HomeMy WebLinkAboutStaff Report 4.E 06/01/2015n�
DATE: June 1, 2015
Agenda, item #4.E
TO: Honorable Mayor and Members of the City Council through City Manager
FROM: Da St. Jo S EC — Director, Public Works and Utilities
Larry rm r, Deputy Director
SUBJECT: Resolution Adopting a Labor Compliance Program for Proposition 84 Grant
Funded Projects and Authorizing City Manager to Execute a Professional
Services Agreement with North Valley Labor Compliance Services for the
Denman Reach Phase 3 and Capri Creek Re- contouring and Terracing Projects
RECOMMENDATION
It is recommended that the City Council approve the Resolution Adopting a Labor Compliance
Program for Proposition 84 Grant Funded Projects and Authorizing the City Manager to Execute
a Professional Services Agreement with North Valley Labor Compliance Services for the
Denman Reach Phase 3 and Capri Creek Re- contouring and Terracing Projects.
BACKGROUND
The City is required to have an approved Labor Compliance, Program in order to satisfy
conditions on the use of State Proposition 84 grant funds. Proposition 84 grant funds were
received to construct Denman Reach Phase 3 and Capri Creek Re- contouring and Terracing
Projects. Labor Compliance Program approval is needed prior to awarding the construction
contract.
Proposition 84 requires the body awarding a contract for a public works project financed in any
part with Proposition 84 funds to adopt and enforce, or contract with a third party to enforce, a
labor compliance program that meets the requirements of California Labor Code section
1771.5(b). Labor Compliance Programs are the means by which an awarding body may enforce
prevailing wage laws on its own public works projects, as an alternative to the traditional
enforcement role of the Division of Labor Standards Enforcement.
Labor Compliance Programs are required in order to, among other things, inform contractors
about their prevailing wage obligations, monitor compliance by obtaining and reviewing certified
payroll reports, investigate complaints and other suspected violations, and take appropriate
enforcement action when violations are found. The Labor Compliance Programs must be
approved by governing body and must follow specific reporting and performance standards set
forth in regulations adopted by the Director of Industrial Relations at Title 8, California Code of
Regulations, sections 16421 - 16439..
Recipients of Proposition 84 funds can either create and administer the Labor Compliance
Program with their own staff or hire a third party to prepare and enforce the Program with staff
oversight. For the Proposition 84 grant funding for Denman Reach Phase 3 and Capri Creek Re-
contouring and Terracing Projects, hiring a Labor Compliance Program consultant is
recommended and is a grant - reimbursable cost.
The proposed action meets Council Goal: "Plan for and implement priority capital projects as
funding permits."
DISCUSSION
In October 2013, the Sonoma County Water Agency (Water Agency) issued a request for
proposals from qualified firms to assist the Water Agency with the preparation of labor
compliance program manuals, to help obtain approval of these programs from the Department of
Industrial Relations and to enforce the approved labor compliance programs on projects funded
under Proposition 84. Carolyn Lay, dba North Valley Labor Compliance Services (North
Valley), was selected to perform the services. The Proposition 84 grant to the City of Petaluma
for both Denman Reach Phase 3 and Capri Creek Re- contouring and Terracing construction
projects requires the same level of consultant services for the City to satisfy requirements of
Labor Code 1771.5. The City is also receiving funds from the Water Agency's Zone 2A
Assessments for both projects. For administrative efficiency and to utilize the competitive
consultant selection process conducted by the Water Agency, the staff recommends entering into
a professional services agreement for Labor Compliance Program services with North Valley.
The Program manual has been prepared and is on file with the City Clerk.
Adoption of the attached resolution would approve the City's Labor Compliance Program and
authorize its enforcement. With resolution adoption, North Valley would submit the Program to
the State for approval and enforce the Labor Compliance Program for both the Denman Reach
Phase 3 and Capri Creek Re- contouring and Ter7acing construction projects. North Valley's
work would include assistance with bid advertisements, pre -bid conference training, post award
labor compliance workshops, and support to contractors via phone and email. During
construction, North Valley would review and monitor certified payroll to verify compliance,
maintain communication with contractors concerning possible violations and discrepancies,
review and approve each pay application, and generally provide expertise in the field of
California Labor Code Enforcement and Federal Labor standards.
FINANCIAL IMPACTS
The services proposed under this Professional Services Agreement will be performed on a time
and materials basis, not to exceed $28,500. The cost estimate for monitoring the Denman Reach
Phase 3 ($15,500) and Capri Creels Re- contouring and Terracing ($13,000) projects was derived
by analyzing the estimated construction cost, estimated duration of construction, and the number
of subcontractors expected to work on the project. The total project budget for Denman Reach
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Phase 3 is $2.659 million and for Capri Creek is $1.1 million. Funding for both projects are
comprised of State grants including Proposition 84 funds, Sonoma County Water Agency Zone
2A Assessments, and City Storm Drainage Impact Fees.
ATTACHMENTS
1, Resolution
2. PSA Agreement
3. Labor Compliance Program Manual
Attachment 1
RESOLUTION ADOPTING A LABOR COMPLIANCE PROGRAM FOR
PROPOSITION 84 GRANT FUNDED PROJECTS AND AUTHORIZING THE CITY
MANAGER TO EXECUTE A PROFESSIONAL SERVICES AGREEMENT WITH
NORTH VALLEY LABOR COMPLIANCE SERVICES FOR THE DENMAN REACH
PHASE 3 AND CAPRI CREEK RE- CONTOURING AND TERRACING PROJECTS
WHEREAS, the City of Petaluma wishes to design and construct the Denman Reach
Phase 3 and Capri Creek Re- contouring and Terracing Projects; and
WHEREAS, the California Labor Code requires contractors on public works projects
pay their workers based on the prevailing wage rates which are established and issued by
California's Department of Industrial Relations, Divisions of Labor Statistics and Research; and
WHEREAS, the California Labor Code requires contractors to keep accurate payroll
records of trade workers on all public works project and to submit copies of certified payroll
records upon request; and
WHEREAS, California voters in 2006 passed Proposition 84, the Safe Drinking Water,
Water Quality and Supply, Flood Control, River and Coastal Protection Bond Act; and
WHEREAS, the Denman Reach Phase 3 and Capri Creek Re- contouring and Terracing
Projects are funded by a portion of Proposition 84 funds; and
WHEREAS, Proposition 84 requires the body awarding a contract for a public works
project financed in any part with Proposition 84 funds, to adopt and enforce or contract with a
third party to enforce, a Labor Compliance Program pursuant to California Labor Code; and
WHEREAS, a Labor compliance Program is required to, among other things, inform
contractors about their prevailing wage obligations, review certified payroll reports, monitor
compliance and enforce contractors' compliance with California labor and apprenticeship laws
for public works projects; and
WHEREAS, the provisions of Proposition 84 allow the City of Petaluma to utilize the
services of a third party labor compliance consulting firm to administer and enforce the City's
approved Labor Compliance Program; and
WHEREAS, staff recommends North Valley Labor Compliance Services to enforce the
City's Labor Compliance Program for Denman Reach Phase 3 and Capri Creek Re- contouring
and Terracing Projects during construction; and '
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WHEREAS, North Valley's ability to enforce labor compliance programs has been
demonstrated at Sonoma County Water Agency, Sonoma County Regional Parks, Napa County
Regional Parks and in other Northern California municipalities; and
WHEREAS, staff recommends the City execute a professional services agreement with
Not Valley for labor compliance services in order to meet the requirements of Proposition 84
for the Denman Reach Phase 3 and Capri Creek Re- contouring and Terracing Projects.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City hereby:
1. Approves and adopts the Labor Compliance Program, which shall apply only to
projects utilizing. Proposition 84 grant funds.
2. Authorizes the City Manager to sign all necessary related documentation for the
approval of the Labor Compliance Program by the California Department of
Industrial Relations.
3. Authorizes the City Manager to execute the attached Professional Services
Agreement for labor compliance services with North Valley Labor Compliance
Services in the amount not to exceed $28,500.
4. Authorizes North Valley to submit the City of Pet
aluma's Labor Compliance
Program and all necessary related documentation to the California Department of
Industrial Relations for review and approval, and administer the City of Petaluma's
Labor Compliance Program, including related consultation, monitoring, and
enforcement services pursuant to the professional services agreements presented to
and approved by City Council.
Attachment 2
PROFESSIONAL SERVICES AGREEMENT
LABOR COMPLIANCE SERVICES
FOR DENMAN REACH PHASE 3 AND
CAPRI CREEK RE- CONTOURING AND TERRACING PROJECTS
(Title of Project)
FY 15/16 Fund #
Cost Center 30700
Object Code
Project # C0050020
Amount $15.500
For multi -year contracts or contracts with multiple accounts:
FY 15/16
Fund #
Cost Center 30700
Object Code
Project # C16301413
Amount $13.000
FY
Fund #
Cost Center
Object Code
Project #
Amount $
FY
Fund #
Cost Center
Object Code
Project #
Amount $
FY
Fund #
Cost Center
Object Code
Project #
Amount $
FY
Fund #
Cost Center
Object Code
Project #
Amount $
THIS PROFESSIONAL SERVICES AGREEMENT ( "Agreement ") is entered into and effective
as of ' 20 ( "Effective Date "), by and between the City of Petaluma, a
municipal corporation and a charter city ( "City ") and North Valley Labor Compliance Services,
a Labor Consultant ( "Consultant ") (collectively, the "Parties ").
WHEREAS, the Parties enter into this Agreement for the purpose of Consultant providing
professional services to City under the terms and conditions set forth herein.
THEREFORE, in consideration of the mutual covenants contained in this Agreement, the Parties
agree as follows:
I. Services. Consultant shall provide the services as described in and in accordance with
the schedule set forth in Exhibit "A" attached hereto and incorporated herein
( "Services ").
2. Compensation; Business Tax Certificate,
A. For the full performance of the Services as described herein, City shall
compensate Consultant in accordance with the rates specified in Exhibit A.
B. Consultant shall submit detailed monthly invoices reflecting all services
performed during the preceding month, and including a revised schedule for
performance and additional documentation requested by City, as applicable.
C. Consultant shall be compensated for services in addition to those described in
Exhibit A, only if Consultant and City execute a written amendment to this
Agreement describing the additional services to be performed and the
compensation to be paid for such services. In no case shall the total compensation
under this Agreement exceed Thousand Five Hundred
Dollars and Zero Cents) without prior written authorization of the City Manager.
Further, no compensation for a section or work program component attached with
a specific budget shall be exceeded without prior written authorization of the City
Manager.
D. Notwithstanding any provision herein, Consultant shall not be paid any
compensation until such time as Consultant has on file with the City Finance
Department a current W -4 form available from the IRS website (4vww.irs. 0)
and has obtained a currently valid Petaluma business tax certificate.
PROFESSIONAL SERVICES AGREEMENT
(609-32 1) June 2011
6
E. City's obligation to pay compensation to Consultant as provided herein is
contingent upon Consultant's performance of the Services pursuant to the terms
and conditions of this Agreement and any amendments thereto.
3. Term. - The term of this Agreement commences on the Effective Date, and terminates on
June 30, 2017 unless sooner terminated in accordance with Section 4. Upon termination,
any and all of City's documents or materials provided to Consultant and any and all of
the documents or materials prepared for City or relating to the performance of the
Services, shall be delivered to the City as soon as possible, but not later than fourteen
(14) days after termination of the Agreement.
4. Termination. City may terminate this Agreement without cause upon ten (10) days'
written notice. City may immediately terminate or suspend this Agreement for cause.
Cause for immediate termination or suspension shall include, but not be limited to, any
breach of this Agreement by Consultant or Consultant's bankruptcy or insolvency. Upon
receipt of notice of termination or suspension for cause, Consultant shall immediately
stop all work in progress under this Agreement. In the event of early termination of this
Agreement by City, Consultant shall be entitled to payment for all Services performed to
the date of termination to the extent such Services were performed to the satisfaction of
City in accordance with the terms and conditions of this Agreement. If City terminates
this Agreement for cause, Consultant shall be liable to City for any excess cost City
incurs for completion of the Services.
Consultant's Representation; Independent Contractor. Consultant represents that
Consultant possesses distinct professional skills in performing the Services. City has
relied upon said representation as a material inducement to enter into this Agreement.
Consultant shall, therefore, provide property skilled professional and technical personnel
to perform all Services under this Agreement. It is expressly understood that Consultant
and its agents and employees, shall act in an independent capacity and as an independent
contractor and not as officers, employees or agents of City. This Agreement shall not be
construed as an agreement for employment.
6. Facilities and Equipment. Consultant shall, at its sole cost and expense, furnish all
facilities and equipment that may be required for furnishing Services pursuant to this
Agreement. City shall furnish to Consultant no facilities or equipment, unless the City
otherwise agrees it- writing to provide the saine.
7, Licenses, Permits, Etc. Consultant shall, at Consultant's sole cost and expense, keep in
effect at all times during the term of this Agreement any licenses, permits or other such
approvals which are legally required for performing the Services.
8. Time. Consultant shall devote such time to the performance of the Services as may be
reasonably necessary for satisfactory performance of Consultant's obligations pursuant to
this Agreement.
9. inspection. Consultant shall provide the City every reasonable opportunity to ascertain
that the Services are being performed in accordance with the requirements and intentions
of this Agreement. All work done and materials furnished, if any, shall be subject to
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PROFESSIONAL SERVICES AGREEMENT
(609.12 1) hine 2011
7
inspection and approval by the City. The inspection of such work shall not relieve
Consultant of any of its obligations pursuant to this Agreement
10, Progress Regg!1s, Upon the City's request, Consultant shall provide, in a form
acceptable to City, written progress reports of all oral and written observations, opinions,
recommendations, analyses, progress and conclusions related to Consultant's
performance of the Services.
II. Confidentiality. In the course of Consultant's employment, Consultant may have access
to trade secrets and confidential information, disclosure of which is protected or limited
by law. Consultant shall not directly or indirectly disclose or use any such confidential
information, except as required for the performance of the Services.
12. Conflict of Interest. Consultant represents that it presently has no interest, and
covenants that it shall not acquire any interest, direct or indirect, financial or otherwise,
which would conflict in any manner or degree with the performance of the Services
hereunder. Consultant further covenants that, in the performance of this Agreement, it
shall not employ any subcontractor or person having such a conflict of interest.
Consultant represents that no one who has or will have any financial interest under the
Agreement is an officer or employee of City. If such conflict of interest arises during this
Agreement or extension, Consultant will immediately advise City and City may, at
its sole discretion, immediately terminate this Agreement. Certain Consultants are
subject to the requirements, including the disclosure and reporting requirements, of the
City's Conflict of Interest Code adopted pursuant to the Political Reform Act. Such
Consultants subject to the City's Conflict of Interest Code include those whose work may
involve: making government decisions regarding approval or adoption of rates, rules, or
regulations, action on permits or other applications, authorization to enter into or modify
contracts, or approval of plans, designs, reports, or studies. Consultant agrees to comply
fully with all such requirements to the extent they apply to Consultant's performance of
the Services.
13. Consultant No Agent. Except as City may specify in writing, Consultant shall have no
authority, express or implied, to act on behalf of City in any capacity whatsoever as an
agent. Consultant shall have no authority, express or implied, pursuant to this Agreement
to bind City to any obligation whatsoever.
14. Standard of Performance. Consultant shall perform all the Services in a manner
consistent with the standards of Consultant's profession. All instruments of service of
whatsoever nature, which Consultant delivers to City pursuant to this Agreement, shall be
prepared in a substantial, workmanlike manner and conform to the standards of
Consultant's profession, All such instruments of service shall become the sole and
exclusive property of City upon delivery of the same.
15. Assignment/Transfer. No assignment or transfer in whole or in part of this Agreement
shall be made without the prior written consent of City.
16. Subcontractors. Consultant shall directly perform all Service-,, and shall not subcontract
any portion of performance of the Services without the prior written consent of City.
Any such subcontractors shall be required to comply, to the full extent applicable, with
PROFESSIONAL SERVICES AGREEMENT
(609321)1=2011
8
the terms and conditions of this Agreement, including but not limited to, procuring and
maintaining insurance coverage as required herein and which shall name City as an
additional insured.
17. Compliance With All Laws. Consultant shall fully comply with all applicable local,
state and federal rules, laws, regulations and ordinances pertaining to the performance of
the Services required hereunder, including but not limited to, the California Building
Standards Code as in effect in the City, the Americans with Disabilities Act, and any laws
and regulations related to any copyright, patent, trademark or other intellectual property
right involved in performance of the Services. Consultant's failure to comply with any
law(s) or regulation(s) applicable to the performance of the Services hereunder shall
constitute a material breach of this Agreement. To the extent that any other government
agency or entity provides compensation for any Services, Consultant shall comply with
all rules and regulations applicable to such fiscal assistance.
18, L,ivino Wage Ordinance. Without limiting the foregoing Section 17, Consultant shall
comply fully with all applicable requirements of Petaluma Municipal Code, Chapter 8.36,
Living Wage (the "Living Wage Ordinance"), as the same may be amended from time to
time. Upon the City's request Consultant shall promptly provide to the City documents
and information verifying Consultant's compliance with the requirements of the Living
Wage Ordinance, and shall within fifteen (15) calendar days of the Effective Date of this
Agreement, notify each of its affected employees as to the amount of wages and time off
that are required to be provided to them pursuant to the Living Wage Ordinance, The
Acknowledgement and Certification Pursuant to city of Petaluma Living Wage
Ordinance, attached. to this Agreement as Exhibit C, shall be a part of this Agreement for
all purposes, and Consultants that are subject to Living Wage Ordinance requirements, as
determined by the City, must provide a properly completed Exhibit C in accordance with
the requirements of the Living Wage Ordinance. Consultant's noncompliance with the
applicable requirements of the Living Wage Ordinance shall constitute cause for City's
termination of this Agreement pursuant to Section 4 hereof.
19. Discrimination. During the performance of this Agreement, Consultant shall not
discriminate against any employee or applicant for employment because of race, religion,
creed, color, national origin, ancestry, gender, sexual orientation, age or physical or
mental disability in violation of any applicable law.
20, Notice. Except as otherwise specified in this Agreement, all notices to be sent pursuant
to this Agreement shall be made in writing, and sent to the Parties at their respective
addresses specified below or to such other address as a Party may designate by written
notice delivered to the other Party in accordance with this Section. All such notices shall
be sent by:
(i) personal delivery, in which case notice is effective upon delivery;
(ii) certified or registered mail, return receipt requested, in which case notice shall be
deemed delivered on receipt if delivery is confirmed by a return receipt;
(iii) nationally recognized overnight courier, with charges prepaid or charged to the
sender's account, in which case notice is effective on delivery if delivery is
confirmed by the delivery service; or
PROFE-SSIONAL SERVICES AGREEMENT
(60932 t) Junc 12011
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(iv) facsimile transmission, in which case notice shall be deemed delivered upon
transmittal, provided that (a) a duplicate copy of the notice is promptly delivered
by first-class or certified mail or by overnight delivery, or (b) a transmission
report is generated reflecting the accurate transmission thereof. Any notice given
by facsimile shall be considered to have been received on the next business day if
it is received after 5:00 p.m. recipient's time or on a nonbusiness day.
City: City Clerk
City of Petaluma
Post Office Box 61
Petaluma, California 94953
Phone: (707) 778-4360
Fax: (707) 778-4554
Email: cityelei-k@ci.petalut-naca,us
And:
Dan St. John, RASCE
City of Petaluma
202 N. McDowell Blvd
Petaluma, CA. 94954
Phone: 707-778-4546
Fax: 707-206-6034
Email: publicApork-sgci. petal uma.ca, u's
Consultant: Carolyn Lay
North Valley Labor Compliance Serrvices
6955 North Duranjzo Street, Suite 1115-254
Las VeM, NV 89149
Phone: 530-674-3033
Fax:
Email.- eplayCasbeglobal.net
21. Ownership, of Documents. All original papers, documents or computer material on disk
or microfilm, and copies thereof, produced as a, result of this Agreement, shall be the
property of City and may not be used by Consultant without the written consent of City.
Copies of such documents or papers shall not be disclosed to others without the written
consent of the City Manager or his or her designated representative.
22. Indemnification. To the maximum extent permitted by law, Consultant shall, at its own
expense, indemnify, defend with counsel acceptable to the City, (which acceptance will
not be unreasonably withheld), and hold harmless City and its officers, officials,
employees, agents and volunteers ("Indemnitees") from and against any and all liability,
loss, damage, claims, suits, actions, arbitration proceedings, administrative proceedings,
regulatory proceed ' ings, civil penalties and fines, expenses and costs (including, without
limitation, claims expenses, attorney's fees and costs and fees of litigation) (collectively,
"Liability") of every nature, whether actual, alleged or threatened, arising out of or in
connection with the Services or Consultant's failure to comply with any of the terms of
this Agreement, regardless of any fault or alleged fault of the Indemnitees.
PROFESSIONAL SERVICES AGREEMENT
(60932 1) June 2011
10
The Consultant's obligation to indemnify, defend and hold harmless under this provision
shall not be excused because of the Consultant's inability to evaluate Liability, or because
the Consultant evaluates Liability and determines that the Consultant is not or may not be
liable, The Consultant must respond within 30 calendar days to any tender for defense
and indemnity by the City, unless the time for responding has been extended by an
authorized representative of the City in writing. If the Consultant fails to accept tender of
defense and indemnity within 30 calendar days, in addition to any other remedies
authorized by law, so much of the money due or that may become due the Consultant
under this Agreement as shall reasonably be considered necessary * by the City, may be
retained by the City until disposition has been made of the matter subject to tender, or
until the Consultant accepts the tender, whichever occurs first. In the event that the City
must file responsive documents in a matter tendered to Consultant prior to Consultant's
acceptance of tender, Consultant agrees to fully reimburse all costs, including but not
limited to attorney's fees and costs and fees of litigation, incurred by the City in filing
such responsive documents.
The Consultant waives any and all rights to express or implied indemnity against the
Indemnitees concerning any Liability of the Consultant arising out of or in connection
with the Services or Consultant's failure to comply with any of the terms of this
Agreement.
Notwithstanding the foregoing, to the extent this Agreement is a "construction contract"
as defined by California Civil Code ' Section 2783, as may be amended from time to time,
Consultant's duty to indemnify under this provision shall not apply when to do so would
be prohibited by California Civil Code Section 2782, as may be amended from time to
time.
Notwithstanding the foregoing, to the extent that the Services include design professional
services subject to California Civil Code Section 2782.8, as may be amended from time
to tirne, Consultant's duty to indemnify shall only be to the maximum extent permitted by
California Civil Code Section 2782.8.
23. Insurance. Consultant shall comply with the "Insurance Requirements for Consultants"
in Exhibit B-2, attached hereto and incorporated herein by reference. [Indicate w1ached
exhibit; e.g., "B-1, " "B-2, " "B-3, " or "B-4. 'I
24. Amendment. This Agreement may be amended only by a written instrument executed
by both Parties.
25. Litigation. If litigation ensues which pertains to the subject matter of Consultant's
services hereunder, Consultant, upon request from City, agrees to testify therein at a
reasonable and customary fee.
26. Cons I truction. This Agreement is the product of negotiation and compromise on the part
I of both Parties and that the Parties agree that, notwithstanding Civil Code Section 1654,
any uncertainty in the Agreement shall not be construed against the drafter of the
Agreement.
PROFFSSIONAL SERVICES AGREEMENT
(609321) June 2011
I1
27. Governing Law; Venue. This Agreement shall be enforced and interpreted tinder the
laws of the State of California and the City of Petaluma. Any action arising from or
brought in connection with this Agreement shall be venued in a court of competent
jurisdiction in the County of Sonoma, State of California.
28. Non-Waiver. The City's failure to enforce any provision of this Agreement or the
waiver thereof in a particular instance shall not be construed as a general waiver of any
part of such provision. The provision shall remain in full force and effect.
29. . Severability. If any term or portion of this Agreement is held to be invalid, illegal, or
otherwise unenforceable by a court of competent jurisdiction, the remaining provisions of
this Agreement shall continue in full force and effect.
30. No Third Party Beneficiaries. The Parties do not intend to create, and nothing in this
Agreement shall be construed to create any benefit or right in any third party,
31. Mediation. The Parties agree to make a good faith attempt to resolve any dispute arising
out of this Agreement through mediation prior to commencing litigation, The Parties
shall mutually agree upon the mediator and shall divide the costs of mediation equally.
32. Consultant's Books and Records.
A. Consultant shall maintain any and all ledgers, books of accounts, invoices,
vouchers, canceled checks, and other records or documents evidencing or relating
to charges for services, or expenditures and disbursements charged to the City for
a minimum period of three (3) years or for any longer period required by law,
from the date of final payment to Consultant pursuant to this Agreement.
B. Consultant shall maintain all documents and records which demonstrate
performance under this Agreement for a minimum period of three (3) years or for
any longer period required by law, from the date of termination or completion of
this Agreement.
C. Any records or documents required to be maintained pursuant to this Agreement
shall be made available for inspection or audit, at any time during regular business
hours, upon written request by the City Manager, City Attorney, City Finance
Director, or a designated representative of these officers. Copies of such
documents shall be provided to the City for inspection at Petaluma City Hall
when it is practical to do so. Otherwise, unless an alternative is mutually agreed
upon, the records shall be available at Consultant's address indicated for receipt
of notices in this Agreement.
D. Where City has reason to believe that such records or documents may be lost or
discarded due to dissolution, disbandment or termination of Consultant's
business, City may, by written request by any of the above-named officers,
require that custody of the records be given to the City and that the records and
documents be maintained in Petaluma City Hall. Access to such records and
documents shall be granted to any party authorized by Consultant, Consultant's
representatives, or Consultant's successor in interest.
PROFESSIONAL SERVICES AGREFMENIT
(09.121) June 2011
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33. Headings. The headings used in this Agreement are for convenience only and are not
intended to affect the interpretation or construction of any provisions herein.
34. Survival. All obligations arising prior to the termination or expiration of this Agreement
and all provisions of this Agreement allocating liability between City and Consultant
shall survive the termination or expiration of this Agreement.
35. Entire Agreement This Agreement, including the exhibits attached hereto and
incorporated herein, constitutes the entire agreement between the Parties with respect to
the Services, and supersedes all prior agreements or understandings, oral or written,
between the Parties in this regard,
IN WITNESS WHEREOF, the parties hereto have executed this document the day, month and
year first above written.
CITY OF PETALUMA CONSULTANT
J
City Manager Name V J
ATTEST:
Title
3
City Clerk Address
APPROVED AS TO FORM: t o Ve Sr 1�
City State Zip
3
City Attorney Taxpayer I.D. Number
APPROVED:
Petaluma Business Tax Certificate Number
Department Director
APPROVED:
Risk Manager
APPROVED:
Finance Director
file name:
PROFFSSIONAL SERVICES AGREEMENT
1 (609-12 1) June 2011
13
Exhibit A
LABOR COMPLIANCE SERVICES
FOR DENMAN REACH PHASE 3 AND
CAPRI CREEK RE- CONTOURING AND TERRACING PROJECTS
The purpose of this Agreement is, except as explicitly identified as a City obligation within this
Exhibit A, for the Consultant to fulfill all obligations of the City under its Labor Compliance
Program, adopted by Resolution No. XX, and as may be required by the terms and conditions of
any grants for Denman Reach Phase 3 and the Capri Creels Re- Contouring and Terracing
Projects and applicable law.
Scope of WOrk
Before construction begins, Consultant will ensure all City bid invitations and
contracts /agreements contain the appropriate prevailing wage language and State Labor Code
requirements. Consultant will provide a handout to be distributed at the pre -bid conference to
contractors so they know the requirements prior to bidding. Consultant shall go over all
requirements with the City awarded Contractor and all subcontractors to ensure compliance to
prevailing wage laws.
Once construction begins, Consultant will review and monitor certified payroll to verify
contractor compliance; making sure workers are being paid correctly, classified correctly and
that fringe benefits are being paid. Consultant will also ensure that apprenticeship requirements
are adhered to by confirming eligibility of an approved program that is registered with the State
of California. Consultant will maintain ongoing communication with the contractors concerning
possible violations and discrepancies. Consultant will give the contractor every opportunity to
correct and rectify a potential error. If it becomes necessary to conduct an audit of certified
payroll, Consultant will notify the specified parties as well as the awarding body of our
intentions. All parties will be notified of the outcome of an audit including potential penalties
before a Request for Forfeiture is submitted to the Labor Commissioner.
The City will conduct onsite interviews with the contractor workers to confirm that they are
being paid the correct hourly wage, they are classified correctly for the type of work they are
performing, travel and subsistence if applicable, overtime and holiday pay if applicable. City
staff will complete the interview forms and submit it to the Consultant for review.
Consultant will review and approve each pay application that is presented to the City for
payment. If there are outstanding issues with a specific contractor /subcontractor, Consultant will
recommend the withholding of contract payments for that particular contractor /subcontractor.
Pre-'- i and Pre - Construction Meetings
Consultant will provide materials to be distributed at the Pre -Bid meeting to inform potential
bidding contractors of their obligations to CA Labor Code.
Once the contract has been awardedlConsultant 51776, with
The contractors w 11 lean how
requirements under Labor Code §§ ,
14
to properly submit their certified payroll, how to complete and submit required LCP documents,
and will understand the importance of keeping accurate records so they are in compliance with
the law.
Consultant will review the "Checklist of Labor Laws ". A copy of this document will be signed
by each contractor and kept on file.
Collection, Review, and Monitorine of Certified Payroll
All contractors who work on -site shall maintain complete certified payroll records; these shall
contain all the required information shown on the DIR "Public Works Payroll Reporting Form ".
Records shall be furnished to Consultant as defined in the contract. All payroll records are
promptly reviewed for accuracy so that appropriate corrective action can be taken if necessary.
Consultant will check for completeness, and if accompanied by a Statement of Compliance,
employee information, job classifications and wage rates. If discrepancies are found, the
Consultant will notify the Prime Contractor with a "Ten Day Notice to Correct ". It will be the
responsibility of the prime contractor to forward the notice on to their subcontractor(s). The
Consultant-will contact the subcontractors directly upon request of the Prime Contractor.
Pursuant to CCR § 16432, Consultant will conduct further confirmation of payroll records in
order to corroborate reported prevailing wage payments; for each month in which a contractor
reports having workers on the project. This is accomplished through worker interviews,
examination of pay stubs, or any other reasonable method. Confirmation is also undertaken by
the Consultant upon complaints from workers or other interested persons, or when other
information suggests inaccuracy of the payroll records.
Audits and Investigations
An investigation and audit shall be prepared when Consultant determines that a violation of the
prevailing wage has occurred. The audit will include the amount of underpayment to the
worker(s) and any penalties to be assessed under LC § 1775 and § 1813. Information as to actual
hours worked, amounts paid and classifications of workers employed on the project will also be
included in the audit. During the Consultants' investigation in preparing the audit they will
derive information from interviews with the workers, complaints from workers or other
interested parties, time cards cancelled checks, trust fund forms, work schedules, evidences that
reflect job assignment, review of daily superintendent reports, IOR reports, and any other
additional documents that may be pertinent to the investigation.
Enforcement
Consultant will strive to develop a good relationship with the contractors to provide assistance in
complying with CA labor code. Consultant will be available as needed by phone or email.
A. Delinquent or Inadequate Payroll — Once it is determined that certified payroll
is either delinquent or inadequate pursuant to CCR §16435, Consultant will issue
a "Ten Day Notice to Correct" to the affected contractor. The Consultant will
follow up this notice with a phone call to offer any assistance if needed. If
inaccuracies are not promptly corrected within one payroll period after such
15
notice, CA Labor Code § 1771.5 requires the withholding of contract payments
only to the subcontractor whose payroll records are delinquent and /or inadequate.
Consultant will provide the contractor with immediate notice that contract
payments are being withheld, identifying why the payroll is deemed delinquent
and /or inadequate, specifying the amount being withheld, and his rights under LC
§ 1742. Once corrected payrolls are produced, the withholdings will be released.
B. Failure to Pay Prevailinlz Wage — Once it is determined that prevailing wage has
not been paid by a contractor, by review, monitoring and /or confirming certified
payroll; an investigation will be conducted to determine if the underpayment was
a willful violation. Consultant will issue a "Ten Day Notice to Correct ", followed
with a phone call to answer any questions that the contractor may have. If the
contractor makes prompt restitution to the worker and can provide information to
prove a "good faith mistake" as determined by LC § 1775, Consultant will not be
required to request from the Labor Commissioner a determination for penalties to
be assessed against the contractor. If the investigation provides evidence that a
willful violation occurred, an audit will be prepared to include the amount of
underpayment to the worker(s) and any penalties to be assessed under LC §1775
and LC § 1813 and submitted to the Labor Commissioner for approval. A copy of
the recommended forfeiture and the report shall be served on the contractor and
subcontractor at the same time it is mailed to the Labor Commissioner. If a
written complaint is received alleging the underpayment of prevailing wage by a
contractor, Consultant will notify the complaining party within 15 days that the
case is being handled, and provide contact. information of the person doing the
investigating. Consultant will also notify the contractor of the complaint within
15 days pursuant to LC § 1775. We will conduct an audit to determine accuracy
of the complaint and follow the procedure as noted above. Consultant will keep
the complaining party apprised of the status of the investigation in an ongoing
basis. Consultant will file a Davis Bacon: 5.7 Labor Standards Enforcement
Report for any violation over $1,000.00 or violations deemed to be willful, for
any federally funded projects.
C. Failure to Comply With Apprenticeship Requirements — Consultant will issue
a "10 Day Notice to Correct" once suspected violations are determined. An audit
will be prepared to determine if the violation is a "knowing violation" under LC
§1777.5. All suspected violations will be filed as a complaint to the Division of
Apprenticeship Standards (DAS) under their guidelines as required by Labor
Code. Consultant will maintain a written summary of all labor compliance
activities and relevant facts that pertain to this project for each contractor on the
job.
Forfeitures
After the Consultant reviews certified payroll records and discovers that workers have been
underpaid, an audit will be prepared showing the total amount of underpayment, which also
includes estimated penalties required pursuant to LC §§1775, 1776, and 1813. Consultant will
give the contractor the opportunity to explain why the violation was a "good faith mistake ". If
16
the contractor fails to do so, Consultant will prepare evidence of the violation in narrative form
and submit this report to the Labor commissioner along with additional information as required
by CCR §16437. Consultant may recommend withholding of funds during the course of
construction where the contractor has failed to comply with labor standards provisions within a
thirty day period. .
Assisting the City to Prepare for a Hearin¢ Before the DIR
The Consultant's goal is to preclude a case from going before the DIR to be heard through
implementation of the preventative measures outlined above. In the event that a case does go to
the DIR, Consultant will assist the City Attorney by providing detailed documentation that will
help validate the case. The additional work is not included in the original not to exceed amount
and will be billed as additional services at the same rate of pay if required. Consultant will assist
in any manner consistent with the Prevailing Wage Hearing Regulations set forth in CCR
§17201- 17270.
17
Carolyn Lay
Senior Labor Compliance Officer
Laura Devany
Labor Compliance Officer
Clerical Staff
Cost of Services
Schedule of Rates
Allowable Reimbursable Expenses
$75.00 /hour
$75.00 /hour
30.00 /hour
Consultant will be reimbursed for reasonable expenses incurred in conjunction with the project.
The items allowable for reimbursement are as follows:
1. Cost of copies, mostly for printing the Labor Compliance Manual.
2. Cost of postage, UPS, Federal Express, and other deliveries.
3. Cost of other items as required, with prior approval from City.
NOT TO EXCEED VALUE
Denman Reach Phase 3 Labor Compliance Monitoring Not To Exceed Value of
$15,500.00 (Fifteen Thousand five hundred dollars.
Capri Creelc Re- contouring Labor Compliance Monitoring Not Exceed Value of
and Terracing $13,000 (Thirteen Thousand dollars).
Additional Services would be at the request of the City; Consultant would prepare for and serve as a
witness in connection with any public or private HEARING or arbitration, mediation, disciplinary or
enforcement action, or legal proceeding.
18
INSURANCE REQUIREMENTS
F.XHIRIT R -?
Consultant's performance of the Services under this Agreement shall not commence until
Consultant shall have obtained all insurance required under this paragraph and such insurance
shall have been approved by the City Attorney as to form and the Risk Manager as to carrier and
sufficiency. All requirements herein provided shall appear either in the body of the insurance
policies or as endorsements and shall specifically bind the insurance carrier.
Consultant shall procure and maintain for the duration of the contract all necessary insurance
against claims now and in the fixture for injuries to persons or damages to property which may
arise from or in connection with the performance of the Services by the Consultant, the
Consultant's agents, representatives, employees and subcontractors. Required professional
liability insurance shall be maintained at the level specified herein for the duration of this
Agreement and any extension thereof and for twelve additional months following the Agreement
termination or expiration.
A. Minimum Scope of Insurance
Coverage shall be at least as broad as:
1. Insurance Services Office Commercial General Liability coverage:
a. Personal injury;
b. Contractual liability.
2. Insurance Services Office form covering Automobile Liability, code 1 (any auto).
3. Workers' Compensation insurance as required by the State of California and
Employer's Liability Insurance.
4. Professional Liability insurance.
5. Such other insurance coverages and limits as may be required by the City.
B. Minimum Limits of Insurance
Consultant shall maintain limits no less than:
1. General Liability: $1,000,000 per occurrence for bodily injury, personal injury
and property damage. If Commercial General Liability Insurance or other form
with a general aggregate liability is used, either the general aggregate limit shall
apply separately to this Agreement or the general aggregate limit shall be twice
the required occurrence limit.
2. Automobile Liability: $1,000,000 per accident for bodily injury and property
damage.
3. Employer's Liability: Bodily Injury by Accident - $1,000,000 each accident.
Bodily Injury by Disease - $1,000,000 policy limit.
Bodily Injury by Disease - $1,000,000 each employee.
4. Professional Liability insurance: $1,000,000.
5. Such other insurance coverages and limits as may be required by the City.
C. Deductibles and Self- Insured Retentions
Any deductibles or self - insured retentions must be declared to and approved by the City.
At the option of the City, either: the insurer shall reduce or eliminate such deductibles or
Exhibit B2
Page 1 of 2
INSURANCE REQUIREMENTS (City)
(609325) April 201 ® 9
self - insured retentions as respects the City, its officers, officials, employees, and
volunteers; or the Consultant shall procure a bond guaranteeing payment of losses and
related investigations, claim administration and defense expenses.
D. Other Insurance Provisions
The required general liability and automobile policies are to contain, or be endorsed to
contain the following provisions:
1. The City, its officers, officials, employees, agents and volunteers are to be
covered as Additional Insureds as respects: liability arising out of activities
performed by or on behalf of the Consultant; products and completed operations
of the Consultant; premises owned, occupied or used by the Consultant; or
automobiles owned, leased, hired or borrowed by the Consultant. The coverage
shall contain no special limitations on the scope of protection afforded to the City,
its officers, officials, employees, agents or volunteers.
2. For any claims related to this project, the Consultant's insurance coverage shall be
primary insurance as respects the City, its officers, officials, employees, agents
and volunteers. Any insurance or self - insurance maintained by the City, its
officers, officials, employees, agents or volunteers shall be excess of the
Consultant's insurance and shall not contribute with it.
3. Any failure to comply with reporting or other provisions of the policies including
breaches of warranties shall not affect coverage provided to the City, its officers,
officials, employees, agents or volunteers.
4. The Consultant's insurance shall apply separately to each insured against whom
claim is made or suit is brought except, with respect to the limits of the insurer's
liability.
5. Each insurance policy required by this clause shall be endorsed to state that
coverage shall not be suspended, voided, canceled by either party, reduced in
coverage or in limits except after thirty (30) days' prior written notice by certified
mail, return receipt requested, has been given to the City.
6. Consultant agrees to waive subrogation rights against City regardless of the
applicability of any insurance proceeds, and to require all contractors,
subcontractors or others involved in any way with the Services to do likewise.
E. Acceptability of Insurers
Insurance is to be placed with insurers with a current A.M. Best's rating of no less than
ANII.
F. Verification of Coverage
Consultant shall furnish the City with original endorsements effecting coverage required
by this clause. The endorsements are to be signed by a person authorized by that insurer
to bind coverage on its behalf. All endorsements are to be received and approved by the
City before the Services commence.
Exhibit B2
Page 2 of 2
INSURANCE REQUIREMENTS (City)
(609325) April 201 20
CITY OF PETALUMA LIVING WAGE ORDINANCE
PETALUMA MUNICIPAL CODE CHAPTER 8.36
The City of Petaluma Living Wage Ordinance uc"\Pnta|uo)u&4onicjnn Code
8��� 1ocedah�oerv�ecnatoao(o kmoeo �umchimeuand other agmeon� - or funding
Chapter
u�cuhau�u\myn)v�Unofinonc�dwas�tunce nobooedtcroo un^ nofl -
the C�vofPe{n|um/uy�Chv`l and/or the Pe1aonna��oounurh1yIJevekupn`-1Commission
and contractors, lessees, franchisees, and/or recipients ofCh and/or PC[)Cfunding
orfimancix| benefits (^^oovcrcdonbdex'`).
Pursuant h` Petaluma Municipal Code Section Q.30./20'oo part of any bid, application o,
proposal for any Agreement subject to the Ordinance, the covered entity shall:
0 Acknowledge that the covered entity is aware ofthe Ordinance and intends tocmnply
with its provisions.
0 Complete the Report of Charges, Complaints, Citations and/or Findings contained inthis
Acknowledgement and Certification 6n providing iofbunadon,iocJudin& the date, yu6ioot
rna�craodnauunornfrmsohtion,ifany`ofm|lnmgc,houcoo)keudveh bargaining,
-
workplace environmental or consumer charges, complaints, oi�dinnu`
and/or findings of violation of law m regulation hvany regu|atory ' r or court
including but not limited 10 the California Department n[ Fair �
Employment -and Housing,
Division of Occupational Safety and Health ([YSFk\)California tof}nduotda|
@o�iooa (Labor Commi �v�m��ta/9m�ohnnAgmu- and/or National
Labor Relations Board, which have been D\cd or presented bothe covered entity within
the ten years immediately prior to the bid, proposal, submission or request.
Pursuant k) Petaluma Municipal Code Section 8.36.|2[ibefore. the beginning oftbe tennnfany
m�� mpdm�t���dou�xoNA���t��e Ch� or t�PCDC,eo�
covered entity mbuUce�}ƒy that hvon�pluyoeuare paid ol�io8 g that io'consistent with
Petaluma Municipal Code Chapter Q.3d.
By executing this Acknowledgement and Certification, the covered entity U)oc�oow|ed�othat
it is wpvmu: of the Ordinance and intends to comply vvdb its 'oioou (�O' ' 1n the -`
�d�m /�n�ofio�o�bon��idodint�0cpodo{. �� '—'�r�,Ch�iono '
and/or Findings contained herein, (iii) certifies that h pays its covered employees o Living Wage
amdefioedin Petaluma Municipal Code Chapter 830 and 6v\ attests that the person executing
this Acknowledgement oodCcdificudmm is authorized 1ubind the covered entity aoto the matters
covered in this Acknowledgment and Certification.
Page l of
ummWAGE ACKNOWLEDGEMENT
xwocsxnaICAnow
21
SO ACKNOWLEDGED and CERTIFIED:
Project or Contract I.D: LABOR COMPLIANCE SERVICES FOR DEN-MAN REACH PHASE
3 AND CAPRI CREEK RE-CONTOURING AND TERRACING PROJECTS
�iorl�€ Va'dil"d Llu�,fli- Date: 0/s-
(Print Name of Coffered Entity/Businbss Capacity) f
V
By 0ji-
(Print Name)/
/s/
(Signature)
Its
(Title /Capacity of Authorized Signer)
Page 2 of 3
LIVING WAGE ACKNOVA-EDGEMENT
AND CERTIFICATION
(1639697.2) Nov 2012
22
lik, V tel Vag' - t
FOR EACH WAGE, HOUR, COLLECTIVE BARGAINING, WORKPLACE SAFETY, ENVIRONMENTAL OR
CONSUMER PROTECTION CHARGE, COMPLAINT, CITATION, AND /OR FINDING OF VIOLATION OF LAW
OR REGULATION BY ANY REGULATORY AGENCY OR COURT, INCLUDING BUT NOT LIMITED TO THE
CALIFORNIA DEPARTMENT OF FAIR EMPLOYMENT AND HOUSING, DIVISION OF OCCUPATIONAL
SAFETY AND HEALTH (OSHA), CALIFORNIA DEPARTMENT OF INDUSTRIAL RELATIONS (LABOR
COMMISSIONER), ENVIRONMENTAL PROTECTION AGENCY AND /OR NATIONAL LABOR RELATIONS
BOARD, WHICH:
• AFFECTS YOU AS A PROSPECTIVE CONTRACTOR, SUBCONTRACTOR, LESSEE, FRANCHISEE
AND /OR PARTY TO ANY CITY OF PETALUMA AND /OR PETALUMA COMMUNITY
DEVELOPMENT COMMISSION - FUNDED AGREEMENT OR BENEFIT SUBJECT TO PETALUMA
MUNICIPAL CODE CHAPTER 8.36 (LIVING WAGE ORDINANCE), AND
• HAS BEEN FILED OR PRESENTED TO YOU WITHIN THE TEN YEARS IMMEDIATELY PRIOR TO THE
BID, PROPOSAL, SUBMISSION OR REQUEST FOR WHICH THIS ACKNOWLEDGEMENT AND
CERTIFICATION IS MADE.
PLEASE PROVIDE THE DATE, THE REGULATORY AGENCY OR COURT MAKING THE CHARGE
COMPLAINT, CPT'ATION OR FINDING, THE SUBJECT MATTER AND THE MANNER OF RESOLUTION, IF
ANY, FOR EACH SUCH CHARGE COMPLAINT, CITATION OR FINDING.
IF NONE, PLEASE STATE "NONE":
ATTACH ADDITIONAL PAGES IF NEEDED.
Date:
Regulatory Agency or Court:
Subject Matter:
Resolution, if any:
Expected resolution, if known:
Page 3 of 3
LIVING WAGE. ACKNOWLEDGEMENT
AND CERTIFICATION
(1638692.2) Nov 2012
23
Attachment 3
The City of Petaluma Labor Compliance Program
The City of Petaluma has designed this program for the purpose of implementing its policies relative to the labor
compliance provisions of state and federally funded public works contracts; to comply with statute which
mandate a labor compliance program be in place.
The City of Petaluma LCP will adhere to the statutory requirements as enunciated in Section 1771.5(b) of CA
Labor Code. It is the intent of The City of Petaluma to actively enforce this LCP by having North Valley Labor
Compliance monitor The City of Petaluma's_construction projects for the payment of prevailing wage rates, and
by requiring contractors and sub contractors having workers on projects to submit certified payroll and
supporting documents to demonstrate their compliance with prevailing wage requirements.
Should applicable sections of CA Labor Code or Title 8 of the CA Code of Regulations be amended The City of
Petaluma's LCP will modify the affected portions of this program accordingly.
TABLE OF CONTENTS
I. LABOR COMPLIANCE PROGRAM OUTLINE, LABOR COMPLIANCE OFFICER DUTIES
Components of Labor Compliance Program
Page 4
Insert correct prevailing wage language in Notice to Bidders and Contract
Page 5
Provide Information to Contractors
Page 5
Make certain PWC 100 is submitted
Page 6
Provide Information to workers and support worker complaints
Page 6
Perform audits and investigations
Page 6
Pursuant to 16434(d) written summary of activities
Page 7
Submit Form 700 (FPPC), pursuant to CCR 16430
Page 7
Pursuant to 16430 submittal of annual report each year
Page 7
II. LABOR COMPLIANCE MANUAL
Section 1— Contractor Requirements
Page 8 -10
Section 2 — Review of Certified Payroll Records
Page 11 -15
Section 3 —Audit of Certified Payroll Records
Page 16 -17
Section 4- Public Requests for Certified Payroll Records
Page 18 -19
Section 5 — Apprenticeship
Page 20 -21
Section 6 — Prevailing Wage Determinations
Page 22 -24
Section 7 — List of Prevailing Wage Rate Employer Payments and Exclusions
Page 25 -26
Section 8 — Investigative Procedures, Enforcement, Penalties, Forfeitures and Withholdings, Hearings
Page 27 -36
Section 9 — Duties of Labor Compliance Program
Page 37 -38
Section 10- Annual Report
Page 39
TABLE OF CONTENTS (continued)
2
0
III. Appendices
APPENDIX "A" Suggested Checklist of Labor Law Requirements to Review at Pre -job conference
APPENDIX "B" Audit Record Worksheet
APPENDIX "C" Labor Compliance Review and Enforcement Report Form
APPENDIX "D" Request for Approval of Forfeiture
APPENDIX "E" Notice of Temporary Withholding
APPENDIX "F" Notice of Right to Obtain Review
APPENDIX "G" Notice of Withholding of Contract Payments
APPENDIX "H" Notice of Transmittal
APPENDIX. "I" Notice of Opportunity to Review Evidence
APPENDIX "J" Request to Review Evidence
APPENDIX "K" Forms for Awarding Body, Contractor and subcontractors
PWC 100 to be submitted electronically to the DIR /DAS
Forms to be submitted by the contractor and subcontractors
1. DAS 140— Public Works Contract Award Form
2. Fringe Benefit Statement
3. DAS 142- Request for the Dispatch of Apprentices
4. Statement of Compliance
5. Form A -131 DLSE Wage Reporting Form
6. Non - Performance or Negative Payroll Form
7. CAC Training Fund Contribution Form
8. Subcontractor Affidavit Upon Receipt of Final Payment
9. Contractor Affidavit of Compliance
3
APPENDIX "L" Annual Report- Pursuant to CCR 16431 LCP AR -1
APPENDIX "M" Form 700
LABOR COMPLIANCE OFFICER RESPONSIBILITIES
Components of the Labor Compliance Program
Pursuant to CCR 16421
(a) In accordance with Labor Code Section 1771.5(b), a Labor Compliance Program shall include, but not be
limited to, the following requirements:
(1) The Call for Bids, Design -Build Request, and the contract or purchase order shall contain appropriate language
concerning the requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code. Pursuant to CA Labor Code
1725.5 all contractors bidding on a public works and working on a public works project must be currently
registered with the Department of Industrial Relations and be in good standing.
(2) A pre -job conference shall be conducted before commencement of the work with contractors and
subcontractors listed in the bid or who are required to be identified or prequalified in a Design -Build Contract. At
the pre -job conference applicable federal and state labor law requirements shall be discussed, and copies of
suggested reporting forms furnished. A checklist, showing which federal and state labor law requirements were
discussed, shall be kept for each conference. A checklist in the format of Appendix A presumptively meets this
requirement.
(3) A requirement that certified payroll records be kept by the contractor in accordance with Labor Code Section
1776 and furnished to the Labor Compliance Program at times designated in the contract, which shall be at least
monthly, or within 10 days of any request by the Awarding Body. In addition the contractor and subcontractors
may have to electronically submit certified payroll to the Labor Commissioner if requested. Use of the current
version of DIR's "Public Works Payroll Reporting Form" (A -1 -131) and Statement of Employer Payments (PW26)
constitute presumptive compliance with the requirement for certified payroll records kept in accordance with
Labor Code Section 1776, provided the forms are filled out accurately and completely. These suggested forms are
available from the Department of Industrial Relations.
(4) A program for orderly review of payroll records and, if necessary, for audits to verify compliance with the
requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code.
(5) A prescribed routine for withholding penalties, forfeitures, and underpayment of wages for violations of the
requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code.
(6) All contracts to which prevailing wage requirements apply shall include a provision that contract payments
shall not be made when payroll records are delinquent or inadequate.
ll
(d) Nothing in this section or these regulations shall be construed as limiting the responsibility and authority of an
Awarding Body to take cognizance of prevailing wage violations under Section 1726 of the Labor Code and take
any appropriate action pursuant to and in accordance with that responsibility and authority.
(e) it is the responsibility of a Labor Compliance Program to enforce prevailing wage requirements, consistent
with the policy of the state as expressed in Labor Code Section 90.5(a). A Labor Compliance Program shall take
reasonable, vigorous, and prompt action to (1) determine whether violations exist, and (2) enforce compliance,
including through imposition of appropriate penalties and formal enforcement action, when violations are found.
A Labor Compliance Program shall neither avoid use of its enforcement authority based on cost considerations
nor shall it use that authority in an unreasonable manner to gain leverage over a contractor or subcontractor.
Unreasonable use of enforcement authority includes, but is not necessarily limited to, prolonged or excessive
withholdings of contract payments without making a determination that a violation has occurred.
(f) The failure of an Awarding Body or Labor Compliance Program to comply with any requirement imposed by
this subchapter shall not of itself constitute a defense to the failure to pay prevailing wages or to comply with any
other obligation imposed by Chapter 1 (commencing with Section 1720), Part 7, Division 2 of the Labor Code.
To ensure the successful compliance and implementation of this labor compliance program, the following list of
activities are conducted by the labor compliance officer:
Provide Information to the Contractors and Subcontractors
The Labor Compliance Officer shall:
1. a) Make certain the Awarding Body has accurate prevailing wage language in the bid advertisement, bid
form, and contract.
Notice to Contractors
All advertisements or solicitations for bids for public works /prevailing wage projects must contain appropriate
language concerning the requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code, as set forth in CA
Labor Code, 1720 -1861 et seq. Attention will be drawn to CA Labor Code 1771.1(b) requiring all contractors to be
registered and in good standing with the Department of Industrial Relations. The Notice shall also contain the
effective date of the Director's approval of the labor compliance program, a telephone number to call for
inquiries, questions or assistance with regard to the Labor Compliance Program. The first advertisement that is
printed or made public sets the prevailing wage rates for the life of the project.
Construction Contract /General Requirements
Contracts issued between the Awarding Body and Contractor(s) must contain all components and wording
required by California Labor Code and CA Code of Regulations. The Labor Compliance Officer also requires
contracts to be signed between the prime and their subcontractors which contain prevailing wage requirements
pursuant to CA Labor Code 1775(8)(1) "The contract executed between the contractor and the subcontractor for
5
ENWAII
112
the performance of work on the public works project shall include a copy of the provisions of Sections 1771,
1775, 1776, 1777.5, 1813 and 1815.
b) Preside over the labor compliance portion of all pre -bid and pre- construction meetings.
The Labor Compliance Officer will hold a mandatory pre- construction meeting for awarded
contractors pursuant to Labor Code 1771.5(b)(2). At this meeting, the Labor Compliance Officer,
will discuss prevailing wage requirements and answer questions. State wage determinations and
resource materials are discussed.
c) Design and provide specific forms to ensure labor compliance.
d) Provide training and support for all contractors and subcontractors performing labor on the
project(s).
e) Monitor, log and track all incoming forms, payrolls and certifications.
f) Interview workers on the jobsites to verify proper classifications and correct wage rates.
g) Conduct audits (Appendix B)
Random, On -Site Inspection
2. Random, on -site inspections are conducted to observe and interview workers and check hourly wages
and classifications. Either the Labor Compliance Officer or field investigator, who has construction
experience and is familiar with classifications and has prevailing wage experience, will conduct the
interviews. These interviews will occur weekly in accordance with CA Code of Regulations 16432(d);
or confirmation of payroll records pursuant to CCR 16432(c). All ohsite interviews shall include
visual(inspection of (1) the copy of the wage determination(s) of the Director of Department of Industrial
Relations of the prevailing wage rate of per diem wages required to be posted at each job site in
compliance with Labor Code Section 1773.2 and (2) the Notice of Labor Compliance Approval required to
be posted at the job site in accordance with section 16429, listing a telephone number to call for
inquiries, questions, or assistance with regard to the Labor Compliance Program."
Cross reference on -site interview information with the Project Inspector of Record (IOR) and Project
Superintendent's daily reports. All workers performing labor on the project each day are listed on the
IOR's Daily Report with classifications and head counts for each contractor indicated, and the type of
work they are performing.
Awarding Body Responsibility
3. a) Pursuant to Labor Code Section 1773.3 the Awarding Agency will electronically submit the PWC 100 to
the DIR /DAS for contract award, for any project over $1,000.00.
b) Pursuant to Labor Code Section 1771.1 (b) the Awarding Agency will include notice of contractor and
subcontractor registration requirement in all bid and contract documents, and the duty.not to accept a
bid or enter into a contract without proof of the contractor's current registration pursuant to Section
1725.5.
c) The Awarding Agency will specify in the bid documents that the project is subject to compliance
monitoring and enforcement by the Department of Industrial Relations, pursuant to Section 1771.4(a)(1).
d) The Awarding Agency will specify in the contract agreement the requirement for the prime contractor
to post job site notices, a prescribed by regulation.
Provide Information and Support for Worker Complaints
4. a) Investigate worker complaints
b) Respond to complaints and requests for certified payroll from public entities
c) Gather supporting documents.
d) Review findings.
e) Complete summary of investigation and findings.
f) Settlement negotiations.
Summary of Activities Pursuant to CCR 16434(d)
5. (d) For each public work project subject to a Labor Compliance Program's enforcement of prevailing wage
requirements, a separate, written summary of labor compliance activities and relevant facts pertaining to
that particular project shall be maintained. That summary shall demonstrate that reasonable and
sufficient efforts have been made to enforce prevailing wage requirements consistent with the practice
of the Labor Commissioner. Appendix C following this section provides a suggested format for tracking
and monitoring enforcement activities. Compliance records for a project shall be retained until the later
of (1) at least one year after the acceptance of the public work or five years after the cessation of all labor
on a public work that has not been accepted, or (2) one year after a final decision or judgment in any
litigation under Labor Code Section 1742. For purposes of this section, a written summary or report
includes information maintained electronically, provided that the summary or report can be printed out
in hard copy form or is in an electronic format that (1) can be transmitted by e -mail or compact disk and
(2) would be acceptable for the filing of documents in a federal or state court of record within this state.
Annual Reports and Filing of Form 700 (FPPC)
6. a) The Labor Compliance Officer will keep a written summary of activities pursuant to CCR 16434(d)
b) The Labor Compliance Officer will submit annual reports pursuant to CCR 16431 on the LCP AR1 form
and submit the report by August 31 each year for the period of July 1- June 30th of the preceding year.
c) Pursuant to CCR 16430 (a) an awarding body that operates either its own labor compliance program or
that contracts with a third party to operate all or part of its labor compliance program shall determine
ME
and designate those employees and consultants of the program who participate in making governmental
decisions for the Awarding Body within the meaning of Title 2, California Code of Regulations, sections
18700 - 18702.4. Those designated employees and consultants shall be required to file Statements of
Economic Interest (FPPC Form 700) and to comply with other applicable requirements of the Political
Reform Act (commencing with Section 87100 of the Government Code) in connection with work
performed on behalf of the Awarding Body. Pursuant to CCR 16430 (b) Designated employees and
consultants who operate or are employed by a third party labor compliance program shall file their
Statements of Economic Interest (FPPC Form 700) with the filing office of each Awarding Body with which
the third party program contracts, unless the Department of Industrial. Relations or the Fair Political
Practices Commission specifies a different or alternative filing location.
END OF SECTION
LABOR
For every day a worker works on a job or project that is funded with funds that by statute require a
Labor Compliance Program be enforced, and is paid for that work, the employer must pay each
worker who performs labor the prevailing rate of per diem wages for holiday and overtime work and
certify that the worker was paid correctly. In addition to keeping the payroll records available for the
public to see, all contractors bidding public works projects must use the current prevailing wage
determinations to bid the labor portion of the project.
All contractors who bid on public works are encouraged to print a current copy of the California Labor
Code and California Code of Regulations. They should be familiar with all the sections of these two
documents, in order to be in compliance with the public works laws.
SECTION I.
CONTRACTOR REQUIREMENTS
The contractor and each subcontractor shall maintain payrolls and basic records (timecards,
cancelled checks, cash receipts, trust fund forms, accounting ledgers, tax forms, superintendent and
foreman daily logs etc.) during the course of the work on District projects which are subject to LCP.
Such records shall include the name, address, social security number of each worker, his or her
classification, a general description of the work each employee performed each day, the rate of pay
(including rates of contributions for, or costs assumed to provide fringe benefits), daily and weekly
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number of hours worked, and actual wages paid. Contractors shall submit certified payroll
documents to the Labor Commissioner if the records are requested.
1. Public Works Contract Award Form DAS 140
Pursuant to CA Labor Code 1777.5(e) the DAS 140 must be filled out with the appropriate
apprenticeship box checked from all contractors and subcontractors to the appropriate
apprenticeship committee(s), pertaining to each trade, within 10 days of contract signing With
the General /Prime Contractor or at least prior to commencing work on the public works project.
Two copies of the DAS 140 are provided to the Prime Contractor from each subcontractor so the
Prime can forward a copy to the Labor Compliance Officer. Also confirmation of submittal to the
State approved training committee is requested, either fax confirmation or a copy of the certified
mail receipt.
2. Appendix "A" checklist of labor law requirements
The Appendix "A" will be discussed in detail at the pre bid and pre construction meetings, a
signed Appendix A will be required from the Prime and all subcontractors on the project.
3. Fringe Benefit Statement Form, Statement of Employer Payments
Fringe Benefits can be paid by the Contractor in cash directly to the workers or directly to a fund
or both. The Fringe Benefit Statement Form includes the names and addresses of funds to which
fringes are paid or if cash is paid to the employee or both. Training fees are indicated by trade
and to what program and how much per hour are contributed. A separate form is used for each
trade. The figures on the form, added to the basic hourly rate or wages on the payroll, should add
up to the total hourly prevailing wage amount for the applicable determination.
4. Request for Dispatch of Apprentices Form DAS 142
Pursuant to CA Labor Code 1777.5(e) each contractor that employs workers in an apprenticeable
craft must request the dispatch of apprentices from a state approved apprenticeship training
committee within 72 hours of commencing work on a public works project. A copy of the DAS
142 and proof of submittal must be provided to the Prime Contractor in duplicate, so a copy can
be forwarded to the Labor Compliance Officer. Also each contractor must provide proof of
submittal, either fax confirmation or certified mail receipt.
5. Payrolls
All payrolls submitted for review during the course of the contract are logged. The schedule for
submitting payroll(s) is indicated in the General Requirements of the contract documents. The
Prime Contractor must review their subcontractors' payrolls before they submitted to
check
for errors, omitted dates, signatures, or other information and to make sure
required in the payrolls are included. Pursuant to CA Labor Code 1776 all payrolls must include
one complete copy with:
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a. Employee full name, address and social security number.
b. Full work classification, DIR recognized.
c. The hourly pay rate, the basic hourly rate added to the fringes and training on the Fringe
Benefit Statement (FBS) must equal the Prevailing Wage Rate for that classification. A
new FBS must be submitted for each craft if there are any predetermined increases for
crafts pertaining to each contractor.
d. Total regular, overtime and holiday hours and hourly rate indicated:
e. The contractor's full name, address, project and name and location, license and workers
compensation number.
f. The dates of the payroll(s).
g. An attached certification including matching dates to the payroll(s) and the signature and
title of the person responsible for the payroll. Payroll(s) may be copies but the
certification must be original.
The Labor Compliance Program requires that Owners, Partners, Owner - Operators or Officers of
Corporations performing labor on prevailing wage projects must be paid no less than prevailing
wage rates. There are no exceptions unless they are in supervisory capacity.
The Labor Compliance Officer (LCO) checks that all payrolls are complete, accurate and received
each month before the Prime Contractor's pay application is processed and the check issued.
Every payroll is randomly checked for correct classifications, pay rate, overtime, apprentice ratios
and accurateness. If there are any items missing then the Prime Contractor is notified
immediately and a notice is sent requesting needed documents or outlining discrepancies and
requesting corrections within 10 days pursuant to CA Labor Code 1776(d).
All components of the Labor Compliance Program are highly confidential. Names and Social
Security Numbers of individuals on payrolls are not made available to anyone except the Division
of Labor Standards Enforcement, the Department of Industrial Relations or the Division of
Apprenticeship Standards, when requested.
END OF SECTION
10
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REVIEW OF CERTIFIED PAYROLL RECORDS
Submitting Payrolls
The contractor and each subcontractor shall maintain weekly certified payroll records pursuant to Labor Code
Section 1776, for submittal to the Labor Compliance Officer and the Department of Industrial Relations, if
requested. The contractor shall be responsible for the submittal of payroll records of all its subcontractors. All
certified payroll records shall be accompanied by a statement of compliance signed by the contractor or each
subcontractor indicating that the payroll records are correct and complete, that the wage rates contained
therein are not less than those determined by the Director of the Department of Industrial Relations, and that
the classifications set forth for each - employee conform with the work. performed. Each week of payroll must be
filled out completely and dated correctly.
Privacy Considerations pursuant to CCR 16403
(a) Records received from the employing contractor shall be kept on file in the office or entity that processed the
request for at least 6 months following completion and acceptance of the project. Thereafter, they may be
destroyed unless administrative, judicial or other pending litigation, including arbitration, mediation or other
methods of dispute resolution, are in process. Copies on file shall not be obliterated in the manner prescribed in
subdivision (b) below;
(b) copies provided to the public upon written request shall be marked, obliterated or provided in such a manner
that the name, address and Social Security number, and other private information pertaining to each employee
cannot be identified. All other information including identification of the contractor shall not be obliterated;
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(c) the public entity may affirm or deny that a person(s) was or is employed on a public works contract (by a
specific contractor) when asked, so long as the entity requires such information of an identifying nature which
will reasonably preclude release of private or confidential information.
Pursuant to CCR 16404, Use of Electronic Reporting forms
The certified payroll records required by Labor Code Section 1776 may be maintained and submitted
electronically subject to all of the following conditions:
(a) The reports must contain all of the information required by Labor Code Section 1776, with the
information organized in a manner that is similar or identical to how the information is reported on the
Department of Industrial Relations' suggested "Public Works Payroll Reporting Form" (Form A -1 -131);
(b) The reports shall be in a format and use software that is readily accessible and available to
contractors, awarding bodies, Labor Compliance Programs, and the Department of Industrial Relations;
(c) Reports submitted to an awarding body, a Labor Compliance Program, the Division of Labor Standards
Enforcement, or other entity within the Department of Industrial Relations must be either (1) in the form
of a non - modifiable image or record that bears an electronic signature or includes a copy of any original
certification made on paper, or alternatively (2) printed out and submitted on paper with an original
signature;
(d) The requirements for redacting certain information shall be followed when certified payroll records
are disclosed to the public pursuant to Labor Code Section 1776(e), whether the records are provided
electronically or as hard copies; and
(e) No contractor or subcontractor shall be mandated to submit or receive electronic reports when it
otherwise lacks the resources or capacity to do so, nor shall any contractor or subcontractor be required
to purchase or use proprietary software that is not generally available to the public.
Confirmation of Payroll Records pursuant to CCR 16432
The LCO may request copies of timecards, front and back copies of cancelled checks, daily logs,
employee sign -in sheets and /or any other record maintained for the purposes of reporting
payroll may be requested by the Labor Compliance Officer at any time and shall be provided
within 10 days following the receipt of the request.
Full Accountability: each individual, laborer or craftsperson working on a public works contract
must appear on the payroll. The basic concept is that the employer who pays the trade worker
must report that individual on its payroll. This includes individuals working as apprentices in an
apprenticeable trade. Owner - operators are to be reported by the contractor employing them,
rental equipment operators are to be reported by the rental company paying the workers'
wages.
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Sole owners and partners who work on a contract must also submit a certified payroll record
listing the days and hours worked, and the trade classification descriptive of the work actually
done.
The contractor shall provide the records required under this section to the LCO within ten (10)
days of each pay day, and available for inspection by the Department of Industrial Relations.
When the payrolls are received the LCO will log it on a spreadsheet, check rates, hours, dates,
classification, overtime, and original signatures. Pursuant to CCR 16432(b) the payroll submitted
by a contractor "shall be reviewed by the Labor Compliance Program as promptly as practicable
after receipt therof, but in no event more than 30 days after such receipt." If there are items
missing or incomplete or out of compliance, a Notice will be sent to the Prime Contractor who
then in turn will forward to their subcontractor. Compliance will be linked to each pay
application. The District will withhold an amount equal to the underpayment from the Prime
Contractor. The amount will be released when compliance is achieved. If compliance is not
achieved then further Notices will be sent to the contractor and the LCO will follow the outlined
enforcement procedures in Section 8 of this manual.
Responsibility for subcontractors
Payroll Forms
The Prime /General contractor shall be responsible for ensuring adherence to labor standard
provisions by its subcontractors. Moreover, the prime contractor is responsible for Labor Code
violations of its subcontractors in accordance with Labor Code 1775.
Payment to Employees
Employees must be paid unconditionally, and not less often than bi- weekly, the full amounts,
that are due and payable for the period covered by the particular payday. Thus, an employer
must establish a fixed work week (Sunday through Saturday, for example) and an established
payday, (such as every Friday or the preceding day should such payday fall on a holiday). On each
and every payday, each worker must be paid all sums due as of the end of the preceding
workweek and must be provided with an itemized wage statement.
Contractors and subcontractors must keep payroll records in accordance with Section 1776 et
seq. of the CA Labor Code
a. Name of Company, Full Address, Prime Contractor, Contract Number, CA State
Contractors License #, workers compensation policy #.
b. Payroll number, week beginning and ending dates, project location.
c. Full name, address, SS# of each worker.
d. Complete work classification and description, if necessary.
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e. Hours of straight time, overtime, and holiday time worked; daily totals alogn with
weekly totals.
f. Actual per diem, holiday and overtime wages paid to each journeyman, apprentice,
or any other worker that was on the site.
g. Total Hourly rate of pay.
h. Gross Amount.
i. Benefits.
j. Amount paid to the apprenticeship training program for the workers trade (if
applicable).
k. Deductions.
I. Net amount and check #.
Certification Form Statement of Compliance
This form is usually found printed on the back of the single page payroll form. If not, the
Contractor attaches a Statement of Compliance form to the payroll, with the certification signed
and completely filled out. The box is checked indicating where the fringes are paid. The dates of
the certification sheet must match the dates on the payroll. The person with authority to
represent the company in a legal matter must sign the certification.
A certification is a legal document. The person having authority to verify its correctness and
accuracy signs this document. (i.e. the owner, controller or a person with authority to sign legal
documents.
To simplify referencing, all payrolls are numbered. This allows payrolls to be logged and aids in
determining which payrolls have been received or are missing. If the LCO is missing one, this
process enables them to request the payroll by number, so as to reduce the number of
duplicated copies sent back and forth.
In addition to numbering the payrolls, the Contractor is instructed to write or stamp the word
"FINAL" on the last payroll submitted for the project. This tells the LCO that the contractor will
not be submitting additional payrolls for the project.
Non — Performance /Negative Payroll Reporting Form
This form shall be submitted in lieu of actual payrolls when the contractor or subcontractor is on
and does not perform labor for the payroll week. Do not submit a Negative payroll until you have
submitted an active payroll and started work on the project.
Fringe Benefit Statement
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This form is required to be submitted at the time of the contract signing or at the latest with the
first submitted payroll. Benefits to workers must be paid to them, either to acceptable funds or in
in their paychecks, and added to the basic hourly wage paid. The total amount of the hourly wage
including benefits and training fees must meet or exceed the prevailing wage for that
classification of worker.
Employer and Employee Definitions
Owners, Owner Operators, Corporate Officers and Partners
Owners, owner - operators, corporate officers and partners, on prevailing wage projects, will
be at no less than the prevailing wage rates for their classification, if they perform work on
the job site.
Owners or employees who are on the job site in a supervisory capacity, not performing labor,
are required to report their hours on the payroll sheet and shall be marked as "supervisory ".
Salaried Employees
A person on the job as a salaried employee, in a management capacity only (no physical labor
with tools or a machine) is exempt from prevailing wage rates, but must report his hours on
the project.
Worker
A person, who performs labor on the site, pursuant to CA Labor Code 1723, is classified as a
worker and should be paid in accordance with the published wage rates.
Falsification and Failure to Comply
Falsification of Payroll records Misclassification of work and or Failure to Accurately Report
Hours of Work.
Falsification of payroll records and failure to accurately report hours of work is characterized
as deliberate underreporting of hours of work; underreporting the headcount; stating that
the proper prevailing wage rate was paid when, in fact it was not; clearly misclassifying the
work performed by the worker; and any other deliberate and /or willful act which results in
the falsification or inaccurate reporting of payroll records. Such violations are deemed to be
willful violations committed with the intent to defraud.
Failure to make Employer Payments
Employer payments are defined as the amounts stipulated for fringe benefits or trust fund
contributions and are determined to be part of the required prevailing wage rate. Failure to make
employer payments or provide fringe benefits and /or make trust fund contributions in a timely
manner is equivalent to payment of less than the stipulated wage rate and shall be reported to
the Labor Commissioner, upon completion of an investigation and audit.
15
Kickbacks
The penalty for anyone who is found guilty of accepting fees, bribes, or any other form of
Compensation or kick - backs, from a worker on a prevailing wage project, will be charged with a
felony. Any person or company that attempts to charge a fee for registration or information
about public works employment is guilty of a misdemeanor, pursuant to CA Labor Code 1778 and
1779.
END OF SECTION
SECTION 3
AUDIT OF CERTIFIED PAYROLL RECORDS
Audits shall be conducted by the LCO, and shall be conducted at the request of the Labor
Commissioner to determine whether all tradesworkers on project sites have been paid according to
the prevailing wage rates.
An audit record is sufficiently detailed to "verify compliance with the requirements of Chapter 1 ",
Public Works, of Part 7 of Division 2, when the audit record displays that the following procedures
were accomplished:
Audits of the obligation to secure workers' compensation means demanding written evidence of a
binder issued by the carrier, or telephone or written inquiry to the Workers' Compensation Insurance
Rating Bureau;
Audits of the obligations to employ and train apprentices means inquiry to the program sponsor for
the apprenticeable craft or trade in the area of the public works as to: Whether contract award
information was received, including an estimate of journey-person hours to be performed and the
number of apprentices to be employed; whether apprentices have to be requested, and whether the
request has been met; whether the program sponsor know of any amounts sent by the contractor or
subcontractor to it for the training trust, or the CA Apprenticeship Council; and whether persons
listed on the certified payroll in the craft or trade as being less than the journeyperson rate are
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apprentices registered with that program and working under apprentice agreements approved by the
Division of Apprenticeship Standards;
Audits of the obligation to pass through amounts made part of the bid for apprenticeship training
contribution, to either the training trust or the CA Apprenticeship Council, means asking for copies of
checks sent, or when the audit occurs more than 30 days after the month in which the payroll has
been paid, copies of cancelled checks;
Audit of "illegal taking of wages" means inspection of written authorization for Deductions (listed in
Labor Code Section 224) in the contractor or subcontractor's Files and comparison to wage deduction
statements furnished employees (Labor Code Section 226), together with an interview of several
employees as to any payments not shown on the wage deduction statement;
Audits of the obligation to keep records of working hours, and pay not less than required by Title 8
CCR Section 16200(a)(3)(F) for hours worked in excess of 8 hours are the steps for review and audit of
Certified Payrolls under Title 8 CCR Section 16432;
Audits of the obligation to pay the prevailing per diem wage, means such steps for Review and Audit
of certified weekly payrolls which will produce a report covering compliance in the areas of;
All elements defined as the "General Prevailing Rate of Per Diem Wages" in Title 8 CCR Section
16000, which were determined to be prevailing in the Director's determination which was in
effect on the date of the call for bids, available in its principal office and posted on the jobsite;
All elements defined as "Employer Payments" set forth in CCR, Section 16000 of these
regulations, which were determined to be prevailing in the Director's determination which was in
effect on the date of the call for bids, and pursuant to CA Labor Code Section 1773.2 was to be
specified in the call for bids, made available in its principal office and posted on the jobsite.
END OF SECTION
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SECTION 4
PUBLIC REQUESTS FOR CERTIFIED PAYROLL RECORDS
Requests for Payroll Records
Pursuant to Section 16400 of the CA Code of Regulations, requests may be made from any person for
Certified copies of payroll records to any of the following entities:
a) The Awarding Body
b) Any office of the Department of Labor Standards Enforcement, or of the Division of
Apprenticeship Standards.
Requests for payroll must be made in writing and contain the following information:
1. The name of the Awarding Body
2. The contract number and or description
3. The job location
4. The name of the contractor
5. The regular business address of the contractor
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4.1
Note: Requests for records of more than one contractor or subcontractor must list the information regarding that contractor
individually, even if all requests pertain to the same particular public works project. Blanket requests covering an entire public
works project will not be accepted; unless the contractor and subcontractor responsibilities regarding the project are not clearly
defined.
Acknowledgement of Request
The public entity receiving a request for payroll records must respond to the request for payroll records
and indicate an estimated cost of providing payroll(s).
Request to Contractor
Cost
The request for copies of payroll records by the District can be in any form that will provide evidence of
Receipt thereof, and shall include the following:
1. Specify the records to be provided and the form upon which the information is to be
provided.
2. Conspicuous notice of the following:
a) That the person certifying the copies of the payroll records is, if not the contractor,
considered as an agent acting on behalf of the contractor.
And
b) Failure to provide certified copies of the records to the requesting public entity within 10
working days of the receipt of the request will subject the contractor to a penalty of One
Hundred Dollars ($100.00) per calendar day or portion thereof for each worker until
strict compliance is achieved.
3. Cost of preparation per Section 16402 (see "cost" below).
4. Notice of the right of the District to inspect the original payroll records at the contractor's
office upon reasonable written or oral notice.
The cost of preparation to each contractor, subcontractor or District, when the request was made shall
be provided in advance to the person seeking the payroll record. These costs are as follows: pursuant to
CCR 16402
1. One dollar($1.00) for the first page of the payroll records;
2. .25 cents for each page thereafter;
3. Ten dollars ($10.00) for handling costs.
Payment shall be made in the form of cash, certified check or money order and shall be made payable
prior to the release of the documents.
Privacy Considerations
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Pursuant to CCR 16403, Privacy Considerations
(a) Records received from the employing contractor shall be kept on file in the office or entity that processed the
request for at least 6 months following completion and acceptance of the project. Thereafter, they may be
destroyed unless administrative, judicial or other pending litigation, including arbitration, mediation or other
methods of dispute resolution, are in process. Copies on file shall not be obliterated in the manner prescribed in
subdivision (b) below;
(b) copies provided to the public upon written request shall be marked, obliterated or provided in such a manner
that the name, address and Social Security number, and other private information pertaining to each employee
cannot be identified. All other information including identification of the contractor shall not be obliterated;
(c) the public entity may affirm or deny that a person(s) was or is employed on a public works contract (by a
specific contractor) when asked, so long as the entity requires such information of an identifying nature which
will reasonably preclude release of private or confidential information.
END OF SECTION
40tillMki11 7
APPRENTICESHIP
As specified by the apprenticeship laws, Section 1777.5 and 1777.6 of the CA Labor Code, each contractor and
subcontractor is required to:
1. Notify the local apprenticeship committee of the award of a contract by submitting a copy of the
Public Works Contract Award Form (DAS 140), for each trade employed;
2. Request the Dispatch of Apprentices by submitting a DAS 142 72 hours prior to starting work, for
each craft the contractor will employ. A copy of the request needs to be sent to the Prime Contractor
and a copy of proof of submittal, either fax confirmation or certified mail receipt. A Union Contractor
will send this to their Union, if the contractor is a non Union contractor this is sent to the training
committee they are approved to train through, if the contractor is not approved to train then they
must send the request for apprentices to the state approved committee for the jurisdiction of the
project. If the first committee cannot provide an apprentice then they have to send the DAS 142 to a
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second state approved committee found on the DAS website, if they cannot dispatch an apprentice
then they will have to request from another committee and so on. Each contractor has to keep a
copy of correspondence and proof of the requests.
3. Pay every apprentice the prevailing rate of per diem wages for apprentices in the trade to which the
worker is registered.
4. Pay only apprentices who are in training under an apprentice program that has been approved by the
Chief of the Division of Apprenticeship Standards (DAS) and are parties to written apprenticeship
agreements.
5. Ensure the ratio of apprentices to Journeymen employed in a particular craft is no higher than the
ratio stipulated in the standards under which the apprenticeship program operates, in no case shall
the ratio be less than one (1) hour of apprenticeship work for every five (5) hours of Journeyman
work. Where an hourly apprenticeship ratio is not feasible the Chief of the DAS may order a
minimum ratio of not less than (1) apprentice for each five (5) Journeyman in a trade. Any work
performed by a Journeyman in excess of 8 hours per day or 40 hours per week, shall not be used to
calculate the hourly ratio required by this section.
6. It is unlawful for an employer or a labor union to refuse to accept otherwise qualified employees as
registered apprentices on any public works, on the grounds of race, religious creed, color, or national
origin, ancestry, sex or age.
7. Pay non - registered apprentices Journeyman's rates for the particular trade or craft.
8. Pay to either an approved Apprenticeship Committee or the CA Apprenticeship Council the
apprenticeship training fees listed on the wage rate determination for each hour of work for all
Journeymen and apprentices of that craft on the project.
Pursuant to Section 1777.5 of the CA Labor Code, this section shall not apply to contracts of General Contractors
or contracts of specialty contractors not bidding for the work through .a General or Prime Contractor, where the
contracts of the General Contractors or those specialty Contractors involve less than thirty thousand dollars
($30,000). Pursuant to section 1777.7(a)(1) "A Contractor or Subcontractor that is determined by the Chief of the
DAS to have knowingly violated section 1777.5 shall forfeit as a civil penalty an amount not exceeding one
hundred ($100) for each full calendar day of non - compliance...."
Pursuant to CCR 16434(D) Failure to pay the correct apprentice rate or classifying a worker as an apprentice
when not properly registered is equivalent to payment of less than the stipulated wage rate and shall be reported
to the Labor Commissioner, upon completion of an investigation and audit.
Every employer on a publicly funded project must pay the state training fee, according to their trade, or trades, (if
there is more than one involved). it must be withheld from the worker's pay and paid to the state approved
apprenticeship program. It can be paid to a fund, the CA Apprenticeship Council, or to another state approved
apprenticeship program. Should the administrator(s) of each fund send a letter refusing the funds, then and only
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then, the money must be paid to the worker, included in his paycheck, with his other benefits. This must be
stated on the fringe benefit statement and must be accompanied by the letter(s) of refusal. There are NO OTHER
EXCEPTIONS. Section 1777.5 through 1777.6 of the CA Labor Code contain these rules.
END OF SECTION
SECTION 6
PREVAILING WAGE DETERMINATIONS
The Department of Industrial Relations issues wage determinations twice a year, in February and August. At that
time changes are made to wage rates, fringe benefit rates and /or training fees for the trades and classifications
that contractor's use on public works projects. Effective dates of determination are outlined in CCR 16204.
Asterisked Classifications
a. Single asterisked ( *) classifications: these are work pay rates that will not increase for the life of the
project. The rate is set by the determination that is in effect for each trade at the time of the first bid
advertisement.
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b. Double asterisked ( ") classifications: these work classifications have increases posted with the
determination so the contractors can calculate the increases for the life of the project.
The State publishes the wages on the website of the Department of Labor Statistics and Research (DLSR) and can
also be obtained in writing or calling the DLSR. The basis for Determining the Prevailing Wage Rate is outlined in
CCR 16200, and the Director shall follow those procedures specified in Section 1773 and 1777.5 of the Labor
Code.
Pursuant to Labor Code 1773.4 "Any prospective bidder or his representative, any representative of any craft,
classification or type of workman involved, or the awarding body may, within 20 days after commencement of
advertising in the call for bids by the Awarding Body, file with the Director of Industrial Relations a verified
petition to review the determination of any such rate upon the ground that they have not been determined in
accordance with the provision of Section 1773 of this code."
Projects subject to Prevailing Wage Law Pursuant to CCR 16001
(a) General Coverage. State prevailing wage rates apply to all public works contracts as set forth in Labor Code
Sections 1720, 1720.2, 1720.3, 1720.4, and 1771.
(1) Any interested party enumerated in Section 16000 of these regulations may file with the Director of Industrial
Relations or the Director's duly authorized representative, as set forth in Section 16301 of these regulations, a
request to determine coverage under the prevailing wage laws regarding either a specific project or type of work
to be performed which that interested party believes may be subject to or excluded from coverage as public
works under the Labor Code. If such a request is filed by any party other than the awarding body, a copy of the
request must be served upon the awarding body, in accordance with the filing procedures set forth in Section
16302(d) of these regulations, when it is filed with the Director.
(2) Within 15 days of receipt of a copy of the request for a coverage determination, the awarding body shall
forward to the Director or his /her duly authorized representative as provided for in Section 16301 of these
regulations, any documents, arguments, or authorities it wishes to have considered in the coverage
determination process.
(3) All parties to the coverage determination request shall have a continuing duty to provide the Director or
his /her duly authorized representative as provided for in Section 16301 of these regulations, with relevant
documents in their possession or control, until a determination is made. Where any party or parties' agent has a
document in their possession, but refuses to release a copy, the Department shall consider that the documents, if
released, would contain information adverse to the withholding party's position and may close the record and
render a decision on the basis of that inference and the information received.
(b) Federally Funded or Assisted Projects. The application of state prevailing wage rates when higher is required
whenever federally funded or assisted projects are controlled or carried out by California awarding bodies of any
sort.
(c) Field Surveying Projects. Field survey work traditionally covered by collective bargaining agreements is subject
to prevailing wage rates when'it is integral to the specific public works project in the design, preconstruction, or
construction phase.
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(d) Residential Projects. Residential projects consisting of single family homes and apartments up to and including
four stories are subject to payment of prevailing wages when paid for in whole or in part out of public funds,
including federally- funded or assisted residential projects controlled or carried out by an awarding body.
Note: Such projects may require a special determination by the Director which should be requested by the
awarding body at least 45 days before the commencement of advertising of the call for bids by the awarding
body.
(f) Maintenance. Public works contracts for maintenance are subject to prevailing wage rate payment as set
forth in Section 1771 of the Labor Code.
Appeal of Public Works Coverage Determination Pursuant to CCR 16002.5
(a) Those interested parties enumerated in Section 16000 of these regulations may appeal to the Director of
Industrial Relations or the Director's duly authorized representative as set forth in Section 16301 of these
regulations a determination of coverage under the public works laws (Labor Code Section 1720 et seq.) regarding
either a specific project or type of work under Section 16001(a) of these regulations. Such notice of appeal must
be served within 30 days of the issuance of the coverage determination. The party appealing the determination
must, in accordance with the filing procedures set forth in Section 16302(d) of these regulations, give written
notification to the awarding body and any other identifiable parties.
(b) The notice of appeal.shall state the full factual and legal grounds upon which the determination is appealed,
and whether a hearing is desired. The decision to hold a hearing is within the Director's sole discretion. The
Director may appoint a hearing officer to conduct the hearing and propose a decision on the appeal. The Director
shall make the final decision on the appeal.
(c) The authority of the Director to determine coverage of projects under the prevailing wage laws is quasi -
legislative, and a final determination on any appeal is subject to judicial review pursuant to the Code of Civil
Procedure, Section 1085.
Special Determinations pursuant to CCR 16202
(a) Awarding body request. The awarding body shall request the Director to make a determination for a particular
craft, classification or type of worker not covered by a general determination. Any such request shall be
submitted at least 45 days prior to the bid advertisement date.
(b) Department of Industrial Relations initiated determination. Where an awarding body does not specify the
prevailing wage rate as set forth in Labor Code Section 1773.2, any interested party (as defined in Section 16000
of these regulations) may petition the Director as set forth in Labor Code Section 1773.4 and Section 16302 of
these regulations. The Labor Commissioner may, prior to the letting of the bid, request such a determination of
the Director.
Procedures for Obtaining Prevailing Wage Determination are outlined in CCR 16205.
Petition to Review Prevailing Wage Determinations is outlined in CCR 16302.
Hearings Procedure, including a petition to review under CA Labor Code 1773.4, shall be followed pursuant to
CCR 16304.
END OF SECTION.
SECTION 7
LIST OF GENERAL PREVAILING RATE EMPLOYER PAYMENTS & EXCLUSIONS
This section includes wording from CA Labor law pertaining to the following:
Title 8- Employer Payments
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1. The rate of contribution irrevocably made by a contractor or subcontractor a trustee or a third
person pursuant to a fund, plan or program for the benefit of employees, their families and
dependents or retirees."
2. "The rate of costs to the contractor or subcontractor which may be reasonably anticipated in
providing benefits to employees."
3. "The rate of contribution irrevocably made by the contractor or subcontractor for apprenticeship or
other training programs...."
General Prevailing Rate of Per Diem Wage Includes:
1. "...straight -time hourly rate of pay and"
2. "..:rate for holiday and overtime work; and"
3. "...employer payments for any or all programs or benefits for employees...."
a. "medical and hospital care, prescription drugs, dental care, vision care, diagnostic services,
and other health and welfare benefits."
b. "retirement plan benefits"
c. "vacations and holidays with pay, or cash payments in lieu of thereof'
d. "compensation for injuries or illnesses resulting from occupational activity
e. "life, accidental death and dismemberment and disability or sickness and accident
insurance."
f. "supplemental unemployment benefits"
g. "thrift, security savings, supplement trust, and beneficial trust funds otherwise designated...."
h. "occupational health and safety research, safety training...
Exclusions
The term "general prevailing rate of per diem wage" does not include any employer payments for:
1. "job related expenses other than travel time and subsistence pay"
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2. "contract administration, operation of hiring halls, grievance processing, or similar purposes,
except for those amounts specifically earmarked and actually used for administration of
those type of employee or retiree benefit plans enumerated.
3. "Union, organizational, professional or other dues except as they may be included in and
withheld from the basic taxable hourly wage rate."
4. "Industry or trade promotion"
5. "Political contributions or activities"
6. Any benefit to employees, their families and dependents, or retirees including any benefit
enumerated above where the contractor or subcontractor is required by Federal, State or
local law to provide such benefit.
END OF SECTION
SECTION 8
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INVESTIGATIVE PROCEDURES, ENFORCEMENT, PENALTIES, FORFEITURES AND
WITHHOLDINGS
Payroll records shall be furnished by contractors and subcontractors in accordance with section
16421(a)(3) and in a format prescribed at section 16401 of Title 8 of the California Code of
Regulations, the records shall be reviewed by the Labor Compliance Program as promptly as
practicable after receipt thereof, but in no event more than 30 days after such receipt. "Review"
for this purpose shall be defined as inspection of the records furnished to determine if (1) all
appropriate data elements identified in Labor Code Section 1776(a) have been reported; (2)
certification forms have been completed and signed in compliance with Labor Code Section
1776(b); and (3) the correct prevailing wage rates have been reported as paid for each
classification of labor listed thereon, with confirmation of payment in the manner and to.the
extent described in subpart (c) below.
(c) "Confirmation" of payroll records furnished by contractors and subcontractors shall be
defined as an independent corroboration of reported prevailing wage payments. Confirmation
may be accomplished through worker interviews, examination of paychecks or paycheck stubs,
direct confirmation of payments from third party recipients of "Employer Payments" (as defined
at section 16000 of Title 8 of the California Code of Regulations), or any other reasonable method
of corroboration. For each month in which a contractor or subcontractor reports having.workers
employed on the public work, confirmation of furnished payroll records shall be undertaken
randomly for at least one worker for at least one weekly period within that month. Confirmation
shall also be undertaken whenever complaints from workers or other interested persons or other
circumstances or information reasonably suggest to the Labor Compliance Program that payroll
records furnished by a contractor or subcontractor are inaccurate.
(d) Representatives of the Labor. Compliance Program shall conduct in- person inspections at the
site or sites at which the contract for public work is being performed ( "On -Site Visits "). On -Site
Visits may be undertaken randomly or as deemed necessary by the Labor Compliance Program,
but shall be undertaken during each week that workers are present at sites at which the contract
for public work is being performed. All On -Site Visits shall include visual inspection of (1) the copy
of the determination(s) of the Director of Industrial Relations of the prevailing wage rate of per
diem wages required to be posted at each job site in compliance with Labor Code Section 1773.2,
and (2) the Notice of Labor Compliance Program Approval required to be posted at the job site in
accordance with section 16429 above, listing a telephone number to call for inquiries, questions,
or assistance with regard to the Labor Compliance Program. On -Site Visits may include other
activities deemed necessary by the Labor Compliance Program to independently corroborate
prevailing wage payments reported on payroll records furnished by contractors and
subcontractors.
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(e) An Audit, as defined herein, shall be prepared by the Labor Compliance Program whenever
the Labor Compliance Program has determined that there has been a violation of the Public
Works Chapter of the Labor Code resulting in the underpayment of wages. An "Audit" for this
purpose shall be defined as a written summary reflecting prevailing wage deficiencies for each
underpaid worker, and including any penalties to be assessed under Labor Code Sections 1775
and 1813, as determined by the Labor Compliance Program after consideration of the best
information available as to actual hours worked, amounts paid, and classifications of workers
employed in connection with the public work. Such available information may include, but is not
limited to, worker interviews, complaints from workers or other interested persons, all time
cards, cancelled checks, cash receipts, trust fund forms, books, documents, schedules, forms,
reports, receipts or other evidences which reflect job assignments, work schedules by days and
hours, and the disbursement by way of cash, check, or in whatever form or manner, of funds to a
person(s) by job classification and /or skill pursuant to a public works project. An Audit is
sufficiently detailed when it enables the Labor Commissioner, if requested to determine the
amount of forfeiture under section 16437, to draw reasonable conclusions as to compliance with
the requirements of the Public Works Chapter of the Labor Code, and to enable accurate
computation of underpayments of wages to workers and of applicable penalties and forfeitures.
An Audit using the forms in Appendix B, when accompanied by a brief narrative identifying the
Bid Advertisement Date of the contract for public work and summarizing the nature of the
violation and the basis upon which the determination of underpayment was made,
presumptively demonstrates sufficiency. Records supporting an Audit shall be maintained by the
Labor Compliance Program to satisfy its burden of coming forward with evidence in
administrative review proceedings under Labor Code Section 1742 and the Prevailing Wage
Hearing Regulations found at sections 17201 -17270 of Title 8 of the California Code of
Regulations.
(f) After the Labor Compliance Program has determined that violations of the prevailing wage
laws have resulted in the underpayment of wages and an audit has been prepared, notification
shall be provided to the contractor and affected subcontractor of an opportunity to resolve the
wage deficiency prior to a determination of the amount of forfeiture by the Labor Commissioner
pursuant to these regulations. The contractor and affected subcontractor shall be provided at
least 10 days following such notification to submit exculpatory information consistent with the
"good faith mistake" factors set forth in Labor Code Section 1775(a)(2)(A)(i) and (ii). If, based
upon the contractor's submission, the Labor Compliance Program reasonably concludes that the
failure to pay the correct wages was a good faith mistake, and has no knowledge that the
contractor and affected subcontractor have a prior record of failing to meet their prevailing wage
obligations, the Labor Compliance Program shall not be required to request the Labor
Commissioner for a determination of the amount of penalties to be assessed under Labor Code
Section 1775 if the underpayment of wages to workers is promptly corrected and proof of such
payment is submitted to the Labor Compliance Program. For each instance in which a wage
deficiency is resolved in accordance with this regulation, the Labor Compliance Program-shall
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maintain a written record of the failure of the contractor or subcontractor to meet its prevailing
wage obligation. The record shall identify the public works project, the contractor or affected
subcontractor involved, and the gross amount of wages paid to workers to resolve the prevailing
wage deficiency; and the record shall also include a copy of the Audit prepared pursuant to
subpart (e) above along with any exculpatory information submitted to the Labor Compliance
Program by the affected contractor or subcontractor.
Enforcement
The LCO has a duty to the Director of the Department of Industrial Relations to enforce the
Labor Code public works requirements (Chapter 1 of part 7 of Division 2 and Division 3 of the
Labor Code) and the procedural regulations of the Department of Industrial Relations in a
manner consistent with the practice of Title 8, CA Code of Regulations, Section 16000, etseq.
The contractor and subcontractor, if applicable, shall be notified by the LCO of non - compliance
issues and a Notice shall be sent outlining the deficiencies and items to be corrected or
restitution due to workers.
Withholding Contract Payments When Payroll Records are Delinquent or Inadequate
1. "Withhold" means to cease payments by the awarding body, its agents or others who pay on behalf
of the contractor. Where the violation is by a subcontractor, the contractor shall be notified of the
nature of the violation and reference made to its rights under Labor Code 1729.
2. "Contracts" except as otherwise provided by agreement, means only contracts under a single master
contract, or contracts entered into as stages of a single project which may be the subject of
withholding, pursuant to Labor Code Sections 1720, 1720.2, 1720.3, 1720.4, 1771 and 1771.5.
3. "Delinquent payroll records" means those not submitted on the basis set for in the District Contract
with the contractor outlined in the Labor Compliance Program.
4. "Inadequate payroll records" are any one of the following:
a. A record lacking information required by Labor Code Section 1776;
b. A record which contains the required information but which is not certified , or certified by
someone that is not an agent of the contractor or subcontractor;
c. A record remaining uncorrected for one payroll period, after the LCO has given the
contractor notice of inaccuracies detected by audit or record review; provided, however, that
prompt correction will stop any duty to withhold if such inaccuracies do not amount to 1
percent of the entire certified weekly payroll on dollar value and do not affect more than half
the persons listed as workers employed on that certified weekly payroll, as defined in Labor
Code Section 1776 and Title 8 CCR Section 16401. Prompt correction will stop any duty to
withhold if such inaccuracies are de minimus.
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(e) The withholding of contract payments when payroll records are delinquent or inadequate is required by Labor
Code Section 1771.5(b)(5), and it does not require the prior approval of the Labor Commissioner. The Awarding
Body shall only withhold those payments due or estimated to be due to the contractor or subcontractor whose
payroll records are delinquent or inadequate, plus any additional amount that the Labor Compliance Program has
reasonable cause to believe may be needed to cover a back wage and penalty assessment against the contractor
or subcontractor whose payroll records are delinquent or inadequate; provided that a contractor shall be
required in turn to cease all payments to a subcontractor whose payroll records are delinquent or inadequate
until the Labor Compliance Program provides notice that the subcontractor has cured the delinquency or
deficiency.
(f) When contract payments are withheld under this section, the Labor Compliance Program shall provide the
contractor and subcontractor, if applicable, with immediate written notice that includes all of the following: (1) a
statement that payments are being withheld due to delinquent or inadequate payroll records, and that identifies
what records are missing or states why records that have been submitted are deemed inadequate; (2) specifies
the amount being withheld; and (3) informs the contractor or subcontractor of the right to request an expedited
hearing to review the withholding of contract payments under Labor Code Section 1742, limited to the issue of
whether the records are delinquent or inadequate or the Labor Compliance Program has exceeded its authority
under this section.
(g) No contract payments shall be withheld solely.on the basis of delinquent or inadequate payroll records after
the required records have been produced.
(h) In addition to withholding contract payments based on delinquent or inadequate payroll records, penalties
shall be assessed under Labor Code Section 1776(g) for failure to timely comply with a written request for
certified payroll records. The assessment of penalties under Labor Code Section 1776(8) does require the prior
approval of the Labor Commissioner under section 16436 of these regulations.
Withholding for Violation for Not paying the Per Diem Prevailing wages
1. "Amount equal to the underpayment" is total of the following determined by payroll review, audit, or
admission of the contractor or subcontractor:
a. The difference between the amounts paid to workers and the correct General Prevailing
Wage Rate of Per Diem Wages as defined in Title 8, CCR Section 16000 et seq.
b. The difference between the amounts paid to workers and the'correct amounts of employer
payments, as defined in Title 8 CCR Section 16000 and determined to be part of the
prevailing wage rate costs of contractors due for employment of workers in such craft,
classification, or trade in which they were employed and the amounts paid;
c. Estimated amounts of "illegal" taking of wages; and
d. Amounts of apprenticeship training fund contributions paid to neither the program sponsor's
training trust nor the CA Apprenticeship Council.
2. Provisions relating to the penalties under Labor Code 1775 and 1813:
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a. Pursuant to CA Labor Code 1775 the contractor shall, as a penalty to the District, forfeit up to
two hundred dollars ($200) for each calendar day, or portion thereof, for each worker paid
less than the prevailing wages.
b: Pursuant to CA Labor Code 1813, the contractor shall, as a penalty to the District, on whose
behalf the contract is awarded, forfeit twenty -five dollars ($25) for each worker employed in
the execution of the contract by the contractor of by any subcontractor for each calendar day
during which such worker is required or permitted to work more than 8 hours in any one
calendar day and 40 hours in any one calendar week.
Forfeitures Requiring Approval by the Labor Commissioner
1. "Forfeitures" are the amounts of unpaid penalties and wages assessed by the District for violations of
the prevailing wage laws, whether collected by withholding from the contract amount, by suit under
the contract, or both. Pursuant to CCR 16436 "if the aggregate amount of the forfeitures assessed as
to a contractor or subcontractor is less than $1,000.00, the forfeiture shall be deemed approved by
the Labor Commissioner upon service and the Labor Commissioner's receipt of copies of the
following: (1) the Notice of Contract Withholding authorized by Labor Code Section 1771.6(a); (2) an
Audit as defined in section 16432(e) of these regulations, and (3) a brief narrative identifying the Bid
Advertisement Date of the contract for public work and summarizing the nature of the violation, the
basis of the underpayment, and the factors considered in determining the assessment of penalties, if
any, under Labor Code 1775.
Pursuant to CCR 16436(c) "For all other forfeitures, approval by the Labor Commissioner shall be
requested and obtained in accordance with section 16437.
2. "Failing to pay the correct rate of prevailing wages" means those public works violations which the
Labor Commissioner has exclusive authority to approve before they are recoverable by the Labor
Compliance Program, and which are appealable by the contractor before the Director of the
Department of Industrial Relations under Labor Code sections 1742 and 1742.1 pursuant to the CCR
Title 8, Subchapter 8 ( §17201 through 17270). Regardless of what is defined as "prevailing wages" in
contract terms, noncompliance with the following are considered failures to pay the prevailing
wages:
a. Nonpayment of items defined as "Employer Payments: and General Prevailing "Rate of Per
Diem Wages" in Labor Code Section 1771.
b. Failure to provide complete and accurate payroll records, as required by Labor Code Section
1776;
c. Paying apprentice wages lower than the journey level rate to a worker who is not an
apprentice as defined in Labor Code Section 3077, working under.an apprentice agreement in
a recognized program;
d. Accepting or extracting kickbacks, in violation of Labor Code Section 1778;
e. Engaging in prohibited actions related to fees for registration as a public works employee.
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f. Failure to pay overtime for work over 8 hours in any one day or 40 hours in one week, in
violation of Labor Code sections 1813 and 1815.
Determination of Amount of Forfeiture by the Labor Commissioner
1. Pursuant to CCR 16437 where the LCO requests a determination of the amount of forfeiture, the
request shall include a file or report to the Labor Commissioner which contains at least the following
information:
a. The date that the public work was accepted, and the date the notice of completion was filed;
b. Any other deadline which, if missed, would impede collection;
c. Evidence of violation in narrative form;
d. Evidence that an "audit" or "investigation occurred in compliance with Title 8 CCR section
16432(e) "An audit, as defined herein, shall be prepared by the Labor Compliance Program
whenever the Labor Compliance Program has determined that there has been a violation of
the Public Works Chapter of the Labor Code resulting in the underpayment of wages;
e. Evidence that the contractor was given the opportunity to explain why it believes there was
no violation; or that any violation was caused by mistake, inadvertence, or neglect before the
forfeiture was sent to the Labor Commissioner, and the contractor either did not do so or
failed to convince the Labor Compliance Program of its position;
f. Where Labor Compliance Program seeks not only amounts of wages but also a penalty as
part of the forfeiture, and the contractor has unsuccessfully contended that the cause of
violation was a mistake, inadvertence, or neglect, a statement should accompany the
proposal for a forfeiture with a recommended penalty amount, pursuant to Labor Code
Section 1775(a);
g. Where the Labor Compliance Program seeks only wages or a penalty less than $200.00 per
day as part of the forfeiture, and the contractor has successfully contended that the cause of
violation was a mistake, inadvertence, or neglect, then the file should include evidence as to
the contractor's knowledge of its obligation, including the Programs communication to the
contractor of the obligation in the bid invitations, at a pre -job conference agenda and
records, and any other notice given as part of the contracting process. Included with the file
should be a statement similar to that described in subsection (f) above and recommended
penalty amounts, pursuant to Labor Code Section 1775(a);
h. The previous record of the contractor and subcontractor in meeting their prevailing wage
obligations; and
i. Whether the Labor Compliance Program has been granted approval on only an interim or
temporary basis under sections 16425 or 16426, or whether it has been granted extended
approval under section 16427.
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2. The file or report shall be served on the Labor Commissioner not less than 30 days before the final
payment or, if that deadline has passed, not less than 180 days following the filing of the notice of
completion as long as funds remain in the contract
3. A copy of the file or report shall be served on the contractor at the same time it is sent to the Labor
Commissioner.
The Labor Compliance Program may exclude from the documents served on the
contractor /subcontractor copies of documents secured from these parties during an audit, investigation,
or meeting if those documents are clearly referenced in the file or report.
4. The Labor Commissioner shall affirm, reject, or modify the forfeiture in whole or in part as to wages
and penalties due.
5. The Labor Commissioner's determination of the forfeiture is effective on one the following date for
the Labor Compliance Program having approval pursuant to Section 16426 of the CCR's: on the date
the Labor Commissioner serves by first class mail on the Labor Compliance Program and on the
contractor, an endorsed copy of the proposed forfeiture approved. Service on the contractor is
effective if made on the last address supplied by the contractor in the record.
Deposits of Penalties and Forfeitures Withheld
1. Pursuant to CCR 16438 where the involvement of the Labor Commissioner has been limited
to a determination of the actual amount of penalty, forfeiture, or underpayment of wages,
and the matter has been resolved without litigation by or against the Labor Commissioner,
the Awarding Body shall deposit penalties and forfeitures into its General Fund.
2. Where collection of fines, penalties or forfeitures results from administrative proceedings or
court action to which the Labor Commissioner and Awarding Body's Labor Compliance
Program are both parties, the fines, penalties or forfeitures shall be divided between the General
Funds of the State and the Awarding Body as the courts may decide.
3. All amounts recovered by suit brought by the Labor Commissioner, and to which the Awarding Body
is not a party, shall be deposited in the general fund of the state.
4. All wages and benefits which belong to an employee and are withheld or collected from a contractor
or subcontractor, either by withholding or as a result of administrative proceedings or any court
action, and which have not been paid to the employee or irrevocably committed on the employee's
behalf to a benefit fund, shall be deposited with the Labor Commissioner, who shall handle such
wages and benefits in accordance with Labor Code Section 96.7
Debarment Policy
It is the policy of the Labor Compliance Program that the public works prevailing wages
Requirements set forth in CA Labor Code Section 1720 -1861 are strictly enforced. In furtherance
34
thereof, construction contractors and subcontractors found to be repeat violators of the CA
Labor Code shall be referred to the Labor Commissioner for debarment from bidding on or
Otherwise being awarded any public work contract, within the state of CA, for the performance
of construction and /or maintenance services for the period no to exceed three (3) years in
duration. The duration of the debarment period shall depend upon the nature and severity of
labor cod violations and any mitigating or aggravating factors, which may be presented at the
hearing conducted by the Labor Commissioner for such purpose.
Notice of Withholding and review thereof
Notice of Withholding Contract Payments- Pursuant to CA Labor Code 1741 and CCR 16411
After determination of the amount of forfeiture by the Labor Commissioner, the Labor
Compliance Program will provide notice of withholding contract payments to the contractor and
subcontractor, if applicable. The notice shall be in writing and shall describe the nature of
violation and the amount of wages, penalties, and forfeitures withheld. Service of the notice
shall be completed pursuant to Section 1013 of the Code of Civil Procedure by first -class and
certified mail to the contractor and subcontractor, if applicable. The notice shall advise the
contractor and subcontractor, if applicable, of the procedure for obtaining review of the with
holding of contract payments. The Labor Compliance Program shall also serve a copy of the
notice by certified mail to any bonding company issuing a bond that secures the payment of
wages covered by the notice and to any surety on a bond, if their identities are known to the
the Awarding Body.
Withholding, Retention, or Forfeiture
Pursuant to CCR 16412 when a notice has been sent pursuant to CCR 16411 then the awarding body shall
proceed to withhold, retain, or forfeit the amount stated in the notice, pursuant to CA Labor Code 1727.
Review of Notice of Withholding of Contract Payments and Hearing Procedure
Pursuant to CCR 16439 (a) A contractor or subcontractor may request a settlement meeting pursuant to Labor
Code Section 1742.1(b) and may request review of a Labor Compliance Program enforcement action in
accordance with Labor Code Sections 1771.6(b) and 1742 and the regulations found at sections 17201 -17270 of
Title 8 of the California Code of Regulations. The Labor Compliance Program shall have the rights and
responsibilities of the Enforcing Agency (as defined in section 17202(f) of Title 8 of the California Code of
Regulations), in responding to such a request for review, including but not limited to the obligations to serve
notices, transmit the Request for Review to the hearing office, and provide an opportunity to review evidence in
a timely manner, to participate through counsel in all hearing proceedings, and to meet the burden of
establishing prima facie support for the Notice of Withholding of Contract Payments.
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IN
Pursuant to CA Labor Code 1742
1. An affected contractor or subcontractor may obtain review.of a NWCP under this chapter by
transmitting a written request to the office of the Labor Compliance Officer that appears on the
NWCP within 60 days after service of the NWCP. If no hearing is requested within 60 days after
service of the NWCP, the NWCP shall become final.
2. Within ten days following the receipt of the request for review, the LCP shall transmit to the Office of
the Director -Legal Unit the request for review and copies of the Notice of Withholding of Contract
Payments, any audit summary that accompanied the notice, and proof of service or other documents
showing the name and address of any bonding company or surety that secures the payment of the
wages covered by the notice.
3. Upon receipt of a timely request, a hearing shall be commenced within 90 days before the director,
who shall appoint an impartial hearing officer possessing the qualifications of an administrative law
judge pursuant to subdivision (b) of Section 11502 of Government Code. The appointed hearing
officer shall be an employee of the Department, but shall not be an employee of the Division of Labor
Standards Enforcement. The contractor or subcontractor shall be provided an opportunity to review
evidence to be utilized by the LCO at the hearing within 20 days of the receipt of the written request
for a hearing. Any evidence obtained by the Labor Compliance Program shall be promptly disclosed
to the contractor or subcontractor.
The contractor or subcontractor shall have the burden of proving that the basis for the civil wage
and penalty assessment is incorrect. The assessment shall be sufficiently detailed to provide fair
notice to the contractor or subcontractor of the issues at the hearing.
Within 45 days of the conclusion of the hearing, the director shall issue a written decision
affirming, modifying, or dismissing the assessment. The decision of the director shall consist of a
notice of findings, and an order. This decision shall be served on all parties and the awarding
body pursuant to Section 1013 of the Code of Civil Procedure by first -class mail at the last known
address of the party on file with the Labor Commissioner. Within 15 days of the issuance of the
decision, the director may reconsider or modify the decision to correct an error, except that a
clerical error may be corrected at any time.
LC 1742 (c) An affected contractor or subcontractor may obtain review of the decision of the
director by filing a petition for a writ of mandate to the appropriate superior court pursuant to
Section 1094.5 of the Code of Civil Procedure within 45 days after service of the decision. If no
petition for writ of mandate is filed within 45 days after service of the decision, the order shall
become final.
Pursuant to CCR 16439(b)(c) If a contractor or subcontractor seeks review of a Labor Compliance Program
enforcement action, the Labor Commissioner may intervene to represent the Awarding Body, or to enforce
relevant provisions of the Labor Code consistent with the practice of the Labor Commissioner, or both. CCR
16439(c) Except in cases where the Labor Commissioner has intervened pursuant to subpart (b) above, the Labor
Compliance Program shall have the authority to prosecute, settle, or seek the dismissal of any Notice of
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Withholding of Contract Payments issued pursuant to Labor Code Section 1771.6 and any review proceeding
under Labor Code Section 1742, without any further need for approval by the Labor Commissioner. Whenever a
Labor Compliance Program settles in whole or in part or seeks and obtains the dismissal of a Notice of
Withholding of Contract Payments or a review proceeding under Labor Code Section 1742, the Labor Compliance
Program shall document the reasons for the settlement or request for dismissal and shall make that
documentation available to the Labor Commissioner upon request.
CA Labor Code Section 1742.1(b)
The contractor may ask that for review of a Labor Compliance Program enforcement action in accordance
with Labor Code Sections 1771.6(b) and 1742 and the regulations found at sections 17201 -17270 of Title
8 of the California Code of Regulations. The Labor Compliance Program shall have the rights and
responsibilities of the Enforcing Agency (as defined in section 17202(f) of Title 8 of the California Code of
Regulations), in responding to such a request for review, including but not limited to the obligations to
serve notices, transmit the Request for Review to the hearing office, and provide an opportunity to
review evidence in a timely manner, to participate through counsel in all hearing proceedings, and to
meet the burden of establishing prima facie support for the Notice of Withholding of Contract Payments.
Distribution of Forfeited Sums
Before making payments to the contractor of money due under a contract for public work, the
Awarding Body shall withhold and retain therefrom all amount required to satisfy the NWCP.
The amounts required to satisfy the NWCP shall not be disbursed by the Awarding Body until
receipt of a final order that is not longer subject to judicial review.
Pending a final order, or the expiration of the time period for seeking review of the notice of
withholding, the Awarding Body shall not disburse any contract payments withheld.
From the amount recovered, the wage claim shall be satisfied prior to the amount being applied to
penalties. If insufficient money is recovered to pay each worker in full, the money shall be
prorated among all workers employed on the public works project who are paid less than the
prevailing wage rate, shall have PRIORITY over all Stop Notices filed against the prime
contractor.
Wages for workers who cannot be located shall be placed in the Industrial Relations Unpaid
Wage Fund and held in trust for the workers pursuant to Labor Code Section 1771.6(e).
Penalties shall be paid into the General Fund of the District that has enforced this chapter
pursuant to Labor Code Section 1771.7.
END OF SECTION
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SECTION 9
Duties of Labor Compliance Program
Pursuant to CCR 16434
A Labor Compliance Program shall have a duty to the Director to enforce the requirements of Chapter 1.
of Part 7 of Division 2 of the Labor Code and these regulations in a manner consistent with the practice of
the Labor Commissioner. It is the practice of the Labor Commissioner to refer to the Director's ongoing
advisory service of web - posted public works coverage determinations as a source of information and
guidance in making enforcement decisions. It is also the practice of the Labor Commissioner to be
represented by an attorney i.n prevailing wage hearings conducted pursuant to Labor Code Section
1742(b) and sections 17201 -17270 of Title S of the CCR's.
a) Upon receipt of a written complaint alleging that a contractor or subcontractor has failed to pay
prevailing wages as required by Labor Code, the Labor Compliance Program shall do all of the following:
b)Within 15 days after receipt of the complaint, send a written acknowledgement to the complaining
party that the complaint has been received and identifying the name, address, and telephone number of
the investigator assigned to the complaint;
c) Within 15 days after receipt of the complaint, provide affected contractor with the notice required
under LC 1775(c) if the complaint is against the subcontractor;
1. Notify the complaining party in writing of the resolution of the complaint
within 10 days after the complaint has been resolved by the Labor
Compliance Program;
IV
of
2. Notify the complaining party in writing at least once every 30 days of the
status of the complaint that has not been resolved by the Labor Compliance
Program; and
Notify the complaining party in writing at least once every 90 days of the
status of the complaint that has been resolved by the Labor Compliance
Program but remains under review or in litigation before another entity.
(c) The duties of a Labor Compliance Program with respect to apprenticeship standards
are as follows:
(1) Either the Awarding Body or the Labor Compliance Program acting on its
behalf shall (A) inform contractors and subcontractors bidding public works
about apprenticeship requirements, (B) send copies of awards and notices of
discrepancies to the Division of Apprenticeship Standards as required under
Section 1773.3 of the Labor Code, and (C) refer complaints and promptly report
suspected violations of apprenticeship requirements to the Division of
Apprenticeship Standards.
(2) The Labor Compliance Program shall be responsible for enforcing prevailing
wage pay requirements for apprentices consistent with the practice of the Labor
Commissioner, including (A) that any contributions required pursuant to Labor
Code Section 1777.5(m) are paid to the appropriate entity, (B) that apprentices
are paid no less than the prevailing apprentice rate, (C) that workers listed and
paid as apprentices on the certified payroll records are duly registered as
apprentices with the Division of Apprenticeship Standards, and (D) requiring that
the regular prevailing wage rate be paid (i) to any worker who is not a duly
registered apprentice and (ii) for all hours in excess of the maximum ratio
permitted under Labor Code Section 1777.5(g), as determined at the conclusion
of the employing contractor or subcontractor's work on the public works
contract.
(d) For each public work project subject to a Labor Compliance Program's enforcement
of prevailing wage requirements, a separate, written summary of labor compliance
activities and relevant facts pertaining to that particular project shall be
maintained. That summary shall demonstrate that reasonable and sufficient efforts
have been made to enforce prevailing wage requirements consistent with the
practice of the Labor Commissioner. Appendix C following this section provides a
suggested format for tracking and monitoring enforcement activities. Compliance
records for a project shall be retained until the later of (1) at least one year after
the acceptance of the public work or five years after the cessation of all labor on a
public work that has not been accepted, or (2) one year after a final decision or
judgment in any litigation under Labor Code Section 1742. For purposes of this
section, a written summary or report includes information maintained
electronically, provided that the summary or report can be printed out in hard copy
form or is in an electronic format that (1) can be transmitted by e -mail or compact
39
disk and (2) would be acceptable for the filing of documents in a federal or state
court of record within this state.
END OF SECTION
SECTION 10
ANNUAL REPORT
Pursuant to CCR 16431
(a) The Labor Compliance Program shall submit to the Director our annual report on our operation by no later
than August 31 of each year. The annual report shall cover the twelve month period commencing on July 1 of the
preceding calendar year and ending on June 30 of the year in which the report is due.
(b) The annual report shall be made on the appropriate form [LCP -AR1, LCP -AR2], for the type of Labor
Compliance Program that is submitting the report, unless the Director has agreed to a different reporting format
for a Program that has been granted extended authority under section 16427 above.
The annual report will contain, as a minimum, the following information:
1. If the LCP performed any LC 1771.5 enforcement activity during the last 12 months in the
reporting period?
2. Any suggestions we may have for the DIR to better assist us with our program in the coming
year.
3. List of projects handled by the LCP within the last 12 months.
4. Summary of all wages and penalties assessed and /or recovered.
M
W
5. List of amounts of wages and penalties assessed and/or with recovered or Which approval of Forfeiture
was not requested from the Labor Commissioner,
6. List of projects for which approval n forfeiture 1813 ad Was es assessed, and ttheLabor list the amount that was
list of penalties of 1776(g), 1775, and 1813 a g
recovered for each.
7. Identify any cases that were subject to LC 1742 proceedings.
8. Notate if any contractors or subcontractors were referred to the Labor Commissioner for debarment,
if so, list the contractors:
e sent to the Division of Apprenticeship Standards, if yes, list the
9. Notate if any violations wer
contractors.
c The Annual Report for a person or entity operating a Labor Complianc P g ells land chid onsultante 1) a who
certification of compliance with conflict of interest disclosure requiremen t by y p Y
participate in making governmental decisions, as defined under Title 2, California Code of Regulations, section
18701, and (2) a current statement disclosing the information required under section 16426(a)(2), (3) and (5)
above. the
(d) Information in the Annual Report shall be reported in sufficient detail An annduabreport shall lalso ig Jude
scope and level of enforcement activity of the Labor Compliance
such additional information as the Labor Compliance Program may be required to report as a condition of its
approval.
(e) A Labor Compliance Program that has ceased operating, either due to the voluntary termination of its
program or the revocation of its approval by the Director, shall file a closing annual report within sixty (days)
following its last day of operation as an approved program.
END OF SECTION
41
Labor #
Project.
Checklist of Labor Law Requirements
Review at Pre - Construction Meeting, CA Code of Regulations, Section 16430.
It is the contractor's duty to pay prevailing wages under CA Labor Code, Section 1770 et seq.,
Pursuant to section 1771, except for public works project for $1,000.00 or less, not less than
the prevailing wage rate of per diem wages for work of a similar character in the locality in
which the public works is performed and not less than the prevailing wage rate of per diem
wages for holiday and overtime work fixed as provided in this chapter shall be paid to all
Workers employed on public works projects.
This section is applicable only to work performed under contract and is not applicable to work
carried out by a public agency with its own forces.
2. It is the contractor and subcontractors' duty to employ registered apprentices on the public
works project under Labor Code, Section 1777.5.
3. The penalties for failure to pay prevailing wages and employ apprentices include forfeitures
and debarment under Labor Code, Sections 1775 and 1777.7 and 1813.
4. Falsification of payroll records and failure to accurately report hours of work are characterized
as deliberate underreporting of hours of work; underreporting the headcount; stating that the
proper prevailing wage rate was paid when, in fact it was not; clearly misclassifying the work
performed by the worker; and any other deliberate and /or willful act which results in the
falsification or inaccurate reporting of payroll records. Such violations are deemed to be willful
violations committed with the intent to defraud.
5. The Contractor is required to keep and submit copies of complete certified payrolls, upon
request,, under Labor Code, Section 1776, and the penalties for failure to do so under Labor
Code, Section 1776 (g).
6. The Contractor is required to post an equal opportunity poster in a conspicuous place for the
duration of the project; to strictly enforce prohibition against employment discrimination under
Labor Code, Sections 1735 & 1777.6, the Government Code and Title Vlt of the Civil Rights
Act of 1964, and to provide equal opportunity as required in the Public Contracts Code and in
the contract.
7, The Contractor is prohibited from accepting or extracting kickbacks from employee wages
under Labor Code, Section 1778 or for accepting fees for registering any person for public
work under Labor Code, Section 1779 or for filling work orders on public works under Labor
Code Section 1780 and is informed of the penalties for doing so.
8. The Contractor is required to list all subcontractors hired to perform work covering more than
one -half of one percent of the contract amount, under Government Code, Section 4100 et seq.
9, The Contractor is required to be properly licensed and to require all subcontractors to be
properly licensed and is informed of the penalty for employing workers while unlicensed under
Labor Code, Section 1021 and under California Contractors' License Law, found in the
Business and Professions Code, Section 7000 et seq.
10. All contractors are required to be properly insured for General Liability Insurance, and Workers
Compensation under Labor Code, Section 1861.
11. The Contractor is reminded of the requirement against engaging in unfair business practices
and unfair competition under the Business and Professions Code, Section 17200-17208.
12. The Contractor is required to abide by the Occupational, Safety and Health, (OSHA) laws and
regulations that apply to the particular construction project.
13. The federal prohibition against hiring undocumented workers, and the requirement to secure
proof of eligibility/citizenship from all workers.
14. The requirement to provide itemized wage statements to employees under Labor Code Section
22&
#
I acknowledge that I have been informed and am aware of the foregoing requirements and that I
am authorized to make this certification on behalf of
name of contractor
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Suggested Single Project Labor Compliance Review and Enforcement Report Form
[Appendix C following 8 CCR § 164341
Awarding Body:
Project Name:
Name of Approved Labor Compliance Program:
Bid Advertisement Date:
Acceptance Date:
Notice of Completion Recordation Date:
Summary of Labor Compliance Activities
I . Contract Documents Containing Prevailing Wage Requirements (Identify)
2. Prejob Conference(s) -- Attach list(s) of attendees and dates
n I
Notification to Project Workers of Labor Compliance Program's Contact Person. (Explain
Manner of Notification for each project work site.)
4. Certified Payroll Record Review
a. CPRs Received From:
Contractor/Subcontractor For weeks ending ("w/e") through w/e
ME
b. Classifications identified in CPRs and applicable Prevailing Wage Determinations
Classification Determination No.
5. Further investigation or audit due to CPR review, information or complaint from worker or other
interested person, or other reason:
a. Independent Confirmation of CPR Data
Worker Interviews Reconciled CPRs with Pay -
Contractor /Subcontractor (Yes/No) checks or Stubs (Yes/No)
b. Employer Payments (Health & Welfare, Pension, Vacation/Holiday) Confirmation
Recipients of Written confirmation
Contractor /Subcontractor Employer Payments Obtained (Yes/No)
c. Contributions to California Apprenticeship Council or Other Approved Apprenticeship
Program
Recipients of Written confirmation
Contractor /Subcontractor Contributions Obtained (Yes/No)
-71
d. Additional Wage Payments or Training Fund Contributions Resulting from Review of
CPRs
Additional amounts Additional Expla-
Contractor/Subcontractor Paid to Workers Training Fund nation
Use separate page(s) for explanation
6. Complaints Received Alleging Noncompliance with Prevailing Wage Requirements.
Name of Resolution or
Complainant Date Received Current Status
*Use separate page(s) to explain resolution or current status
7. Requests for Approval of Forfeiture to Labor Commissioner
Contractor/Subcontractor Date of Request Approved/Modified/Denied
8. Litigation Pending Under Labor Code Section 1742
Contractor/Subcontractor DIR Case Number
9, (Check one): Final report this project
Annual report this prcject
Authorized Representative for Labor Compliance Program
Name and Contact Information:
Date of Request:
Name and Contact Information for Awarding Body if different
LCP Approval Status (specify if either
from LCP:
interim or temporary or if LCP has
Notice of Completion/Date Recorded with County
Recorder:
extended authority):
Pro J
Project Name:
Contract Number:
I
Project Location:
Bid Advertisement Dates:
Estimated Date Project is to be completed:
Acceptance Date of Project by the Awarding
Body:
Notice of Completion/Date Recorded with County
Recorder:
Other Relevant Deadline (specify):
Amount being held in Retention:
Naive and address of Affected Contractor: I Name and address of Affected Subcontractor:
General Description of Scope of Work of the Entire Project:
General Description of Scope of Work covered in the proposed Forfeiture (describe and attach relevant
portions of contract or subcontract):
M31M. 1�1 01112111, �� �01 -
Total Amount of Request for Notice of Withholding of Contract Payments:
Wages Due: Tr7ainingFu�nds�Tolal Total Due: Potential Liquidated Damages
I [Wages + Training Funds]:
Due: I
LC 1775 Penalties Due: LC 1813 Penalties LC 1776 Penalties Due: Other:
Due:
[Provide narrative sLu-nmaries covering the following]:
A. Statement ql'Issues.
B. Investigative Report (detailed narrative including but not limited to hoiv the investigation was
conducted including worker declarations, revieiving certified payroll records, verification of eniplQye•
payment contributions, etc.).
C. Audit Report (detailed explanation of how audit ivas completed addressing each of the issues above).
D. Affected contractor and subcontractor information (how ajjected contractor and subcontractor were
informed qfpotential violations; summary oj*their response with respect to violations and penalty issues;
and any other information considered in determining recommended penalties).
E. Recommended penalties under Labor Code Section 1775(a) and basis for° recommendation,
including hoiv./actors in subsection (a)(.2) of Section 1775 ii,ere applied to arrive at the recommended
ainountOl
ATTACHMENTS
1. Audit Summary (Appendix B)
2. 111 Bid Advertisement Publication
3. Notice of Completion
4. Scope of Work
5. Complaint form(s) and Declarations, if any
Send the Request and all Attachments to:
Division of Labor Standards Enforcement
Bureau of Field Enforcement
Attn.: Regional Manager
300 Oceangate Blvd., No. 850
Long Beach, CA 90802
Ilk
��010111014 sit
NOTICE OF DISPUTED FUNDS
TEMPORARY WITHHOLDING
DATE:
PROJECT:
GENERAL CONTRACTOR:
PAYMENT APPLICATION NO:
PAY PERIOD:
DATE OF PAYMENT APPLICATION:
TO:
(Name of Prime Contractor)
Your Payment Application No. - includes disputed funds for failure by the subcontractor(s) listed below to comply
with the District's Labor Compliance Program (LCP) as required pursuant to the Contract Documents. These
disputed funds will be delayed until all LCP and contract requirements are met
Please complete this Notice by indicating the dollar amount billed in Payment Application No.— for the following
subcontractor(s):
Name of Subcontractor Dollar Amount
1.
2.
Complete and return this Notice to Carolyn Lay, 6955 N. Durango Drive Suite 1115-254, Las Vegas, NV 89149
within five (5) business days of receipt. Once the District has received the completed Notice, the District will
process the payment to the Prime Contractor in an amount equal to the dollar amount stated in Payment Application
No. - less the disputed funds in the dollar amount stated above. As soon as the funds are no longer in dispute, the
Labor Compliance Administrator will notify the District's accounting department that the LCP requirements have
been met.
- I certify that the amount indicated for the above fisted subcontractor(s) is true and correct.
PRIME CONTRACTOR'S SIGNATURE
PRIME CONTRACTOR'S PRINTED NAME
DATE
M
MOM III iiiiiiiii, =��
in accordance with Labor Code sections 1742 and 1771.6, an effected contractor or subcontractor may obtain
review*of this Notice of Withholding of Contract Payments by transmitting a written request to the office of the
Labor Compliance Program that appears below within 60 days after service of the notice, To obtain a hearing, a
written Request for Review must be transmitted to the following address:
The City ofPetaluma
Erica AhmannSmithies
282N. McDowell Blvd.
Petaluma, [A94954
A Request for Review either shall clearly identify the Notice of Withholding of Contract Payments from which
review |s sought, including the date of the notice, orit shall include a copy of the notice asan attachment, and
shall also set forth the basis upon which the notice is being contested. In accordance with Labor Code section
1742, the contractor or subcontractor shall be provided on opportunity torevievoevidencetubeutUizedbythe
Labor Compliance Program at the hearing within 20 days of the Labor Compliance Program's receipt of the
written Request for Review.
Failure by a contractor or subcontractor to submit a timely Request for Review
will result in a final order which shall be binding on the contractor and
subcontractor, and which shall also be binding, with respect to the amount
due, ana bonding company issuing a bond that secures the payment mfwages
and a surety mnabond. Labor Code section 1743,
in accordance with Labor Code section 1742(d), a certified copy of a final order may be filed by the Labor
Commissioner in the office of the clerk of the superior court Jn any county in which the affected contractor or
subcontractor has property ur has or had m place ufbusiness. The clerk, immediately upon the filing, shall enter
judgment for the State against the person assessed in the amount shown on the certified order.
Opportunity for Settlement Meeting
In accordance with Labor Code Section 1742.1 (b), the Labor Compliance Program shall, upon receipt of
a request from the affected contractor or subcontractor within 30 days following the service of this
Notice of Withholding n Contract Payments, afford the contractor or subcontractor the opportunity to
meet with the Labor Compliance Program's designee to attempt to settle a dispute regarding the
notice. The settlement meeting may be held in person or by telephone and shall take place before the
expiration of the 60-day period for seeking e hearing as set forth above under the heading Notice of
Right tu Obtain Review. No evidence of anything said or any admission made for the purpose of, inthe
course of, or pursuant to, the sett|eme�t meeting is admissible or subject to discovery in any
adrninistrotiveor civil proceeding. Noxxritin� prepared for the purpose of, in the course of, orpursuant
to, the settlement meeting, other than a final settlement agreement, is admissible or subject to
discovery in any administrative or civil proceeding. This opportunity to timely request an informal
settlement meeting is in addition to the right to obtain a formal hearing, and a settlement meeting may
be requested even if written Request for Review has already been made. Requesting a settlement
meeting, however, does not extend the 60-day period during which a formal hearing may be requested.
A written request to meet with the Labor Compliance Program's designee to attempt to settle a dispute
regarding this notice must be transmitted to THE CITY OF PETALUMA at the following address:
The City ofPetaluma
Erica Smithies
2O2N. McDowell Blvd.
Petaluma, CA 94954
Liquidated Damages
in accordance with Labor [ode section 1742.1, after 60 days following the service of this Notice of
Withholding of Contract Payments, the affected contractor, subcontractor, and surety on a bond or
bonds issued to secure the payment of wages covered by the notice shall be liable for liquidated
damages in an amount equal to the wages, or portion thereof that still remain unpaid. if the notice
subsequently is overturned or modified after administrative or judicial review, liquidated damages shall
be payable only on the wages found to be due and unpaid' if the contractor or subcontractor
demonstrates to the satisfaction of the Director of the Department of Industrial Relations that he or she
had substantial grounds for believing the assessment or notice to be an error, the Director shall waive
payment of the liquidated damages.
Distribution:
Prime Contractor
Subcontractor
Surety(s) on Bond
Attach:
Audit Summary
Proof of Service
City ofPetaluma
2D2N. McDowell Blvd.
Petaluma, CA 94954
Phone: 707-776'3673
Fax:
to Reply Refer to Case No,:
APPENDIX G
After on investigation concerning the payment of wages to workers employed in the execution of the contract
for the above-named public works project, the Labor Program for The City of Petaluma has
determined that violations of the California Labor Code have been committed by the contract or and/or
subcontractor identified above. In accordance with Labor Code sections 1772.5 and 1771.6, the Labor
Compliance Program hereby issues this Notice of Withholding of Contract Payments.
The nature of the violations of the Labor Code and the basis for the assessment are as follows:
The Labor Compliance Program has determined that the total amount of wages due is: $
The Labor Compliance Program has determined that the total amount of penalties assessed under Labor Code
sections 1775 and 1813 is: $
The Labor Compliance Program has determined that the amount of penalties assessed under Labor Code section
1776 is: $
THE CITY OF PETALUMA LABOR COMPLIANCE PROGRAM
By:
WE
Labor Compliance Program:
Contact person
Phone, fax
Date
to
NOTICE OF TRANSMITTAL
Department of Industrial Relations
Office of the Director - Legal Unit
Attention: Lead Hearing Officer
P.O. Box 4ZU683
San Francisco, CA 94142-0603
Enclosed herewith please find a Request for Review, dated postmarked
and received by this office on
Also enclosed please find the following:
Copy of Notice of Withholding of Contract Payments
Copy nf Audit Summary
Labor Compliance
Signed
[c
Prime Contractor
Subcontractor
Bonding Company
Within ten (10) days followings its receipt ofaRequest for Review, the Enforcing Agency shall transmit
totheOfficeoftheDirector - Lega|Unit,theRequas for Review and copies of the Assessment urNotice
of Withholding of Contract Wages, any Audit Summary that accompanied the Assessment or Notice, and
a Proof of Service or other document showing the name and address of anyrbonding company or Surety
entitled to notice under Rule 20(a) [Section 17220(a)] above. The Enforcing Agency shall transmit these
items to the following address.
Appendix I
Labor Compliance Program
Review Office-Notice of Withholding nf Contract Payments
PhoneRm
Date
Case No.,
Notice mf Opportunity *» Review Evidence Pursuant tm Labor Code Section
To: Prime Contractor
To: Subcontractor
Please be advised that this office has received your Request for Review, dated and
pertaining to the Notice of Withholding of Contract Payments issued by the Labor Compliance Program
in Case No.
In accordance with Labor Code section 1741(b), this notice provides you with an opportunity to review
evidence to be utilized by the Labor Compliance Program at the hearing on the Request for Review, and
the procedures for reviewing such evidence,
Rule 17224 of the Prevailing Wage Hearing Regulations provides as follows:
A(a) Within ten (10) days following its receipt of a Request for Review, the Enforcing Agency shall also
notify the affected contractor or subcontractor of its opportunity and the procedures for reviewing
evidence to be utilized bv the Enforcing Agency at the hearing of the Request for Review.
(b)AnEnforcing Agency shall bedeemed to have provided the opportunity to review evidence required
by this Rule if it(l)gives the affected contractor or subcontractor the option atsaidparb/sovvn
expense 10 either (i) obtain copies nf all such evidence through 000nnme/cia|copyin8serviceor(iU
inspect and copy such evidence at the office of the Enforcing Agency during normal business hours; orif
(2) the Enforcing Agency at its own expense forwards copies of all such evidence to the affected
contractor orsubcontractor.
(c) The evidence required to be provided under this Rule shall include the identity of witnesses whose
testimony the Enforcing Agency intends to present, either in person at the hearing orby declaration or
affidavit. This provision shall not be construed as requiring the Enforcing Agency to prepare or provide
any separate listing of witnesses whose identities are disclosed within the written materials made
available under subpart (a).
(d) The Enforcing Agency shall make evidence available for review as specified insubparts (a) through (c)
within 20 days of its receipt of the Request for Review; that, this deadline may be extended by
written request or agreement of the affected contractor and subcontractor. The Enforcing Agency's
failure to make evidence available for review is required by Labor Code section 1742(b) and this Rule,
shall preclude the enforcing agency from introducingouchexidencainpruceedingsbeforetheHeoring
officer or the Director.
(e) This Rule shall not preclude the Enforcing Agency from relying upon or presenting any evidence first
obtained after the initial disclosure of evidence under subparts (a) through (d), provided duztsuch
evidence is promptly disclosed to the affected contractor or subcontractor. This Rule also shall not
preclude the Enforcing Agency from presenting previously undisclosed evidence to rebut new or
collateral claims raised by another party in the proceeding.
!n accord an' oe with the above Rule, please be advised that the Labor Compliance Program's
pv^="".e
for you 1u
exercise your opportunity to review evidence basfollows:
Within five calendar days of the date of this notice, please transmit the attached Request to
Review Evidence to the following address:
Attention:
UMMMM
Request to Review Evidence
10
Regarding Notice of Contract Withholding of Contract Payments Dated
Our Case No.:
The undersigned herby requests an opportunity to review evidence to be utilized by the Labor
Compliance Program at the hearing on the Request for Review.
Signed
Phone No:
Fax No:
U
3/1212015
home E,/.te° Lcj %u,,
DIR - Compliance Monitoring Unit
Public Works Projects Registration (PC -M) for all Awarding Agencies
The PINC-100 Online fmifi will he dov'w fat system clihnncemants on Friday Nlrwnh '20, 2015, negin"ing at 3:30
P.m. Tht� s�.Ysteoi I,; an[ticipa-Zod to be 4-ck onVile oll Mlai-ch 21, '20 IS.
Welcome to the PWC 100 form online application page. The PWC 100 form should be completed by the awarding body.
The completion and the submission of this form fulfills the required public works project award notification as required
by Labor Code sec. 1773,3 (replacing former DAS-13 notification) and
8 Cal. Code Reg. sec. 16451(a).
An awarding body or body awarding the Contract means department, board, authority, officer or agent awarding a
contract for public work. In most cases the awarding body is a unit of state or local government, such as a city, county,
school district, water district, special district, or a state agency. However, in some cases the body awarding the contract
may be a private entity that uses public funds for a public works construction project.
pica"C" koep your iogin aild pa-'swovd, -ince Y"'LJ ma'y only i-egistei once,
Back to Top I Conditions of Use I Accesslbfllty I Contact Us I Data Collections and Use
C. 133 lig h t 'D 21) 10 1.1 t' of C. N f. 1. i -
https: //wevw.dir.ca.gov/pwciOOext/
Usemame or Email:
E-mail Address
Password:
1 1 Remember me on this
computer
Sign In
Forgot Password
First Time User
To create an account please select
the First Time User button above.
Note that user ID and password are
case sensitive.
1z . - I
Contract award information must be sent to your Apprenticeship Committee if you are approved to train. V you are not approved to train, you
must send the information (which may be this form) to ALL applicable Apprenticeship Committees in your craft or trade in the area of the site
of the public work. Go to: http:/h,�% w. dir. ca. gov /das /PublicWorksForms.himfor information about programs in your area and trade. You may
also consult your local Division of Apprenticeship Standards (DAS) office whose telephone number may be found in your local directory under
California, State of, Industrial Relations, Division of Apprenticeship Standards.
Do not send this form to the Division of Apprenticeship Standards.
NAME OF YOUR COMPANY
CONTRACTOR'S STATE LICENSE NO
,vAmnGA6DREss- NumaER & STREET, crry, zip CODE
AREA COM & TELEPH&,E No
NAME & ADDRESS OF PUSUCIWORKS PROJECT
DATE YOB CO11RACT EXECUTED
DATE OF EXPECTED OR ACTUAL START OF FMIECT
NAME & ADDRESS OF PUBLIC AGENCY AWARINING CONTRACT
ESTUATED, fit JWER OF E
OCCUPAWN OF APPRENWE
THIS FORM IS BEING SENTTO. (NAME &ADDRESS OF APPRENTICESHIP PROGRAM(S))
ESTIMATEDNIUMSER OF APPREN'TICE HOURS
APMXRAATE DA, B TO BE E-NIPLOYED
This is not a request for dispatch of apprentices.
Contractors must make a separate request for actual dispatch, in accordance with Section 23a i(a) Calfibmia Code of Regulations
Check One Of The Boxes Below
1. El We are already approved to train apprentices by the
Apprenticeship Committee. We will employ and train under their Standards. Enter name of the Committee
2 F] we will comply with the standards of
Apprenticeship Committee for the duration of this job only. Enter name of the Committee
3,F-] We will employ and train apprentices in accordance with the California Apprenticeship Council regulations,
including § 230.1 (c) which requires that apprentices employed on public projects can only be assigned to
perform work of the craft or trade to which the apprentice is registered and that the apprentices must at all
times work with or under the direct supervision of journeymanimen.
Signature
Typed Name
Title
State of California - Department of Industrial Relations DIVISION
DAS 140 (REV. IKI4) OF APPRENTICESHIP STANDARDS
Date
HEALTH AND WELFARE
NAME OF PLAN Address, City and Zip
ADMINISTRATOR Address, City and Zip - —
CLASSIFICATION(S) USED
CONTRIBUTION PER CLASSIFICATION PER HOUR
--
CONTRIBUTIONS;—WEEKLY MONTHLY QUARTERLY ANNUALLY
� --
PENSION
NAME OF PLAN Address, City and Zip
ADMINISTRATOR - - --- - -- Address, City and Zip -
CLASSIFICATIONS) USED
CONTRIBUTION PER CLASSWICATION PER HOUR
CONTRIBUTIONS: MONTHLY QUARTERLY ANNUALLY
VACATION /I- YOLIDAY
NAME OF PLAN — -- Address, City and Zip
ADMINISTRATOR - Address, City and Zip - -
CLASSIFICATION(S) USED
CON`i RIBUTION PER CLASSIFICATION? PER HOUR
CONTRIBUTIONS: MEEKLY_ MONTHLY QUARTERLY ANNUALLY
TRAINING
NAME OF PLAN address, Cite and Zip
ADMINISTRATOR - — Address, City and Zip
%CLASSIFICATION(S) USED
CONTRIBUTION PER CLASSIFICATION PER HOUR
CONTRIBUTIONS: WEEKLY MONTHLY QUARTERLY ANNUALLY
IF YOU USE OTHER PLANS NOT LISTED ABOVE, YOU MAY USE THE BACK OF THIS FORM TO PROVIDE
THIS ADDITIONAL INFORMATION
PMV 26
ARM
'1H" i
REQUEST FOR DISPATCH OF AN APPRENTICE - DAS 142 FORM
DO NOT SEND THIS FORM TO DAS
You may use this form to request dispatch of an apprentice from the Apprenticeship Committee in the craft or
trade in the area of the public work. Go to: h1tp:/,'w yw.dir.ca,& for
information about programs in your area and trade. You may also consult your local Division Apprenticeship
Standards (DAS) office whose telephone number may be found in your local directory under California, State of,
Industrial Relations, Division of Apprenticeship Standards. Except for projects with less than 40 hours of
journeyman work, you must request and emWov apprentices in no less than 8 hour increments.
# =-Z
To Applicable Apprenticeship Committee:
Nam
Address:
Tel. No.
Project Information:
Contract No.
Name of the Project:
Fax No.
Dispatch Request Information:
Number of Apprentice(s) Needed:
Date Apprentice(s) to Report:
Name of Person to Report to:
Address to Report to:
Contractor Requesting Dispatch:
Name:
Address:
License No.
Tel. No.
Craft or Trade:
Fax No.
(72 hrs. notice required) Time to Report:
You may use this form to make your written request for the dispatch of an apprentice. Requests for dispatch must be in
writing and submitted at least 72 hours in advance (excluding weekends and holidays) via first class mail, fax or email. Proof
of submission may be required. Please take note of California Code of Regulations, Title 8, § 230.1 (a) for all applicable
requirements regarding apprenticeship requests andlor visit
httv,,Ilwww.dir,ca,qoazl1?ASIDAS�oprenticesOi-,Pubi,icWot-ksStimti7qrv0f,Rqg!jireti,,ents,17tt?7
OAS 142 (Revised 04114)
A,
Labor Compliance Program
STATEMENT OF COMPLIANCE
1, Name) . I do, hereby certify under penalty of perjury
(Larne)
1. That all of the information in this report is true and correct,
2. That I pay, or supervise the payment of, the persons employed by:
M61
(Company)
and that during the payroll period commencing
and ending
(Date Ending)
(Project)
(Beginning Date)
That 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 company from the full wages earned by any
person and that no deductions have been made, either directly or indirectly, from the full
wages earned by any person, other than nornial and permissible deductions, as described
below:
FICA-FEDERAL & STATE TAXES — VACATION & HOLIDAYS HEALTH &
WELFARE —A UITY/I'; N ION FUNDS-TRAINING FEES
3. That any payrolls, wider this contract, required to be submitted for the above period,
are correct and complete; that the wage rate for laborers and mechanics, contained
herein, are not less than the applicable wage rates contained in any determination
Z-1
incorporated into the contract; that the classifications,- set forth for each laborer or
mechanic, conform with the work lie performed.
4. That any apprentices employed, in the above period, are duly registered in a bonafide
apprenticeship program, registered with the state apprenticeship agency.
5. That fringes are paid: To Worker: E] To Funds: f_1
Each laborer or mechanic, listed in the above referenced payroll, has been paid as
indicated on the payroll an amount not less than the sum of the applicable, basic
hourly rate, plus the amount of required fringe benefits, as listed in the contract,
(Name
(Signature,)
(Title)
(Date)
B
For Privacy Considerations
Fold back along dotted line prior to copying for release to general public (private persons).
(Paper Size then 8-1/2 x I I inches)
the undersigned, am the
(Name — print)
with the authority to act for and on behalf of
(Position in business)
certify under penalty of perjury
(Name of business and/or contractor)
that the records or copies thereof submitted and consisting of (Description, number of pages)
are the originals or true, full., and correct copies of the originals which depict the payroll record(s)
of the actual disbursements by way of cash, check, or whatever form to the individual or
individuals named.
Date: Signature:
A public entity may require a stricter and/or more extensive form of certification.
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Labor Compliance Program
NON-PERFORMANCE PAYROLL REPOR
Contractor:
Subcontractor
I do, hereby state that no persons were employed on the construction site of:
Project: Contract No.
during the payroll period commencing on the day of
20—, and ending on the — day of 120
Signature of Authorized Person:
►RIM
Final payroll.- _Yes No
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AM
Note: One copy of this form must be submitted within (10) ten days following the close of the contractor's
'pay period, for any pay period or part pay period that the contractor did not employ workmen on the
contract site,
This report is not required prior to submission of the INITIAL, ACTUAL payroll report, nor is it required after
the FINAL pay report for the project.
312312015
DAS CAC Training Fund Contributibrts
DvJ on of Arpmntices,,'t;�) Standards (DAS)
CACI - Training Fund ContribIjiJolls
You must enter all requested infornation in order to ensure successful submission and processing of your payment.
Training Fund Contributions are due on the 15th of each month.
All fields with ' ar, rpciulred.
BUTTON on th'�l !")com of 4)!;tfhmif tot' 'm invoi"e, coupon.
10 NAVIGATE L i VVFFH F ILL -0.2, DO NO f I III RE I UPH Of, EN !<F VAFTER EACI I GfiITRY, LjS E I HE TAB I<F',f INK; BEAD.
/,t
You need to have a working printer currently connected to your computer in order to print the complete paper form in the end of this session so that you can mail it
with your payment.
Training Fund Contributions Form CAC2
Date: 3/2312015
CLEAR FORM
Contractor/Sub Contractor Contractor Period covered Jobsfte Location
making contributions by contribution (including County)
(from — to)
Name: License Number: Period Start: If applicable, give name of school, hospital, building, etc.
Address: Contract/Project Number ' Period End: Comments:
City: (MMIDDIYYYY)
State:
ZIP:
Name of the submitting party: Submitter's Title: Submitter's Email: 'Submitter's Phone:
e.g., (999) 999-9999
Instructions: You may want to use the keyboard TAB key to navigate the fields and the Up A I Down V ARROW keys to select a list item.
' Hours = Rate Amount
(min.: 0.5; max: 9 999.99) (min.: 0.01; max: $9,99)
S $0,00
(".00
$ som
S $0,00
$ $0.00
S $0.00
$ $0.00
' County of Work
' Classification I
1)
Select a county T
Select an occupation v
2)
Select a county v
Select an occupation v
3)
Select a county r
Select an occupation v
4)
Select a county •
Select an occupation v
5)
Select a county •
Select an occupation r
6)
Select a county v
Select an occupation v
7)
Select a county v
Select an occupation v
6)
Select a County V
Select an occupation V
https://www,dir.c,a,gov/das/tf/car-2.
asp
' Hours = Rate Amount
(min.: 0.5; max: 9 999.99) (min.: 0.01; max: $9,99)
S $0,00
(".00
$ som
S $0,00
$ $0.00
S $0.00
$ $0.00
SUBCONTRACTOR AFFIDAVIT OF
AF
� �#', - - --l-wiment
As Owner or
Official
Representative
of
(NAME) (COMPANY)
I hereby, certify under penalty of perjury:
1) That I am the Owner or Official Representative of the above named company and
therefore responsible for compliance with the Public Works laws on this project.
2) That as Owner or Official Representative of this company, I was informed of the
California Public Works laws and was given the information and forms to complete the
project in compliance with these laws at the beginning of the project.
3) That all payrolls were true and complete, as submitted,
4) That the classifications listed for each worker on the payroll was applicable to the work
performed by each mechanic, journeyman or laborer.
5) That all workers who performed labor on the project have been paid all prevailing
wages as listed in the applicable determination due to them in the course of the work
as listed on their timecards, including fringe benefits,
6) That all training fees, if applicable, to the trade in which they were employed have
been paid to the appropriate, approved fund,
7) That all workers listed and paid as apprentices were registered, state apprentices,
Title:
Signature:
Date:
Project:
`Iq
1,
PRIME CONTRACTOR AFFIDAVIT OF PUBLIC WORKS COMPLIANCE
Certification of Compliance with Prevailing Wage Laws
As the Owner
or Official
Representative
of
(NAME)
I hereby, certify under penalty of perjury:
(COMPANY)
1) That I am the Owner or Official Representative of the above named company
and therefore responsible for compliance with the Public Works laws for my
company and for the subcontractors contracted by my company on this
project.
2) That as Owner or Official Representative of this company, I was informed of
the California Public Works laws and was given the information and forms to
complete the project in compliance with these laws at the beginning of the
project.
3) That the determinations and classifications published by the State of
California Department of Labor Statistics & Research (DLSR) have been used
to bid the wages on this project by my company and my subcontractors'
companies.
4) That all workers who performed labor on the project will be paid all
Prevailing, , ' wages as listed in the applicable determinations due to them in the
course of the work as listed on their timecards, including fringe benefits.
5) That all training fees, if applicable, to the trade in which they are employed
will be paid to the appropriate, approved fund.
6) That all workers listed as apprentices are registered,, state apprentices and
furnished a certificate of registration.
7) 1 am aware of Section 3700 of the California Labor Code and agree to carry
worker's compensation insurance or to undertake self-insurance in accordance
with that code for the duration of this project.
Title:
Signature:
Date: Prqject:
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STATEMENT OF ECONOMIC INTERESTS
Please type or print in ink.
NAME OF FILER (LAST) (FIRST) (WDDLE)
I. Office, Agency, or Court
Egency Warrie fuo not use aoronymsj
�4. Schedule Summary
Check applicable schedules or "None." b,- Total number of pages including this cover page:
[] Schedule A-1 - Investments - schedule attached ❑ Schedule C - Income, Loans, & Business Posifions - schedule attached
Q Schedule A-2 - Investments - schedule attached E] Schedule D - Income - Gifts - schedule attached
El Schedule B -Rea( Property - schedule attached
El Schedule E - Income - Gift - Travel Payments, - -schedule attached
or-
❑ None - No reportable interests on any schedule
U- U!--I!
W� I#Ja.Qklvll
NAILING ADDRESS STREET CITY STATE ZIP CODE
(Business or Agency Address ReornmerxW - public Document)
I nave used all reasonable diligence in preparing this statement. I have reviewed this statement and to the best of my knowledge the information contained
herein and in any attached schedules is true and complete. I acknowledge this is a public document.
I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct
Date Signed
Signature
(M-1h, dey, year)
FPPC Form 700 (20141201SI
)PPG Advice Erna& advice&ppc.ca.gov
FPPC Toll-Free Helptine: 8661275-3772 www.fppc.ca.gov
■