. Investigations shall be made of all contracts with such frequency as may be necessary to assure compliance. Such investigations shall include interviews with employees, which shall be taken in confidence, and examinations of payroll data and evidence of registration and certification with respect to apprenticeship and training plans. In making such examinations, particular care shall be taken to determine the correctness of classifications and to determine whether there is a disproportionate employment of laborers and of apprentices or trainees registered in approved programs. Such investigations shall also include evidence of fringe benefit plans and payments thereunder. Complaints of alleged violations shall be given priority. (4) In accordance with normal operating procedures, the contracting agency may be fumished various investigatory material from the investigation files of the Department of Labor. None of the material, other than computations of back wages and liquidated damages and the summary of back wages due, may be disclosed in any manner to anyone other than Federal officials charged with administering the contract or program providing Federal assistance to the contract, without requesting the permission and views of the Department of Labor. (5) It is the policy of the Department of Labor to protect the identity of its confidential sources and to prevent an unwarranted invasion of personal privacy. Accordingly, the identity of an employee who makes a written or oral statement as a complaint or in the course of an investigation, as well as portions of the statement which would reveal the employee's identity, shall not be disclosed in any manner to anyone other than Federal officials without the prior consent of the employee. Disclosure of employee statements shall be governed by the provisions of the "Freedom of Information Act" (5 U.S.C. 552, see 29 CFR part 70) and the "Privacy Act of 1974" (5 U.S.C. 552a). (b) The Administrator shall cause to be made such investigations as deemed necessary, in order to obtain compliance with the labor standards provisions of the applicable statutes listed in §5.1, or to affirm or reject the recommendations by https.,//www.ecfr.gov/cgi-b irltext-idx?SID=38&db05770182.53461305230cdl40Oe&mc=true&node=pt2g.1.5&rgn=div5#se29.1.5 15 __. T _ _ — 11/23 2HCNMr0QM 1 i S Office of Community and Rural Affairs One North Capitol, Suite 600 Indianapolis, Indiana 46204-2288 Revised April 2009 EXt-tiBtT - PAGE t OF I Required Contract Provisions Federally Assisted Construction Contracts TABLE OF CONTENTS SECTION 1 GENERAL INFORMATION Bonding Requirements Retainage Change Orders Conflict of Interest Code of Conduct Record Retention Minority Business Participation Contract Provisions Certification Regarding Use of Contract Funds for Lobbying Access to Records SECTION 2 EQUAL EMPLOYMENT OPPORTUNITY REGULATIONS Nondiscrimination EEO Officer Dissemination of EEO Policy Recruitment of Employees Selection of Subcontractors, Procurement of Materials and Leasing of Equipment EEO Records and Reports Nonsegregated Facilities Falsification of Documents Section 3 Office of Federal Contract Compliance Programs (OFCCP) SECTION 3 FEDERAL LABOR STANDARDS REGULATIONS Regulations Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Instructions for Certification Lower Tier Covered Transactions Payment of Prevailing Wages Personnel Actions Conformance Rates Payment of Fringe Benefits Apprentice Participation Overtime Requirements Withholding Payments Violations and Liability Statements and Payrolls Page # 1 1 1 1 1 1 1 2 2 3 3 3 3 4 4 4 4 5 5 5 6 7 8 8 8 9 9 9 9 10 10 Note_ This document is to be used as a guide for contractors and subcontractors working on Community Development Block Grant projects in the State of Indiana. It is not verified to be all inclusive and the contractor is fully responsible for complying with all federal regulations applicable to the CDBG program. 9 EXHIBIT PAGE -2, OF 31 Required Contract Provisions Federally Assisted Construction Contracts SECTION 4 HEALTH AND SAFETY Safety and Accident Prevention Implementation of Clean Air & Water Act(s) SECTION 5 REQUIRED POSTERS (OSHA Safety and Health Protection on the Job Notice to All Employees working on Federally Financed Construction Projects Equal Employment Opportunity is The Law Federal Fair Housing Law Employee Polygraph Protection Act SECTION 6 FORMS AND EXHIBITS SECTION 3 Compliance Report Federal Labor Standards Provisions (HUD-4010) Contractor's Certification Subcontractor's Certification Wage/Fringe Benefit Certification Certified Payroll Form (WH-347) Certified Payroll Form (WH-348) Instructions for Completing Certified Payroll Form Statement of Compliance (Same as WH-348 to be used with computer generated payrolls) EXHIBIT P GE Or 3L Required Contract Provisions Federally Assisted Construction Contracts SECTION 1 General Information BONDING REQUIREMENTS: IC 36-1-12-4.5, IC 36-1-12-13.1, IC 36 1-12.-14 e The minimum requirements for contracts exceeding $100,000 for construction shall be as follows: 1. A Bid Bond or a certified check shall be filed with each bid equivalent to 5% of the bid price as assurance that the bidder will, upon acceptance of their bid, execute such contractual documents as may be required within the time specified. 2. A Performance Bond for 100% of the contract price to assure fulfillment of the contractor's obligations under the contract. 3. A Payment Bond for 100% of the contract price to assure payment of all persons supplying labor and material in the execution of the work provided for in the contract. NOTE: The Bid Bond must be submitted with the bid and the Performance Bond and Payment Bond must be provided to the project owner before construction begins on the project. RETAINAGE: IC 36-1-12-14 Public work contracts in excess of $100,000 require the retainage of 5% of the dollar value of all work satisfactorily completed by the contractor's). The escrow agent shall be selected by mutual agreement between the board of the awarding agency and the contractor's). The contractor shall be paid in full within sixty one (61) days after the date of substantial completion. If upon substantial completion of the public work there remain uncompleted minor items, an amount equal to two hundred percent (200%) of the value of each item as determined by the architect/engineer shall be withheld until the item is completed. CHANGE ORDERS: IC 36-1-12-18 A change order may not be issued before commencement of the actual construction except in the case of an emergency. In such a case, the board of awarding agency must make a declaration and the board's minutes must show the nature of the emergency. The total of all change orders issued that increase the scope of the project may not exceed twenty percent (20%) of the amount of the original contract, A change order issued as a result of circumstances that could not have been reasonably foreseen does not increase the scope of the project. All change orders must be prepared by the project engineer or architect and approved and signed by the board of the awarding agency and the contractor. All change orders must be,directly related to the original public work project. CONFLICT OF INTEREST: 24 CFR 570.611 In the procurement of supplies, equipment, construction and/or services by recipients and subrecipients, any conflict of interest is prohibited. No persons who exercise or have exercised any functions or responsibilities with respect to CDBG activities assisted under this part 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 or benefit from a CDBG-assisted activity, or have a financial interest in any contract, subcontract, or agreement with respect to a CDBG-assisted activity, or with respect to the proceeds of the CDBG-assisted activity, either for themselves or those with whom they have business or immediate family ties, during their tenure or for one year thereafter. MINORITY BUSINESS PARTICIPATION: On each CDBG funded project, the grantee is required to maintain documentation supporting their best efforts to achieve the state goal of 10% MBE/WBE participation. Only those businesses duly registered on IDOA's Minority and Women's Business Enterprises List may be counted toward the 10% goal. That list is available at www.in.aov/idoa/2352.htm. CODE OF CONDUCT: 24 CFR 84.42 The recipient of CDBG grant funds shall maintain written standards of conduct governing the performance of employees engaged in the award and administration of contracts stating that no employee, officer, or agent shall participate in the selection, award, or administration of a contract supported by Federal funds if a real or apparent conflict of interest would be involved. RECORD RETENTION: 24 CFR 85.42 Financial records, supporting documents, statistical records and all other records pertinent to a grant shall be retained for a period of five years. If any litigation, claim, negotiation, audit or other action is started before the expiration of the five-year period, the records shall be retained until all litigations, claims or audit findings involving the records have been resolved. The retention period starts from the date of the submission of the final expenditure report or, from the date of the submission of the annual financial status report covering the last expenditure of grant funds for that year. CONTRACT PROVISIONS: In addition to provisions defining a sound and completed procurement contract, any recipient of federal funds shall include the following: 4 EXHIBIT PAGE OF�,1 Required Contract Provisions Federally Assisted Construction Contracts Contracts other than small purchases shall contain provisions or conditions which will allow for administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as may be appropriate. All contracts in excess of $25,000 shall contain suitable provisions for termination by the grantee including the manner by which it will be effected and the basis for settlement. In addition, such contract shall describe conditions under which the contract may be terminated for default as well as conditions where the contract may be terminated because of circumstances beyond the control of the contractor. Contracts, subcontracts, and subgrants of amounts in excess of $100,000 shall contain a provision which requires compliance with all applicable standards, orders, or requirements issued under Section 306 of the Clean Air Act (42 USC 1857 (h)), Section 508 of the Clear Water Act (33 USC 1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR, Part 15), which prohibit the use under non-exempt federal contracts, grants or loans of facilities included on the EPA List of Violating Facilities. The provision shall require reporting of violations to the grantor agency and to the US EPA Administrator for Enforcement (EN-329). These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superintendence and to all work performed on the contract. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract that may in turn be made. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract. A breach of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING: (Applicable to all Federal -aid construction contracts and to all related subcontracts which exceed $100,000 — 49 CFR 20) The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief that: No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying', in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed with this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000, and that all such recipients shall certify and disclose accordingly. Any and all contractors, subcontractors, independent contractors, suppliers, facilitators or any person participating in any program or activity receiving federal financial assistance shall: a. Prohibit discrimination based on race, color or national origin under Title VI of the Civil Rights Act of 1964; b. Prohibit discrimination on the basis of sex under Title VII of the Civil Rights Act of 1964 and amended by the Equal Employment Opportunity Act of 1972; C. Prohibit discrimination on the basis of age under the Age Discrimination Act of 1975; d. Prohibit discrimination on the basis of disability under Section 504 of the Rehabilitation Act of 1973; e. Take affirmative action to employ and advance qualified disabled people under Section 503 of the Rehabilitation Act of 1973; tEXH6B T[ PAGE S OE 31� Required Contract Provisions Federally Assisted Construction Contracts f. Promote and insure equal opportunity for all persons, without regard to race, color, religion, sex, or national origin under Executive Order 11246 as Amended; g. Display posters which summarize the Federal laws prohibiting job discrimination based on race, color, sex, national origin, religion, age, equal pay and disability; h. Prohibit discrimination based on disability under the Americans with Disabilities Act of 1990; i. Assure that all buildings assigned for public use be designed, constructed and altered so as to be accessible to and usable by persons with physical disabilities under the Architectural Barriers Act of 1968; and j. Avoid maintaining or providing any segregated facilities. Any and all contractors, subcontractors, independent contractors, suppliers, facilitators or any person participating in any program or activity receiving federal financial assistance shall: Comply with the provisions for the elimination of Lead Based paint hazards under 24 CFR Part 35; Take all necessary precautions to guard against damages to property and injury to persons. ACCESS TO RECORDS: 24 CFR 85.42-e The awarding agency and the Comptroller General of the United States, or any of their authorized representatives, shall have the right of access to any pertinent books, documents, papers or other records which are pertinent to the grant in order to make audits, examinations, excerpts and transcripts. The right of access in this section must not be limited to the required retention period but shall last as long as the records are retained. SECTION 2 Equal Employment Opportunity Reeulations NONDISCRIMINATION: (Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more) Equal employment opportunity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The Equal Opportunity Construction Contractor Specifications set forth under 41 CFR 60-4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.D. 12101 et seg.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO. The contractor will work with the awarding agency and the Federal Government in carrying out EEO obligations and in their review of his/her activities under the contract. The contractor will accept as his operating policy the following statement: "It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, preapprenticeship, and/or on-the-job training." EEO OFFICER: The contractor will designate and make known to the awarding agency an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. DISSEMINATION OF POLICY: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor's EEO policy and contractual responsibilities to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO officer. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractors procedures for locating and hiring minority employees. IE hfIE1T fl _PAGE Co -31 Required Contract Provisions Federally Assisted Construction Contracts Notices and posters identifying the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. The contractor's EEO policy and the procedures to implement such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means. RECRUITMENT OF EMPLOYEES: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consideration. In the event the contractor has a valid bargaining agreement providing for exclusive hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractors compliance with EEO contract provisions. (The DOL has held that where implementations of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) The contractor will encourage his present employees to refer minority group applicants for employment. Information and procedures with regard to referring minority group applicants will be discussed with employees. SELECTION OF SUBCONTRACTORS, PROCUREMENT OF MATERIALS AND LEASING OF EQUIPMENT: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procurement of materials and leases of equipment. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. Disadvantaged business enterprises (DBE) as defined in 44 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. The contractor will use his best efforts to ensure subcontractor compliance with their EEO obligations. EEO RECORDS AND REPORTS: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives. The records kept by the contractor shall document the following: The number of minority and non -minority group members and women employed in each work classification on the project; The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. NONSEGREGATED FACILITIES: Applicable to all Federal -aid construction contracts and to all related subcontracts of $10,000 or more. By the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, all parties certify that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location under its control, where segregated facilities are maintained. The contractor agrees that a breach of this certification is a violation of the EEO provisions of this contract. The contractor further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. As used in this certification, the term "segregated facilities" refers to facilities provided for employees which are segregated by explicit directive, or on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override, (e.g. disabled parking). The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. FALSIFICATION OF DOCUMENTS: EXHIBIT 6 PAGE -7 4E 3 Required Contract Provisions Federally Assisted Construction Contracts The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231. The contractor or subcontractor shall make the records required available for inspection, copying, or transcription by authorized representatives of the awarding agency or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the awarding agency, HUD or DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions 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 of debarment action pursuant to 29 CRF 5.12. SECTION 3 The purpose of Section 3 requires that recipients of HUD funds and their contractors and subcontractors provide jobs and other economic opportunities to low-income persons. The CDBG project service area for Section 3 compliance will be the nonmetropolitan county. Contractors and subcontractors participating in federally - assisted projects are required to track and report their activity relative to the hiring and training of low and moderate income persons and the use of local businesses owned by low-income persons. This information must be reported by all contractors and subcontractors prior to project completion utilizing the "Section 3: Economic Opportunities for Low and Very Low Income Persons" form. All Section 3 covered contracts shall include the following Section 3 clause: "The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 170lu (Section 3). The parties to this contract agree to comply with this Section and certify that they are under no contractual or other impediment that would prevent them from complying with these regulations. The contractor agrees to notify each labor organization or representative workers with which the contractor has a collective bargaining agreement of the contractor's commitments under this Section 3 clause and include this clause in every subcontract subject to compliance with the Section 3 regulations. The contractor will certify that any vacant employment positions, including training positions, that are filled after the contractor is selected but before the contract is executed with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractors obligations under this section of the Code of Federal Regulations. Noncompliance with HUD's regulations in this Part may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts." OFFICE OF FEDERAL CONTRACT COMPLIANCE (OFCCP) For federally assisted construction contracts, the OFCCP administers and enforces Executive Order 11246, as amended. This Order prohibits discrimination and requires affirmative action to ensure equal employment opportunity without regard to race, color, sex, religion and/or national origin; and the implementing regulations at 43. CFR Parts 60-1 through 60-50. Generally, all contractors and subcontractors holding non- exempt federally assisted construction contracts and subcontracts exceeding $10,000 must comply with Executive Order 11246. A "Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity" (Executive Order 11246) is to be included in the bid solicitations for all federally assisted construction contracts and subcontracts in excess of $10,000. The Notice, which is published at 41 CFR 60-4.2, informs the contractor/bidder of the affirmative action requirements imposed under Executive Order 11246, including the specified goals for minority and female participation. Covered federally assisted construction contracts and subcontracts must incorporate the equal opportunity clause found at 41 CFR 60-1.4(b). The equal opportunity clause may be expressly included in each contract or subcontract or incorporated by reference. Importantly, the equal opportunity clauses are deemed to be a part of every covered construction contract and subcontract even if they are not physically incorporated in the contract documents. In addition to the equal opportunity clauses, federally assisted construction contracts and subcontracts in excess of $10,000 must include the "Standard Federal Equal Employment Opportunity Construction Contract Specifications" which are found at 41 CFR 60-4.3. The specifications describe the affirmative action obligations and set forth the specific affirmative action steps the construction contractor must implement in order to make a good faith effort to achieve the goals for minority and female participation that were listed in the bid solicitation. Additional information regarding OFCCP Compliance may be found at www.dol.pov/esa/OFCCP or, at 1-800-397-6251. The Indiana office is located at 46 East Ohio Street, Suite 419, Indianapolis, IN 46204 and phone number is 317-226-5860. SECTION 3 Federal Labor Standards Regulations Any and all contractors, subcontractors, independent contractors, suppliers, facilitators or any person participating in any program or activity receiving federal financial assistance shall: Comply with federal labor standards regulations as follows: 1. Davis -Bacon Act 2. Contract Work Hours and Safety Standards Act 3. Copeland Act (Anti -Kickback Act) 4. Fair Labor Standards Act EXHIBIT t) PAGE Required Contract Provisions Federally Assisted Construction Contracts The U. S. Department of Labor has published rules and regulations corresponding to the above regulations at Title 29 CFR Parts 1, 3, S, 6 and 7. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION PRIMARY COVERED TRANSACTIONS: (Applicable to all Federal -aid contracts 49 CFR 29) By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. The inability of a person to provide the certification set out 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 furnish a certification or an explanation shall disqualify such a person from participation in this transaction. The certification in this clause is a material representation of fact upon which reliance was placed 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. The prospective primary participant shall provide immediate written notice to the department or agency to which this proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. The terms "covered transaction", "debarred", "suspended", -ineligible", "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 rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered 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 entering into this transaction. 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. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that 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 is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" (Nonprocurcment List) which is compiled by the General Services Administration. 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 participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. If 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 or default. The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals: Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; Have not within a 3-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. 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 this certification; and Have not within a 3-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION APPLICABLE TO ALL SUBCONTRACTS, PURCHASE ORDERS AND OTHER LOWER TIER TRANSASTIONS OF $25,000 OR MORE By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. G7 ["EMBIT __CL PAGE a OF 31- Required Contract Provisions Federally Assisted Construction Contracts The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower 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. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. The terms "covered transaction," "debarred," "suspended," "ineligible," "primary covered transaction," "participant," "person," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contract the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered 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. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that 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 is not required to, check the Nonprocurement List. 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 participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. If 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 with which this transaction originated may pursue available remedies, including suspension and/or debarment. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. PAYMENT OF PREVAILING WAGES: Applicable to all Federal -aid (CDBG) construction contracts exceeding $2,000 and to all related subcontracts: All mechanics and laborers 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 (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c) the full amounts of wages and bona fide fringe benefits or cash equivalents thereof due at time of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the Secretary of Labor, hereinafter called "the wage determination", which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcontractors and such laborers and mechanics. The wage determination 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. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1 (b)(2) of the Davis -Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid. 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. 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. la EXHIBIT O PAGE tO OF 31 ..1 _,__ T Required Contract Provisions Federally Assisted Construction Contracts All rulings and interpretations of the Davis -Bacon Act and related acts contained in 29 CFR 1, 3 and 5 are herein incorporated by reference in this contract. PERSONNEL ACTIONS: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory wage practices. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimination. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. CONFORMANCE RATES: The awarding agency shall require that any class of laborers or mechanics employed under the contract which is not listed in the wage determination shall be classified in conformance with the wage decision. An additional classification, wage rate and fringe benefits may be approved only when the following criteria have been met: (1) The work to be performed by the additional classification is not performed by any other classification in the wage determination; (2) The additional classification is utilized in the area by the construction industry; (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. If the contractor or subcontractor, laborers and mechanics, awarding agency and the contracting officer agree on the classification and conformance wage rate including the amount designated for fringe benefits where appropriate, the conformance rates shall be paid to all workers performing work in that classification from the first day on which work is performed in the classification. In the event the contractor or subcontractors, laborers and mechanics, awarding agency and the contracting officer do not agree on the proposed classification and wage rate including the amount designated for fringe benefits where appropriate, the contracting officer (OCRA Labor Standards Compliance Officer) shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting agency or will notify within the 30-day period that additional time is necessary. Any work performed during the waiting period will be paid at the base wage and fringe benefit amount conditionally assigned by the contracting officer until a conformance rate is assigned by the Wage and Hour Administrator. PAYMENT OF FRINGE BENEFITS: 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 or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. If the contractor or subcontractor does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been met. APPRENTICE PARTICIPATION: Apprentices will be permitted to work at less than the predetermined rate for the work they perform when they are employed pursuant to and individually registered in a bona fide apprenticeship program duty registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau. The allowable ratio of apprentices to journeyman -level employees 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 employee listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. 11 EXHIBIT __Q_ PAGE )F 31 Required Contract Provisions Federally Assisted Construction Contracts 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 or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the rations and wage rates (expressed in percentages of the journeyman -level 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 journeyman - level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, withdraws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved. OVERTIME REQUIREMENTS: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of labors, mechanics, watchmen, or guards (including apprentices) shall require or permit any laborer, mechanic, watchman, guard or apprentice in any workweek in which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, guard or apprentice receives compensation at a rate not less than one -and -one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. WITHHOLDING PAYMENT FOR UNPAID WAGES: The awarding agency shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor 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, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics 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 employed or working on the site of the work, all or part of the wages required by the contract, the contracting agency may, after written notice to the contractor, 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. VIOLATIONS AND LIABILITY FOR UNPAID WAGES AND LIQUIDATED DAMAGES: In the event of any violation of the requirements set forth in this document, the contractor and any subcontractor responsible for the violation shall be liable to the affected employee for his/her unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States for liquidated damages. STATEMENTS AND PAYROLLS: Applicable to all Federally -assisted construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural collectors, which are exempt. The Contractor shall comply with the Copeland Regulations of the Secretary of Labor. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, watchmen, helpers and guards working at the site of the work. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. Whenever the Secretary of labor has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(8) of the Davis Bacon Act, the contractor and subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices under approved programs shall maintain written evidence of the registration of apprentices and ratios and wage rates prescribed in the applicable programs. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the awarding agency or an agent thereof, a certified payroll report of wages paid each of its employees. The payroll submitted shall set out accurately and completely all of the information required to be 12 N `"'BIT 0 PAGE MOE-�l Required Contract Provisions Federally Assisted Construction Contracts maintained. This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal stock number 029-005-0014-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or subcontractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: That the payroll for the payroll period contains the information required to be maintained and that such information is correct and complete; That such laborer or mechanic 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 the Regulations, 29 CFR 3; That each laborer or mechanic has been paid not less than the applicable wage rate and fringe benefits or cash equivalent for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. The weekly submission of a property executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance". SECTION 4 Health and Safety SAFETY AND ACCIDENT PREVENTION: In the performance of this contract the contractor shall comply with all applicable Federal, State and local laws governing safety, health and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the awarding agency may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3333). Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 13 J,EXHIB1 T -�) PAGE 13 OF 31 Required Contract Provisions Federally Assisted Construction Contracts IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT: (Applicable to all Federally assisted construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, rederal-aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et seq., as amended by Pub.L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seq., as amended by Pub.L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U. S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. That the firm shall promptly notify the awarding agency of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities. That the firm agrees to include or cause to be included the requirements of this Section in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements. EXH� PAGE N L\ OF 31 14 -1_ T __ INTRODUCTION: -flue intent of the Indiana Occupational Safety and Health Act of 1974, Indiana Codc 22-8.1.1, is to assure, so far as possible, safe and healthful working conditions for the workers in the State. The Indiana Dcpaamcnt of Labor has primary responsibility for administering and enforcing the Act and the safety and health standards promulgated under its provisions. Requirements of the Act include the following: LMPLOYLRS: Each employer shall establish and maintain conditions of work which are reasonablysafe and healthful for employees and free from recognized hazards that are causing or likely to cause death or serious physical harm to employees. The Act further requires that employers comply with the Occupational Safety and Health Standards, Rules and Regulations. EMPLOYEES: All employees shall comply with occupational safety and health standards and all rules, regulations, and orders issued under the Act which arc Applicable to their own actions and conduct. INSPECTION: The Act requires that an opportunity be provided for employees and their representatives to bring possible safety and health violations to the attention of the Department of Labor inspector in order to aid the inspection. This requirement may be fulfilled by allowing a representative of the employees and a representative of the employer to accompany the inspector during inspection. Where there is no employee representative, the inspector shall consult with a reasonable number ofemployees. COMPLAINT: Employees have the righi to file a complaint with the Department of Labor. There shall be an inspection where reasonable grounds exist for the Department of Labor to believe there may be a hazard. Unless permission is given by the employees complaining to release their names, they will be withhold front the employer. Telephone Number (317) 232-2693. The Act provides that no employer shall discharge, suspend or otherwise discriminate in terms of conditions of employment against any employees for their failure or refusal to engage in unsafe practices or for filing a complaint, testifying or otherwise acting to exercise their rights ureter the Act. Employees who believe they have been discriminated against may file a complaint with the Department of Labor within 30 days of the alleged discrimination. Please note that extensions of the 30-day filing requirement may be granted under certain special circumstances, such as where the employer has concealed, or inisled the employee regarding the grounds for discharge. However, a grievance -arbitration proceeding which is pending would not. be consideted justification for an extension of the 30-day filing period. The Commissioner of labor shall investigate said complaint and upon finding discrimination in violation of the Act, shall order the employer to provide necessary relief to the employees. This relief may include rehiring, reinstatement to the job with back pay, and restoration of seniority. All employees are also afforded protection from discrimination under Federal Occupational Safety and Health Act and may file a complaint with the U.S. Secretary of Labor within 30 days of the allege! discrimination. VIOLATION NOTICE: When an alleged violation of any provision of the Act has occurred, the Department of Labor shall promptly issue a written order to the employer, who shall be required to post it prominendyat or near the place where the alleged violation occurred until it is made safe and required safeguards arc provided or 3 days, whichever is longer. PROPOSED PENALTIES: The Act provides for CIViI- penalties of not more than $7,000 for each serious violtitwn and for CIVIL penalties of tip to $7,000 for each non -serious violation. Any employer who fails to correct a violation within the prescribed abatement period may be assessed a CIVIL penalty of not more than $7,000 for each day beyond the abatement date during which such violation continues. Also, any employer who knowingly or repeatedly violates the Act may be assessed CIVIL penalties of not more than $70,000 for each violation. A minimum penalty of S5,000 may be imposed for each knowing violation. A violation of posting requirements can bring a penalty of up to $7,000., VOLUNTARY ACTIVITY: The Act encourages efforts by labor and management, before the Department of Labor inspections, to reduce injuries and illnesses arising out of employment. The Act encourages employers and employees to reduce workplace hazards voluntarily and to develop and improve safety and health programs in all workplaces and industries. Such cooperative action would initially focus on the identification and elimination of hazards that could cause death, injury, or illness to employees and supervisors. The Act provides a consultation service to assist in voluntary compliance and give recommendations for the abatement of cited violations. This service is available upon a written request from the employer to the Bureau of Safety Education and Training (BUSET). Telephone Number (317) 232-2688. COVERAGE: The Act does not cover those hired for domestic service in or about a private home and those covered by a federal agency. Those exempted from the Act's coverage include employees in maritime services, who arc covered by U.S. Department of Labor, and employ= in atomic energy activities who are covered by the Atomic Energy Commission NOTE: Under a plats approved March 6, 1974, by the U.S. Department of Labor, Occupational Safety and Health Administration (OSHA), the State of Indiana is providing job safety and health protection for workers throughout the State. OSHA will monitor the operation of this plan to assure that continued approval is merited. Any person may make a complaint regarding the State administration ofthis plan directly to the OSI4A Regional Office. Regional Administrator, Region V, U.S. Department of Labor, Occupational Safety and Health Administration, 230 South Dearborn Street, Chicago, Illinois 60604, Telephone Number (312) 353-2220. MORE INFORMATION: INDIANA DEPARTMENTOF LABOR 402 West Washington Street, Room W 195 Indianapolis, Indiana 46204 Telepinpne: (317) 232-2655 T77 Voicc: 1-800-743-3333 Fax: (317) 233-3790 Internet: btl11:1/wwsy.staIein.us/doI Lori Torres Commissioner of Labor EMPLOYERS: This poster must be displayed prominently in the workplace. EXHIBIT D___ PAGE tT0F 31 \ `ti tt h l" 0"E� IC . 10 AII.I. r' WoNng on'Foderal.or Mi Con''struction, P ` �cis- �aode VIUM` You must be paid not. less than the wage rate in the schedule posted with this Notice for the WAGES - kindof- work you U. perform. 0WRTIW You must be paid not. less than, one and ow -half, times your'basc rate of .pay- for all hours.worked " aver 4.0 a week: There. are some -exceptions; 'Apprentice rates'apply only to apprentices properly registered under approved Federal or State apprenticeship; programs: ]MORR if you db not receive. prgper pay,. contact the. Contracting Officer.listed below: PAV Wit Publication 1121 - U&evIsed January 1986 - ousearw1.rtnrrnn+rwcorrc[: waxes ees - or you may contact -the nearest office of the X, Wage and Hour Division,. U.S. Department of Labor. The Wage and Hour Division has offices. . -tn'several hundred'comm.unitie.s throughout the .country. They are listed in the U3. Govemmenf . section of most telephone directories undor: U.S.. Department of tabor Employment Standards- Administration U.S. Department of Labor Employment Standards. `* Administration Wage and Hour Division EXKIBIT PE Egua( Employment Opportunity is THE LA KmPLn Holding Federal Contracts or Subcontracts ;;p>pGcants tG anti ent,.ieyees Gl :;alii;)att�s win a t-t� era: ;;ov<,tiitne:t: r:0111faCT p: SuMlontra(t art. protected unde, tht, faitowaty i-eaefar authorities RACE, COLOR,. RELIGION, SEX, NATIONAL ORIGIN t.xecallve Carder ? 124t;. as aniende�. protibits joo 0+scnrmnavon on the oasts ar rage, color', religion, sex of national ongir, ano requires a!hilflative action tc elrsure, €t4oatity of upporturu > ill at, aspects w employroem INDIVIDUALS WITH DISABILITIES `.1CChOri 5G:3 at the Retiabilitahnn AG! 01 1973, as anlenaeu, prohibits tot; discrimination becaust, of disabilty and requires artimlative action to employ and advance if., employment qualified individuais with aisabitities wno. with reasonable accommddatloh, ;:an perform the essential functions Of a io:>. VIETNAM ERA. SPECIAL DISABLED. RECENTLY SEPARATED, AND OTHER PROTECTED VETERANS I dtetl-on) Era Veterans Reaqustm-ni Assistance Act of 1974. as amended. 38 U.S.G. 4212, prohibits job discrimination ana requires affirmative action to employ and advance in employment quatlifiea Vietnam era veterans. quahfteG spoon! alsablea veterans. recently separatea vet, tars. and other protected veterans. A recenfiy Separated veiel'an is any veteran dining the three- year ltE'-ripa beginning on the dale of such veteran s disGharye ur release frorn active duty in the 0. S nilitary, r4foirnd. naval at air senor: e RETALIATION Retaliation is p(ombiteo against a person who toes as charge of coscriminatioli. participates in an OrF cl— ,)roceeoing. or otherwise opposes oISCSlmtnation "IfIcler these l eaeraf laws. Any person who believes a condarxor nas violate(. its nGnols rim ttatt!:)n dr affirmative action obilgailons under the authorities above should comar.€ fnimediaiely -:11e (7ttice, of f eaerat (;onirara uonmlianix 'rogrants i0FCL.(';, Employment Standards Auntsirsirattmi- lt_5. Department of Labor, 2OU€ ,'onsntillicn Avenirr, N W., Wasningtoo, DC; 20210.. t202) 43"93-0101 m calf an iJFCCP regional or district othee llsleo !n must letemorle cnreclorws under 0- 30vernmem, Depannient of Labor For indiv!ouais ,,,fit) n armq impairmorit, iiI't:(:P S ? TY nt: Boer is 2021 69-4-1337 Pfy�. e Emp(Jytnent. perform:nG SUUStant,ally eiUa! wti,t;, in tabs ttt8! Slate and LoCa! Governments. equine etlual skill. effod am tes u si ,r:ity tsnaet Educational institutions. Shills! W011(int)l cor.diiw Es. In tilt r.'allw Em»?oYment Agencies and c:stabilsnmen; Labor Or anizafionc, RETALIATION ANitQ+JaniS t0 $nrf einl)x)y@-„$ n° Notallaflon is pfollibl!ad against 8 w@isrxi 14 io f;e°. & nosf pli atf employers. Staff - name of discrtnitrlatlan. trami;maie�: in"If local al tioo!' iflscfimination proceedmij, oC otowwise opposes efla tnst7t employonai tnst,3utiet, Olscrmtutation once, these f-eaera! lave:;. ennptuy:nent agerinea aria laDol" olgarbz ations air- 1fvou believe trirat Y=`u nave pf.^Gn fits "rmitlateG protec:tea under the [oflowinq 3garnsi tilde: any of the above taws. an j trj ensure '-r'(h:ra! laws, :ha( you meet Strict procedural timeemiters to bfesrdlvt- RACE. COLOR, RELIGION. the ability of EEQC to investigate your cart pia,n an<i SEX, NATIONAL ORIGIN to protect your right to file a private ,a�-sutt. vo:., should immediately contact Cilte Vii of the {; vt f2i;tots Am or ; -le us Equal Fmpti)yment Opnoflotlllt 1964, as antn prohibits �ontmcssian (EEOGt, Washin;3ton, D ; 2050` or ar: to ni oromoltnatton [n ni , EEO(' field office by calling toil free (1-8001 W9 prmm�uan. disdtarge, pay, trvit3e 4000 i rr irluivid iris with hearing tmparrmc its, m1assDeneitfs, fop) trairte-r E_ECK; s tot! tree TTY number is 1-80CI 589-882U. :aass;ncauan. rererrai. atra ofrte< a aspects of empioyment, on tor. Programs or Activities Receiving basis of , refhji ua Federal Financial Assistance g or nati ttnciuurng prepnarlcy and Sexual S -- harassmentt or national origin (RACE, COLOR SEX, NATIONAL ORIGIN Rellgious discrtm!nar!on mcludes -ailing to reate all in ac dition tt) the protection of f isle iti of the Civil employee rekw mo latE air rieret� tit R19114ts Aol of 'i�4, as ame..noeo f itie vl m trio uvii acr omm cation d es riot ac;Golninaaation does r Gt impose Rights Act prohibits d,sci-l"nallon on the oasis of undue hardship- race. coiot or national origin in ptoprarits or acttvltlea selco ving Federal financial assistance, Employment DISABILITY discrimination is covered by Title VI if the primary oviective of the financial assiscarnre is provision e[ "itte I and 1 ;Ile V of the' employment. or where empiovment discominattoo Amerlcans wilts Disabilities Act at causes or may Gauss± d[scrfmination in prov ing 199U jADA , as arrlerioe*. services under such programs protect qualified applicants and employees with disabilities trottl rifle IX of the Education Aritendmems at 1972 discnmmatloo in hiring, prombits employment disclirrunatloo tin the bas,s of promotion, dt5cnarge, pay, lot, sex in educational programs or activities which training, fringe benefits_ receive Fedotai assistance. raassification, referral. and ethet aspects or employment at) the INDIVIDUALS WITH DISABILITIES basis of disability. Section. 5(114 of the Renabilitat[an Act of 1973, as The law also requires tra! amended, prohibits empioyment distxtm[natioit or: cover -ea errtmes ptovscfe qualilifieu the basis at disability in any program or a(Aivity wniclt applicants and employees with receives f ederal financial assistance In the tedera[ disabilities Willi reasorlabte govemmeni, public at plrvate agency accommoaaflons. unless suer: Discrimination :s prohibited in all aspects of art on;ntodatrorts would impose emp:oyment against persons with disabilities wno. an ultdr!e hardship oil me with or. without reasonable accommodation, car employer, pertorrn the essential functions of a lob AGE If you believe you have tleen discrmmnatea against tr, he rage ©Iscranrnatmn tin a program of any Institution which receives Feceraa EmpioYment Act of 1967. a< asstStariCe, you should contact immediatety the amenoeri, protecis appfrcanm Federal agency p€ovining such assistance and employees kU year of age Or ostler from o1suanination ors Publication Op C t42f+ the oasts at age inhinny. itromotrori, dtscharge, koviseo August 2t'i0 tznlpunsatlon. feints, (mmiltionss 7r pi ivileges of emptovrnen. SEX (WAGES) in addition to sex d!scnmmation prohibited by 1iNe Vit orthe CIO RctInts Act of 1%4, as antendea. the LQuat Pl;w Act of W63. as rantendea, prottilm* sex distx'unlnaflot: «, payment of .vayes to wortieii aria rite:; EXHIBIT 0 PAGE F 31 U. S. Department of Housing and Urban Development it EQUAL HOUSING OPPORTUNITY We Do Business in Accordance With the Federal Fair Dousing Law (Flee Fair Housing Amendments Act of 1988) It is illegal to Discriminate Against Any Because of Race, Color, Religion, Sex, Handicap, Familial Status, or National In the sale or rental of housing or residential lots In advertising the sale or rental of housing In the financing of housing Anyone who feels he or she has been discriminated against mayfile a complaint of housing discrimination: 1-800-669-9777 (Toll Free) 1-800-927-9275 (TTY) Person Origin In the provision of real estate brokerage services In the appraisal of housing Blockbusting is also illegal U.S. Department of Housing and Urban Development Assistant Secretary for Fair Housing and Equal Opportunity Washington, D.C. 20410 Previous editions are obsolete fomt HUD-928.3 {2/2003) EXH{GiT _PAGE -�% Qc 311 , V � U.S. DEPARTMENT OF LABOR EMPLOYMENT STANDARDS ADMINISTRATION o aA Wage and Hour Division Washington, D.C. 20210 oJT�rFs of °�w NOTICE EMPLOYEE POLYGRAPH PROTECTION ACT The Employee Polygraph Protection Act prohibits most private employers from using lie detector tests either for pre -employment screening or during the course of employment. PROHIBITIONS Employers are generally prohibited from requiring or requesting any employee or job applicant to take a tie detector test, and from discharging, disciplining, or discriminating against an employee or prospective employee for refusing to take a test or for exercising other rights under the Act. EXEMPTIONS* Federal, State and local governments are not affected by the law. Also, the law does not apply to tests given by the Federal Government to certain private individuals engaged in national security - related activities. The Act permits polygraph (a kind of lie detector) tests to be administered in the private sector, subject to restrictions, to certain prospective employees of security service firms (armored car, alarm, and guard), and of pharmaceutical manufacturers, distributors and dispensers. The Act also permits polygraph testing, subject to restrictions, of certain employees of private firms who are reasonably suspected of involvement In a workplace incident (theft, embezzlement, etc.) that resulted in economic loss to the employer. EXAMINEE RIGHTS Where polygraph tests are permitted, they are subject to numerous strict standards concerning the conduct and length of the test. Examinees have a number of specific rights, including the right to a written notice before testing, the right to refuse or discontinue a test, and the right not to have test results disclosed to unauthorized persons. ENFORCEMENT The Secretary of labor may bring court actions to restrain violations and assess civil penalties up to $10,000 against violators. Employees or job applicants may also bring their own court actions. ADDITIONAL INFORMATION Additional information may be obtained, and complaints of violations may be filed, at local offices of the Wage and Hour Division. To locate your nearest Wage -Hour office, telephone our toll -free information and help line at 1 - 866 - 4USWAGE ( 1 - 866 - 487 - 9243). A customer service representative is available to assist you with referral information from Sam to 5 pm in your time zone; or if you have access to the internet, you may log onto our Home page at www.wagehour.dol.gov. THE LAW REQUIRES EMPLOYERSTO DISPLAYTHIS POSTER WHERE EMPLOYEES AND JOB APPLICANTS CAN READILY SEE IT. 'The law does not preempt any provision of any State or local law or any collective bargaining agreement which is more restrictive with respect to lie detector tests. U.S. DEPARTMENT OF LABOR EMPLOYMENT STANDARDS ADMINISTRATION WH Publication 1462 Wage and Hour Division June 2003 Washington, D.C.20210 I f s_ PAGE _ AO ' 1 • SECTION 3 COMPLIANCE REPORT - Must be completed by every contractor or subcontractor awarded a construction contract of $100,000 or more on a Community Development Block Grant project. Grantee: Contractor: Contract Amount: Grant #: Indicate the efforts made to direct the employment and other economic opportunities generated by HUD financial assistance for housing and community development programs, to the greatest extent feasible, toward low and very low income persons, particularly those who are recipients of government assistance for housing. Check all that apply: Attempted to recruit low-income residents through local advertising media, signs prominently displayed at the project site, contracts with community organizations and public or private agencies operating within the metropolitan area or nonmetropolitan county in which the Section 3 covered program or project is located or similar methods. Participated in a HUD program or other program which promotes the training or employment of Section 3 residents. Participated in a HUD program or other program which promotes the award of contracts to business concerns which meet the definition of Section 3 business concerns. Coordinated with Youthbuild Programs administered in the metropolitan area in which the Section 3 covered project is located. Other. Describe: Job Category staff Total # of Total # of Employees Section 3 Employees Professional Technician Office/Clerical Construction: List by trade: New Hires/Trainees Total # of new Hires/Tratnees that are Section 3 Residents Staff Hours Total # of Total Staff Staff Hours Hours for for New Hires Section 3 thatare Employee Section 3 Residents Submit to Grantee or Grantee's Representative within 15 days after your contract is complete. 20_(3F_� -( Federal Labor Standards Provisions 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 em- ployed or working upon the site of the work will be paid uncondi- fionally and not less often than once a week, and without subse- quent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secre- tary of Labor under the Copeland Act (29 CFR Part 3), the full amount of wages and bona fide fringe benefits (or cash equiva- lents 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, re- gardless 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 I(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 classi- fication of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics per- forming 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 addi- tional classification and wage rates conformed under 29 CFR 5.5(a)(1)(1i) 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. (if) (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 deter- mination. 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 ben- efits, bears a reasonable relationship to the wage rates contained in the wage determination. (b) If the contractor and the laborers and mechanics to be em- ployed 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 U.S. Department of Housing and Urban Development Office of Labor Relations 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 La- bor, 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 recommenda- tion of HUD or its designee, to the Administrator for determina- tion. The Administrator, or an authorized representative, will is- sue 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)(ii)(b) or (c) of this para- graph, shall be paid to all workers performing work in the classifi- cation under this contract from the first day on which work is per- formed in the classification. (fit) 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 an- other bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs rea- sonably 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 stan- dards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate ac- count assets for the meeting of obligations under the plan or pro- gram. (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 De- partment of Labor withhold or cause to be withheld from the con- tractor 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 pay- ments or advances as may be considered necessary to pay la- borers and mechanics, including apprentices, trainees and help- ers, 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 form HUD-4010 (0712003) e 1 of 4 ref. Handbook 1344.1 Pa Previous edition is obsolete 3 EXFi1BIT T PAGE ,�OF 3 v 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 thereaf- ter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social secu- rity 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 actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5 (a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Sec- tion i(b)(2)(B) of the Davis -Bacon Act, the contractor shall main- tain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially re- sponsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shalt 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 it 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 ac- curately and completely all of the information required to be main- tained under 29 CFR 5.5(a)(3)(i).This information may be submit- ted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S. Gov- ernment Printing Office, Washington, DC 20402. The prime con- tractor is responsible for the submission of copies of payrolls by all subcontractors. (Approved by the Office of Management and Budget under OMB Control Number 1215-0149.) (b) Each payroll submitted shall be accompanied by a "State- ment of Compliance;' signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the per- sons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be maintained under 29 CFR 5.5 (a)(3)(i) and that such information is correct and complete; (2) That each laborer or mechanic (including each helper, ap- prentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without re- bate, 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 appli- cable wage determination incorporated into the contract. (e) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall sat- isfy the requirement for submission of the "Statement of Compli- ance" 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 18 and Section 231 of Title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records re- quired under subparagraph A.3.(i) available for inspection, copy- ing, or transcription by authorized representatives of HUD or its designee or the Department of Labor, and shall permit such rep- resentatives 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 pur- suant to 29 CFR 5.12. 4. Apprentices and Trainees. (I) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. De- partment of Labor, Employment and Training Administration, Of- fice 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 ap- prentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actu- ally 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 form HUD-4010 (0712003) e 2 of 4 ref. Handbook 1344.1 Pa Previous edition is obsolete 9 SEX-jBji O PAGE 'LOF�t Journeymen hourly rate specified in the applicable wage determi- nation. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the appren- ticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage deter- mination for the applicable classification. If the Administrator de- termines that a different practice prevails for the applicable ap- prentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Train- ing, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an ap- prenticeship 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 ap- proved. (if) 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 ap- proval, 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 Train- ing 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 apprentice- ship 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 pay- roll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Adminis- tration 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 con- tractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of appren- tices, trainees and journeymen under 29 CFR Part 5 shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30. 5. Compliance with Copeland Act requirements. The contrac- tor shall comply with the requirements of 29 GFR 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 of this paragraph A and such other clauses as HUD or its designee may by appropriate instructions require, and a copy of the applicable prevailing wage decision, and also a clause re- quiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for (2) Violation; liability for unpaid wages; liquidated damages. the compliance by any subcontractor or lower tier subcontractor In the event of any violation of the clause set forth in subpara- with all the contract clauses in this paragraph. form HU0 4010 (07/2003) Previous edition is obsolete Page 3 of 4 ref. Handbook 1344.1 7. Contract termination; debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the con- tract and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. 8. Compliance with Davis -Bacon and Related Act Requirements. All rulings and interpretations of the Davis -Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorpo- rated by reference in this contract 9. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be sub- ject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the De- partment 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 repre- sentatives. 10. (€) Certification of Eligibility. By entering into this contract the contractor certifies that neither it (nor he or she) nor any per- son 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. (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of Section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24. (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 16 U.S.C. 1001. Additionally, U.S. Criminal Code, Section 1 01 0, Title 18, U.S.C., "Federal Housing Adminis- tration 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 dis- charged or in any other manner discriminated against by the Con- tractor 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 Act. The provi- sions of this paragraph B are applicable only 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 con- tracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic In any workweek in which he or she is employed on such work to work in excess of 40 hours in such work- week 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. F1, t� PAGE -7,3.0E 3 graph (1) of this paragraph, the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addi- tion, 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 $10 for each calendar day on which such individual was required or permit- Ied 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. (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 La- bor 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 Safety Standards Act which is held by the same prime contractor such sums as may be determined to be necessary to satisfy any liabilities of such con- tractor orsubcontractor 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 sub- contractors 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 ap- plicable only where the amount of the prime contract exceeds $100,000. (1) No taborer or mechanic shall be required to work in surround- ings or under working donditions which are unsanitary, hazard- ous, or dangerous to his health and safety as determined under construction safety and health standards promulgated by the Sec- retary 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 Con- tract Work Hours and Safety Standards Act, AQUSC 3701 et seq. (3) The Contractor shall include the provisions of this para- graph in every subcontract so that such provisions will be binding on each subcontractor. The Contractor shall take such action with respect to any subcontract as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions. form HUD-4010 (0712003) Previous edition is obsolete Page 4 of 4 ref. Handbook 1344.1 rE fHIRIT 0 PAOO of j Community Development Block Grant Program Contractor's Certification Concerning labor Standards and Prevailing Wage Requirements This is to certify that: (Company Name and Address) has executed a contract with (Grantee) for the construction of (Project) identified as Project Number and acknowledges that: (Grant #) a. The Federal Labor Standards Provisions (HUD-4010) are attached to the contract; b. Correction of any infractions of the Federal Labor Standards Provisions, including infractions by any subcontractor or lower tier subcontractors is this contractor's responsibility; c. Neither this contractor, any subcontractor or any affiliates have been declared ineligible to participate in federally funded construction projects; d. Contractor agrees to obtain and forward to the Grantee or Grantee's Representative within ten (10) days after the execution of any subcontract, a Subcontractor's Certification concerning Federal Labor Standards and Prevailing Wage requirements. Type of Entity: (Check One) Single Proprietorship Corporation Partnership Other Organization List Below the name, title and address of the owner, partner or officers of the entity: Name Signature of Owner or Officer of the Company: Date Signed: Telephone Number: Title Address This form is no longer required by the U. S. Department of Housing and Urban Development but is required by the Office of Community and Rural Affairs on federally funded construction projects. �NiEli PAGE 2S0E j Community Development Block Grant Program Subcontractor's Certification Concerning Labor Standards and Prevailing Wage Requirements This is to certify that: (Subcontractor's Name and Address) has executed a subcontract with (Prime Contractor) in the amount of $ for (Nature of wor Q on Project Number and acknowledges that: (Grant4) a. The Federal Labor Standards Provisions (HUD-4010) are attached to the contract; b. Neither this subcontractor or any second or third tier subcontractors or any affiliates have been declared ineligible to participate in federally funded construction projects; c. Contractor agrees to provide this completed document to the Prime Contractor within ten (10) days after the execution of any subcontract and to adhere to the Federal tabor Standards Provisions in the execution of this subcontract. 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G � C K � 3 U � '�' w o ff .� ro O i� .� G •� � � i � C' C p •� R u o •C' p C V •� � u S s 'o'. u c �� S � -Z �i o � 3 3 �' .._ v �^ C�IIE >_ a EXHIBIT 0 PAGE 200 0 1� I a 0 U.S. Department of Labor Wage and Hour and Public Contracts Division Date STATEMENT OF COMPLIANCE (Name of signatory party) (1) That I pay or supervise the payment of the persons employed by (Building or work) Form Approved Budget Bureau No. 44-R1093 do hereby state: (Title) on the (Contractor or Subcontractor) that during the payroll commencing on the 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 Contractor or Subcontractor from the full weekly wages earned by any person and that no deducions 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 CFR Subtitle A), issued by the Secretary of Labor under the Copeland Act, as amended (48 Stat., 948.63 StaL 108, 72 Stat. 967: 76 Stat. 357; 40 U.S.C. 276c), 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 ciassificatons 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 taborer 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 asnoted in Section 4(c) below. (b) WHERE FRINGE BENEFITS ARE PAID IN CASH ❑ Each taborer 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 IName and Title Signature The withut 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. Form WH-348 1EXHIB?I T - PAGE 3�OF 31- RE: Update on Contractor Page 1 of 2 RE: Update on Contractor From: jcruse@richmondindiana.gov Sent: Fri, Sep 1, 2017 at 4:23 pm To: Spergel, Samantha Cc: Tammy Tidrow, greentree@grntree.net, Dave Snow, Scott Alexander, A Sickmann, Kim Vessels, Beverly Budd image001Jpg (2 KB) image002Jpg (1 KB) — Download all Samantha I have made contact with Green Tree Contractors (Jackie) they will be starting around Sunday developing an estimate on the property at 305 So 10th Street, Richmond Indiana, 47374. Please let us know if there is anything we can do to assist in this effort. Per our conversation the City of Richmond's health services/providers; are ready and available to assist the Family with home placement. Jack W. Cruse Director, Department of Infrastructure & Development City of Richmond Office: (765) 983-7584 Cell: (765) 960-6590 email: jcruse@richmondindiana.gov ---Original Message— From: "Spergel, Samantha" <SSpergel@ihcda.IN.gov> Sent: Friday, September 1, 2017 4:03pm To: "jcruse@richmondindiana.gov" <jcruse@richmondindiana.gov> Subject: Update on Contractor Contractor as recommended by the Health Department: Greentree Environmental John Casey is the owner. Susan is the office manager. 888.584.5323 219.764.2828 Samantha L. Spergel, MPA Director of Real Estate Production Indiana Housing and Community Development Authority 30 South Meridian Street, Suite 1000 Indianapolis, IN 46204 PHONE 317 232 0599 FAx 317 232 7778 EMAIL ssneraeW8ihcdaJn.aov CONSUMER WEB www.ihcda.in.gov PARTNER WEB www.in.gov/mviheda For updates from Lt. Governor Lt. Governor Suzanne Crouch, please visit www.lg.in.gov Please consider the environment before printing this email. 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