Community Development Block Grant Disaster Recovery · 2019-11-06 · 1 BOULDER COUNTY...

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1 BOULDER COUNTY COLLABORATIVE ________________________________________ Community Development Block Grant Disaster Recovery POLICIES AND PROCEDURES MANUAL FOR PUBLIC INFRASTRUCTURE PROGRAM April, 2016 Adopted by the Boulder County Collaborative on May 13, 2016

Transcript of Community Development Block Grant Disaster Recovery · 2019-11-06 · 1 BOULDER COUNTY...

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BOULDER COUNTY COLLABORATIVE ________________________________________

Community Development Block Grant Disaster Recovery

POLICIES AND PROCEDURES MANUAL FOR PUBLIC INFRASTRUCTURE PROGRAM

April, 2016

Adopted by the Boulder County Collaborative on May 13, 2016

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Table of Contents Definitions………………………………………………………………………………………………………… ……………………….5 Collaborative Partners, Special Districts, and Other Agencies……………………. …………………..……….…9 Purpose and Objectives…………………………………………………………………………………………..………….…….10 Program Allocation and Administration……………………………………………………………… ………………… .10 Funding Appropriation Infrastructure and Public Facilities Program………………………………………………………… …………..………11 Priority Minimum Threshold Projects Priority Infrastructure Projects Buyout and Acquisition for Open Space Prioritization and Funding……………………………………………………………………………………….……………....12

Geographic Areas………………………………………………………………………………………………………………..……13 Technical Assistance………………………………………………………………………………………………………….……..14 Workflow Management and Documentation System……………………………………………………………….14 Partner and Special Districts Information Management Infrastructure Program Buyout and Acquisition Program

Communication and Task Management Davis-Bacon Project Budget Management and Invoicing/Draws DRGR Reporting/Program Performance Reporting

Infrastructure Program Overview………………………………………………………………………………………..….15 Federal Match Activities Federal and Non-Federal Cost Shares Determining Reimbursement FEMA Cost Share Non-FEMA Cost Share FEMA Categories of Work Emergency Permanent FEMA Special Conditions Duplication of Benefits……………………………………………………………………………………………………..……18 An Authoritative Source Infrastructure Program Requirements………………………………………………………………………………..….19

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Eligible Activities National Objective Additional Assessments……………………………………………………………………………….…….….…….……..19 Comprehensive Risk Assessment

Resiliency Performance Standards Green Infrastructure

Major Infrastructure Projects (Covered Projects)…………………………………………..………......………21 Other Federal Requirements……………………………………………………………………………..….........……..22 Flood Insurance Davis-Bacon Act Section 3 Minority and Women Owned Business Enterprises

Accessibility Procurement

Environmental Review…………………………………………………………………………………..……........….…..26 HUD Environmental Requirements for FEMA Funded Projects Projects not using a FEMA Environmental Infrastructure Reimbursement Eligible Programs…………………………………….………..……………….27 Public Services Debris Removal and Clearance

Rehabilitation and Reconstruction of Public Facilities Roads Systems and Bridges Control Facilities Buildings, Contents, and Equipment Utilities Parks, Recreation, and Other Facilities

Program Procedures Overview…………………………………………………..…………………………..…..…...29 Lead Agency’s Responsibilities

Participating Governments’ (Partners, Special Districts, and Water Conservancy District) Responsibilities Detailed Eligibility and Compliance Review Process Collaborative Application Data System

Performing Eligible Activity Analysis………………………………………………………………………….….….31

Acquisition Relocation Public Facilities and Improvements Public Services

Clearance Interim Assistance

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Categorically Ineligible Generally Ineligible

Performing a National Objective Analysis and Check Supporting Documentation……….……33

Acquisition Relocation Public Facilities and Improvements Public Services

Clearance Interim Assistance

Duplication of Benefits Requirements……………………………………………………………………….……..37 Potential DOB Sources DOB Calculation Example

Operating Procedures…………………………………………………………………….………………………………..38 Funding Request Eligibility Calculation/Duplication of Benefits Check Funding Approval Reporting Accounting

State and HUD Reporting Requirements……………………………………………………………………………40 Monitoring, Technical Assistance, and Compliance……………………………………………………………40 Close-out Procedures…………………………………………………………………………..……………………………40 Approval and History Table

Exhibits A – June 3, 2014, Federal Register Vol. 79 B – March 5, 2013, Federal Register Vol. 78 C - November 18, 2015, Federal Register Vol. 80 D - November 16, 2011, Federal Register Vol. 76 E – BCC Resiliency Performance Plan F - BCC Citizen Participation Plan G – Davis-Bacon Labor Standards: A Contractor’s Guide to Prevailing Wage Requirements H – BCC CDBG-DR Required Bid and Contract Documents I – BCC Organization and Responsibility Chart

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I. DEFINITIONS Action Plan: The Boulder County Collaborative (BCC) completed a Partial Action Plan (PAP) for the State of Colorado, as the BCC is a sub-grantee to the State. The PAP only covers Boulder County and therefore, is referred to as a partial Action Plan. The programs outlined in the Partial Action Plan describe how BCC will use its sub-allocation to support recovery from the catastrophic Boulder County flood event (September 11th, 2013 through September 15th, 2013). The PAP also includes resiliency needs and projects to help address challenges of future climate change impacts. Boulder County Collaborative: Boulder County Colorado was identified by HUD as one of the three most impacted communities in Colorado resulting from the 2013 flood. HUD required the State, through its Federal Register Notice (78 FR 76154) published December 16, 2013 to allocate 80% of the State of Colorado’s CDBG-DR recovery funds to the three most impacted counties (i.e., Boulder, Weld, and Larimer). Boulder County and seven (7) units of local government within the County have formed a collaborative partnership to focus on strategic coordination for long-term recovery throughout the County. The State of Colorado amended its Action Plan to allow the BCC to receive a dedicated sub-allocation of CDBG-DR funds to address housing assistance and infrastructure needs. The Boulder County Collaborative (BCC) is comprised of the following eight governmental entities:

Boulder County City of Boulder

Town of Jamestown City of Lafayette

City of Longmont City of Louisville

Town of Lyons Town of Nederland

The BCC will also be administering assistance to Special Districts and Water Conservancy Districts (SD/WCD) that have eligible projects and remaining unmet need. Special Districts and Water Conservancy District:

Allenspark Fire Protection Left Hand Fire Protection

Boulder County Health Department Lyons Ditch Company

Boulder Mountain Fire Lyons Fire Protection

Boulder Valley School Niwot Sanitation

Fairways Metro Fire Pine Brook Water

Fourmile Fire Protection Sunshine Fire Protection

Gold Hill Fire Protection St. Vrain Valley School

Left Hand Water St. Vrain and Left Hand Water Conservancy

CDBG-DR Lead Agency: The City of Longmont is the administrative and fiscal agent within the BCC that is responsible for receiving, allocating, and overseeing the CDBG- DR sub-allocation grant on behalf of the BCC.

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Cost sharing: Cost sharing or matching means the portion of the costs of a federally assisted project or program not borne by the federal agency initiating the funding and is expected to be paid from State and or local government funds. Covered Project: HUD has defined the term to mean a major infrastructure project with a total cost of $50 million or more (including at least $10 million of CDBG-DR funds). This can include two or more related infrastructure projects that have a combined total cost of $50 million or more (including at least $10 million of CDBG-DR funds). Per HUD’s Federal Register Notice of June 3rd, 2014 (79 FR 31964) [EXHIBIT A], prior to funding a Covered Project, the BCC must incorporate the following elements into its Partial Action Plan via a substantial State’s Action Plan Amendment: 1) Identification/Description; 2) Use of Impact and Unmet Needs Assessment, the Comprehensive Risk Analysis, and Green Infrastructure; 3) Transparent and Inclusive Decision Processes; 4) Long-Term Efficacy and Fiscal Sustainability; and 5) Environmentally Sustainable and Innovative Investments. Documentation: All projects funded with CDBG-DR funds must obtain and maintain adequate documentation of eligibility and cost reasonableness. Duplication of Benefits: Defined by Section 312 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1974 (42 U.S.C. 5121 et seq.) (Stafford Act), a duplication of benefits occurs when: 1) a beneficiary receives assistance for a particular recovery purpose, and 2) the assistance is from multiple sources (i.e., FEMA, FHWA, insurance, and local funds), and 3) the assistance amount exceeds the need for the particular recovery purpose thus “duplicating benefits” for the same purpose. The DOB prohibition applies to federally-funded programs providing financial assistance “as a result of a major disaster or emergency.” Eligible Activity: Each funded activity must meet the HUD definition of an eligible activity as defined at 24 CFR 570.201-207. Additionally, to be an eligible activity under CDBG-DR, each program activity must tie back to the disaster event and meet at least one of the National Objectives. Environmental Review: A comprehensive analysis of the environmental issues, impacts, and performance related to activities for a project undertaken using CDBG-DR funds. The National Environmental Policy Act of 1969 (NEPA) is the basic national charter for the protection of the environment. Per the March 5, 2013 Federal Register Notice (78 FR 14329) [EXHIBIT B], HUD will allow the adoption of another federal agencies environmental review so long as the scope of work has not changed significantly from the original agencies review. When there is not another federal agency environmental review that can be adopted, the BCC will complete the environmental review in compliance with 24 CFR Part 58. Federal Emergency Management Agency (FEMA): The Federal Emergency Management Agency (“FEMA”) coordinates the federal government's role in preparing for, preventing, mitigating the effects of, responding to, and recovering from all domestic disasters, whether natural or man-made.

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FEMA Public Assistance (PA) Program: FEMA’s Public Assistance (“PA”) Grant Program provides assistance to State, Tribal and local governments, and certain types of Private Nonprofit organizations so that communities can quickly respond to and recover from major disasters or emergencies declared by the President. Through the PA Program for the Boulder County Collaborative, FEMA provides supplemental federal disaster grant assistance for debris removal, emergency protective measures, and the repair, replacement, or restoration of disaster-damaged, publicly owned facilities. The PA Program also encourages protection of these damaged facilities from future events by providing assistance for hazard mitigation measures during the recovery process. The federal share of assistance is not less than 75% of the eligible cost for emergency measures and permanent restoration. Federal Highway Administration (FHWA): Congress authorized in Title 23, United States Code, Section 125, a special program from the Highway Trust Fund for the repair or reconstruction of Federal-aid highways and roads on Federal lands which have suffered serious damage as a result of (1) natural disasters or (2) catastrophic failures from an external cause. This program, commonly referred to as the emergency relief or ER program, supplements the commitment of resources by States, their political subdivisions, or other Federal agencies to help pay for unusually heavy expenses resulting from extraordinary conditions. Grant: An award of financial assistance, in the form of money, by the federal government to an eligible grantee with no expectation that the funds will be paid back. Sub-Grantee: The eligible sub-recipient of the CDBG-DR grantee. Specifically, the State of Colorado is the grantee and Boulder County Collaborative is the sub-grantee. Global Match: The BCC will use CDBG-DR funds to provide the local cost share for HMGP projects funded by FEMA. When the cost share is based on an aggregated universe of FEMA HMGP projects, then the match for that universe is a Global Match. Green Infrastructure: Per the June 3rd, 2014 Federal Register notice (79 FR 31964), green infrastructure is defined as “the integration of natural systems and processes, or engineered systems that mimic natural systems and processes, into investments in resilient infrastructure. Green infrastructure takes advantage of the services and natural defenses provided by land and water systems such as wetlands, natural areas, vegetation, sand dunes, and forests, while contributing to the health and quality of life of those in recovering communities.” Individual Match: The BCC will use CDBG-DR funds to provide the local cost share for Public Assistance projects (PA) funded by FEMA. When the cost share is paid on an individual project worksheet, then the match is an Individual Match. Infrastructure program: One of the two major program categories in the Boulder County Collaborative CDBG-DR Partial Action Plan which incorporates program activities in the areas of repair or replacement of public facilities, parks, roads, and streams or matching funds for FEMA PA.

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Lead Agency (LA): The City of Longmont is the Lead Agency within the Boulder County Collaborative that has administrative and fiscal responsibility for the CDBG-DR sub-allocation. Low-and Moderate-Income Area (“LMA”) Benefit: Per CDBG regulations, an area benefit is an activity which is available to benefit all the residents of an area which is primarily residential. In order to qualify as addressing the national objective of benefit to L/M income persons on an area basis, an activity must meet the identified needs of L/M income persons residing in an area where at least 51% of the residents are L/M income persons. The benefits of this type of activity are available to all residents in the area regardless of income. Low-and moderate-income person (“LMI”): Per CDBG regulations, a person is considered to be of low income only if he or she is a member of a household whose income would qualify as “low-to-moderate income" under the Section 8 Housing Assistance Payments program. CDBG moderate income relies on Section 8 "lower income" limits, which are tied to 80% or less of area median. National Objective: Each activity must meet one of the following national objectives for the program: 1) benefit low-and moderate-income persons, 2) prevention or elimination of slums or blight, or 3) address community development needs having a particular urgency because existing conditions pose a serious and immediate threat to the health or welfare of the community for which other funding is not available. Project Worksheet (“PW” – FEMA Form 90-91): The Project Worksheet is a tool used by FEMA to develop projects and is the grant award instrument for Public Assistance program funding. Public Services Cap: The total amount of CDBG-DR funds expended for public services activities must not exceed 15 percent of the BCC’s allocation of funds. Stafford Act: The Robert T. Stafford Disaster Relief and Emergency Act (“Stafford Act”) (42 U.S.C. §5121 et seq.) as amended, authorizes financial and other forms of assistance to the State and local governments and certain Private Nonprofit organizations to support response, recovery, and mitigation efforts following major disasters and emergencies declared for the State of Colorado and Boulder County by the President of the United States. The Stafford Act describes the declaration process, the types and extent of assistance that may be provided, and fundamental eligibility requirements. Sub-Allocation for Boulder County: The Boulder County Collaborative is authorized to receive a sub-allocation of CDBG-DR funds from the State of Colorado. A sub-allocation is a lump sum of CDBG-DR funds given to Boulder County based on its Unmet Needs Assessment. The sub-allocation is to be divided amount the BCC’s partners based on the results of the assessment and the method of distribution described in the BCC’s Partial Action Plan. U.S. Department of Housing and Urban Development (“HUD”): HUD is the federal agency responsible for obligating and disbursing the CDBG-DR funds as well as monitoring grantees. HUD’s stated mission is “to create strong, sustainable, inclusive communities and quality affordable homes for all”. HUD is working to strengthen the housing market to bolster the economy and protect consumers; meet the need for quality affordable rental homes: utilize

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housing as a platform for improving quality of life; build inclusive and sustainable communities free from discrimination; and transform the way HUD does business.”

II. COLLABORATIVE PARTNERS, SPECIAL DISTRICTS, and OTHER AGENCIES

Boulder County and the seven (7) units of local government within the county have formed a collaborative partnership (Collaborative) among its communities with a focus on strategic coordination for long-term recovery. 1. The Boulder County Collaborative (BCC) is comprised of the following eight (8) Participating

Governmental Entities: Boulder County City of Boulder

Town of Jamestown City of Lafayette

City of Longmont City of Louisville

Town of Lyons Town of Nederland

2. Special Districts and Water Conservancy District:

Allenspark Fire Protection Left Hand Fire Protection

Boulder County Health Department Lyons Ditch Company

Boulder Mountain Fire Lyons Fire Protection

Boulder Valley School Niwot Sanitation

Fairways Metro Fire Pine Brook Water

Fourmile Fire Protection Sunshine Fire Protection

Gold Hill Fire Protection St. Vrain Valley School

Left Hand Water St. Vrain and Left Hand Water Conservancy

3. List of Programs and Other Agencies:

CDBG-DR Community Development Block Grant – Disaster Recovery

CDOT Colorado Department of Transportation

DOLA Colorado Department of Local Affairs

DHSEM Colorado Department of Homeland Security Emergency Management

EDA U.S. Economic Development Administration

FEMA U.S. Federal Emergency Management Agency

FHWA Federal Highway Administration

HUD U. S. Department of Housing and Urban Development

NFIP National Flood Insurance Program

USACE United States Army Corps of Engineers

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III. PURPOSE AND OBJECTIVES The purpose of the Infrastructure program is to fund and/or reimburse the Boulder County Collaborative (BCC) partners and Special Districts/Water Conservation District (SD/WCD) for funds expended or to be spent, for repair or replacement of public facilities, as a result of the 2013 flood impacts including hazard mitigation, and resiliency measures. Authority to use Community Development Block Grant Disaster Recovery (CDBG-DR) funds to reimburse eligible flood related infrastructure costs are contained in the March 5, 2013 Federal Register (78 FR 14329) and the June 3, 2014 Federal Register (79 FR 31964) in compliance with 24 CFR 570.200(h) for pre-award costs. The Boulder County Collaborative Lead Agency (LA) will administer the infrastructure program in coordination with the BCC partners and SD/WCD. The program’s objective is to identify CDBG-DR eligible activities which meet national objectives that are eligible under the sub-allocation grant program. CDBG-DR reimbursement money will be based on expenditures not covered by FEMA, other federal agencies, insurance, or other resources. Under the CDBG-DR guidelines, these funds will be used for eligible activities including public services, emergency clearance and demolition, debris removal and clearance, and public facilities, roads, bridges, water/sewer, parks, and greenways. All of the activities identified herein are compliant with CDBG National Objectives per 24 CFR 570.208 and CDBG Eligible Activities per 24 CFR570.201 through 570.207. All eligible activities occurred on or after September 11th, 2013. Expenditures to be reimbursed must be CDBG-DR-eligible activities that include, but are not limited to:

• FEMA Public Assistance (PA) and Hazard Mitigation Grant Program (HMGP) Match

• Federal Highway Administration (FHWA) • Federal Economic Development Administration (EDA) • Repair or replacement of roads, bridges, and public facilities.

IV. PROGRAM ALLOCATION AND ADMINSTRATION

1. Funding Appropriation On June 3, 2014, the U.S. Department of Housing and Urban Development (“HUD”) announced the second round of allocations from the Disaster Relief Appropriations Act (P.L. 113-02). HUD allocated the amount of $199,300,000 in CDBG-DR funds to the State of Colorado in order to address the most urgent housing, business, infrastructure, and resilience needs in the neighborhoods hardest hit by the floods. This second allocation was announced in the Federal Register Notice on June 3, 2014 (79 FR 31964) with the purpose of assisting recovery in the most impacted and distressed areas declared a major disaster in 2013 as per Title IV of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.). The Appropriations Act requires funds to be used only for specific disaster-related purposes. Of the $199,300,000 that the State was allocated in the second tranche, $46,416,338 has been sub-allocated to Boulder County for infrastructure and housing assistance programs.

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The BCC’s Intergovernmental Agreement outlines the principles for the management and distribution of CDBG-DR funds. The funding amounts between housing and infrastructure have been determined by the BCC after careful consideration of the needs of the Participating Entities (i.e., the BCC members). The Collaborative has reviewed the countywide Unmet Needs Assessment and set the percentage of total dollars to be set-aside for Infrastructure and for Household Assistance projects based on the BCC Unmet Needs Assessment completed in March 2015. On July 1st, 2015, Boulder County Collaborative submitted its Partial Action Plan to the State of Colorado for approval. The Collaborative Partial Action Plan outlined the eligible activities for which these dollars would be allocated. HUD approved the BCC Partial Action Plan on December 2nd, 2015. The City’s allocated CDBG-DR funds through the first four amendments are as follows: Table 1: Allocation of Funds by Category

PROGRAM ALLOCATION BCC’s PARTIAL ACTION PLAN

PROGRAM NAME CDBG-DR SUB-ALLOCATIONS Housing $9,603,969

Infrastructure $35,460,437

General Administration $1,351,932

TOTAL $46,414,338 All approved Partial Action Plan is viewable on Boulder County Collaborative CDBG-DR’s webpage: www.bccollaborative.org. 2. Infrastructure and Public Facilities Program After reviewing the unmet needs of the county, the Collaborative agreed to set aside $35,460,437 (78.5%) of the $46,416,338 allocated to Boulder County by the State for the purpose of Infrastructure projects. Activities falling under the Infrastructure Programs include:

• Minimum Threshold Projects • Priority Infrastructure Projects • Buyout/Acquisition

Each of these activities identifies an estimated amount of funding to be expended. As funds are expended, there may be adjustments to the funding based on prioritizing LMI projects.

2.1 Priority Minimum Threshold Projects: Each Participating Entity and the Special Districts/Water Conservancy District (as one group), will receive $250,000 to use as a match for FEMA and other federally funded Public Assistance projects or for other high priority Infrastructure projects that are determined to be CDBG-DR eligible. Minimum Threshold projects are targeted to FEMA Public Assistance projects that were obligated by FEMA prior to June 9, 2014. The reason

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this activity is classified as “minimum threshold” is because the Notice provides an exception for FEMA match projects that were obligated by FEMA prior to the June 9th “effective date” of the Federal Register Notice (79 FR 31964) announcing the State of Colorado’s second allocation of CDBG-DR funds.

The Notice states the following: “The following guidance and criteria are applicable to all infrastructure programs and projects…. However, projects scheduled to receive funding through FEMA’s Public Assistance Grant Program, and for which funds have been obligated by FEMA on or before the effective date of this Notice, are not subject to these requirements.” (79 FR 31964)

The exempted requirements that are waived include:

• Comprehensive risk analysis; • Resiliency performance standards; • Green infrastructure projects or activities; and • All additional criteria pertaining to Covered Projects (i.e., a project with a

total cost of $50 million or more and at least $10 million is CDBG-DR, or a project physically located in two counties).

2.2 Priority Infrastructure Projects: The remaining funds of $35,210,437 will be allocated to CDBG-DR-eligible infrastructure projects submitted by Participating Entities to the Collaborative. Each Participating Entity will be asked to submit to the Committee an application for their highest-priority infrastructure projects or remaining federal match projects. The Collaborative will review priority applications for CDBG-DR eligibility and other CDBG-DR requirements.

2.3 Buyout and Acquisition for Open Space: Housing that is located within a floodway or a floodplain may be purchased as a “buyout” activity intended to reduce risk of future flood impacts to homeowners. Once housing is purchased through the buyout program, the property must be cleared of all structures and placed into open space for perpetuity. In Boulder County, high risk housing is also located in areas that are not in a mapped floodplain or are at high risk of flood, landslide, mudslide, or pose other health/safety issues. Per HUD’s Federal Register Notice of November 18th, 2015 (80 FR 71934) [EXHIBIT C] The properties may also be purchased as an acquisition activity under this funding category.

V. PRIORITIZATION AND FUNDING The Boulder County Collaborative is allocating $35,210,437 for infrastructure programs. Damage to infrastructure throughout Boulder County is currently estimated as having an unmet need of over $500 million dollars. The unmet need as determined by the Boulder County Unmet Needs Assessment is related to the local cost share each community must pay to match the other federal funding assistance such as FEMA and FHWA awards and to cover infrastructure projects that did not receive sources of other federal assistance. Due to the fact that there is only $35,210,437 of CDBG-DR funds available to assist these projects, it was necessary for each community to prioritize their infrastructure projects. The Collaborative allowed each community

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to determine their highest priority projects. Each project identified by the community partners will be reviewed first for eligibility for CDBG-DR funding assistance and then once determined eligible will be reviewed to determine the national objective that will be met by the activity. As 50% of the overall sub-allocation must benefit LMI households, the Collaborative is taking the following approach to ensure that this requirement is met. If there is sufficient funding and the overall low-to-moderate income requirement can be met, first priority projects will be approved. If the low-to-moderate income requirement cannot be met and/or monies are not available, the Collaborative will consider funding the second priority projects, and then third priority, and so on. Those projects that benefit low-to-moderate income residents will be given priority.

Example: Community A has been allocated up to $5 million from the sub-allocation based on portioned need to the rest of the Collaborative members. Community A has the following five projects listed by priority need. Table 2: Funding Prioritiztion

Using the Collaborative’s prioritization process, the #1 priority project would not be funded even though there are sufficient CDBG-DR funds because it does not meet an LMI national objective. Therefore, priority projects #2, #3, and #5 will be funded as these all meet the LMI national objective. Projects #1 and #4 are important projects but will not be able to be considered for funding until at least $16,903,369 of infrastructure projects meeting LMI national objectives have been met. Once this is achieved, the Collaborative will revisit the Urgent Need projects and re-prioritize funding for those projects across the Participating Entities. Upon approval by the Collaborative, the Lead Agency will send to the State a description of each project including citation for eligibility, justification of connection to the disaster, national objective, and so on as required by the March 5, 2013 Federal Register Notice (78 FR 14329). All projects will meet the additional requirements of the June 3, 2014 Federal Register Notice (79 FR 31964) discussed at the beginning of this section.

VI. GEOGRAPHIC AREAS The infrastructure programs are eligible county-wide for addressing infrastructure needs that tie back to the 2013 flood.

Activity by Priority Need

Estimated Cost

National Objective

1. Replace washed out bridge in downtown business district $ 5,000,000 Urgent Need 2.Repair impacted Fire Station for LMI neighborhood $2,500,000 Low-mod Area Benefit 3.Repair sewer line for Mobile Home Park impacted by flood $1,000,000 Low-mod Area Benefit 4. Park Department Building repair from flood impact $1,000,000 Urgent Need 5. Repair to flood damaged Senior Center $500,000 Presumed LMI Limited

Clientele

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VII. TECHNICAL ASSISTANCE If BCC partners need additional assistance to determine eligibility and National Objectives, duplication of benefits, grant award, file documentation, procurement compliance, and/or HUD labor requirements, the City of Longmont (BCC Lead Agency) can be contacted and these consultant services will be provided. Partners can request technical assistance (TA) and/or training on all aspects of the CDBG-DR funded activities, requirements, and compliance needs.

VIII. WORKFLOW MANAGEMENT AND DOCUMENTATION

The BCC has a cloud-based Collaborative Application Data System (CADS) to assist with the management of the CDBG-DR Sub-allocation. The system will provide an interface to input project data and upload project documentation electronically. The system will also provide a communication, task management and workflow platform to simplify the management of the CDBG-DR disaster allocation.

Functionality Currently Includes • Partner and Special District Information Management

o Contact Information for Partner and Special District Staff o Tracking Partner Budget for

250K MT Budgets Infrastructure Projects Housing Projects Project Hard Costs and Project Delivery Costs Administrative Costs

o Electronic Submission of regulatory policies

• Infrastructure Program o Project Status and Budget Tracking o Eligibility Review and Project Documentation o Low/Mod Area Benefit Calculation o Environmental/Release of Funds o Procurement o Davis Bacon

Management and electronic submission of other Davis Bacon Compliance Documentation

Capture relevant data per project Track compliance reviews and corrective actions

o Section 3 Electronic Submission of Section 3 Compliance Documents Upload payroll and interview forms Track compliance reviews and corrective actions

o Project Requisition and Draws Workflow to electronically submit project costs for draw

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o Project Progress Tracking Workflow to submit performance metrics for progress

reporting including QPR Data

• Buyout/Acquisition Program o Facilitate Document and Data Exchange

• Communication and Task Management

o Email Notifications and reminders o Task Tracking

• Davis Bacon

o Capture relevant data per project o Upload payroll and interview forms o Track compliance reviews and corrective actions

• Project Budget Management and Invoicing/Draws

o Projects tracked by budget expenditures and round of obligation o Tracks invoices and payments

• DRGR Reporting/Program Performance Reporting

o Capture data required for DRGR o Capture data to run reports on project performance

IX. INFRASTRUCTURE PROGRAM OVERVIEW 1. Federal Match Activities The CDBG-DR award amount will be based on FEMA Project Worksheets (PW) and other documentation forms that demonstrate a total amount of funds to be matched. If expenditures are not on a FEMA PW, then BCC’s documentation will be used. If BCC choses to award CDBG-DR funds for infrastructure or services that are not already receiving other federal funds, the BCC Partners will document the project eligibility using BCC infrastructure program forms.

2. Federal and Non-Federal Cost Shares The cost share reimbursement for infrastructure programs will cover the CDBG-DR-eligible unmet needs not already reimbursed by FEMA. While generally there is a prohibition on the use of federal funds as a “match,” section 105(a)(9) of the Housing and Community Development Act of 1974 gives a statutory exception, allowing CDBG funds to be used to pay the share of unmet needs. The FEMA Public Assistance Program provides supplemental reimbursement for the repair or restoration of the infrastructures and facilities to a pre-disaster condition after the declaration of a major disaster by the President of the United States. Traditionally, FEMA’s supplemental reimbursement in a cost sharing agreement has provided for a 75% federal share, and a 25% non- federal share basis. The State of Colorado has agreed to match at least 12.5% (and more in some of the smaller communities). BCC CDBG-DR funds will be used to cover the eligible remaining

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local share for these activities.

3. Determining Reimbursement The BCC will utilize CDBG-DR funds for the reimbursement of disaster recovery expenses as subject to the provisions of the March 5, 2013 Federal Register Notice (78 FR 14329) for post-disaster expenses and the provisions of 24 CFR 570.200(h) for the reimbursement of costs prior to the execution of a grant agreement with HUD.

4. FEMA Categories of Work

To facilitate the processing of Public Assistance Program grants, FEMA has divided disaster related activities into seven Categories of Work. These categories are listed below. Please note that activities eligible for funding under FEMA may not be eligible under CDBG-DR requirements, and vice versa.

Emergency Work Category A: Debris Removal Clearance of trees and woody debris; building wreckage; sand, mud, silt, and gravel; vehicles; and other disaster related material deposited on public and, in very limited cases, private property. Category B: Emergency Protective Measures Measures taken before, during, and after a disaster to save lives, protect public health and safety, and protect improved public and private property. [Note that for CDBG-DR, measures taken before the incident date of September 11th, 2013 are not eligible for funding].

Permanent Work Category C: Roads and Bridges Repair of roads, bridges, and associated features, such as shoulders, ditches, culverts, lighting and signs.

Category D: Water Control Facilities Repair of irrigation systems, drainage channels, and pumping facilities. Repair of levees, dams, and flood control channels fall under Category D, but the eligibility of these facilities is restricted. Category E: Buildings and Equipment Repair or replacement of buildings, including their contents and systems; heavy equipment; and vehicles. Category F: Utilities Repair of water treatment and delivery systems; power generation facilities and distribution lines; and sewage collection and treatment facilities. Category G: Parks, Recreational Facilities, and Other Items

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Repair and restoration of parks, playgrounds, pools, cemeteries, and beaches. This category also is used for any work or facility that cannot be characterized adequately by Categories A-F.

5. FEMA Special Conditions The term “special considerations” is used by FEMA to describe issues other than program eligibility that could affect the scope of work and funding for a project. These issues include insurance, hazard mitigation measures, and compliance with other federal laws and regulations, such as those pertaining to environmental protection and historic preservation. Completion of Special Considerations is the FEMA equivalent of the HUD duplication of benefits (DOB) review and environmental review. In completing the FEMA special considerations, the following questions are on the Project Worksheet:

Insurance: Does the damaged facility or item of work have insurance and/or is it an insurable risk? (e.g., buildings, vehicles, etc.) Floodplain: Is the damaged facility located within a floodplain or coastal high hazard are, or does it have an impact on a floodplain or wetland? Coastal Barrier: Is the damaged facility or item of work located within or adjacent to a Coastal Barrier Resources System Unit or an Otherwise Protected Area? Environmental Impact: Will the proposed facility repairs/reconstruction change the pre-disaster condition (e.g. footprint, location, capacity, use or function)? Hazard Mitigation: Does the applicant have a hazard mitigation proposal or would the applicant like technical assistance for a hazard mitigation proposal? Historic Preservation: Is the damaged facility on the National register of Historic Places or the state historic listing? Is it older than 50 years? Are there more, similar buildings near the site? Historic properties may not be obvious to the casual observer, and may include districts, buildings, structures, objects, landscapes, archeological sites, and traditional cultural properties that are included in, or eligible for inclusion in, the National Registers of Historic Places. These are not just old buildings or well-known historic sites, but places important in local, State, or national history. Facilities as diverse as bridges and water treatment plants may be considered historic. Pristine or Natural Areas: Are there any pristine or undisturbed areas on, or near, the project site? Are there large tracts of forestland? Hazardous Materials: Are there any hazardous materials at or adjacent to the damaged facility and/or item of work?

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Controversy: Are there any other known environmental or controversial issues associated with the damaged facility and/or item of work? It is always the responsibility of the partners and special districts to obtain the necessary work permits prior to beginning any repair or reconstruction work. In State of Colorado, agencies that could have a role in issuing the various permits include (but are not limited to) the following:

• Colorado Department of Transportation (CDOT) • Federal Highway Administration (FHWA) • U.S. Environmental Protection Agency (EPA) • Federal Emergency Management Agency (FEMA) • U.S. Army Corp of Engineers (USACE) • U.S. Fish and Wildlife Service (USFWS) • U.S. Department of Economic Administration (USEDA) • U.S. Department of Agriculture (USDA) • Federal Highway Administration (FHWA) • Natural Resource Conservation Services (NRCS)

Regarding the environmental impact, per the Hurricane Sandy Supplemental Appropriation (H.R. 152), HUD grantees are permitted to adopt environmental reviews performed by other federal agencies when the HUD grantee is providing supplemental assistance through CDBG-DR. Therefore, HUD is allowing FEMA-funded projects that have received an environmental review clearance to receive HUD environmental clearance. However, improvements not funded by FEMA will need their own environmental review. 6. Duplication of Benefits Under CDBG-DR regulations, HUD prohibits program recipients from receiving any duplication of benefits (“DOB”) from other funding sources. These requirements are based on the following:

Authoritative Sources Two authorities form the foundation of duplication of benefit inquiries:

• Robert T. Stafford Disaster Relief Emergency Assistance Act (24 U.S.C. 5121-5207) as amended (“Stafford Act"). The Stafford Act prohibits any “person, business concern or other entity” from receiving federal assistance “to the extent such assistance duplicates benefit available to the person for the same purpose from another source.”

• Necessary and Reasonable Cost Principles. Cost principles applicable to all CDBG-DR grantees require that costs are necessary and reasonable. These federal cost principles are described in 24 CFR part 570.

• HUD provides duplication of benefit clarification and guidance in the following

documents: o HUD’s November 16, 2011, Federal Register Notice (76 FR 71060)

[EXHIBIT D] entitled Clarification on Duplication of Benefits

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Requirements Under the Stafford Act for Community Development Block Grant (CDBG) Disaster Recovery Grantees.

o HUD’s March 5, 2013, Federal Register Notice entitled Allocations, Common Application, Waivers, and Alternative Requirements for Grantees Receiving Community Development Block Grant (CDBG) Disaster Recovery Funds in Response to Hurricane Sandy (78 FR 14329).

X. INFRASTRUCTURE PROGRAM REQUIREMENTS 1. Eligible Activities All activities to be funded by the Infrastructure Program must be an eligible CDBG-DR activity that meets a national objective. The eligible activities are listed in 24 CFR 570.201 through 24 CFR 570.207. Infrastructure projects will only include eligible activities.

2. National Objectives All eligible activities using CDBG-DR funds must meet at least one National Objective as defined by HUD. The three National Objectives are:

• Benefiting Low- and Moderate-Income persons; • Prevent or eliminate Slums and Blight; and • Meet an Urgent Need.

A detailed chart is below:

3. Additional Assessments All infrastructure projects that will be funded under the second and third allocation notices must meet additional requirements as stated in the June 3, 2014 Federal Register (79 FR 31964). All infrastructure projects (except for one exception which is explained above in the Priority Minimum Threshold Program section) must meet the following three requirements:

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• Comprehensive Risk Analysis • Resiliency Performance Standards • Identification of Green Infrastructure Components

3.1 Comprehensive Risk Assessment In accordance with the requirements included in the June 3, 2014 Federal Register (79 FR 31964), the Boulder County Collaborative “must describe the science-based risk analysis it has or will employ to select, prioritize, implement, and maintain infrastructure projects or activities” and the analysis “must consider a broad range of information and best available data, including forward-looking analyses of risks to infrastructure sectors from climate change and other hazards…” If and when it becomes available, the Boulder County Collaborative will use the State’s Comprehensive Risk Analysis tool to satisfy the above requirement. The State provided the following description of the tool and its use in the Action Plan Substantial Amendment #1, approved by HUD on November 3, 2014:

“The Comprehensive Risk Analysis tool will use existing plans and studies developed at the State and Local level to identify weighted scoring criteria to assess risks to disaster impacted areas, and the impact that future risks from natural hazards and changes in climate might have on infrastructure project proposals. The tool will be available to evaluate risks to specific infrastructure projects by February 1, 2015. Inputs to the Comprehensive Risk Analysis tool will include:

• 2013 State of Colorado Natural Hazards Mitigation Plan • Flood Hazard Mitigation Plan for Colorado • Local technical hazard information, relevant to assess site-specific risk • National Climate Assessment • Climate Change in Colorado Report (2014): This report builds on the National Climate

Assessment and identifies trends and impacts specific to Colorado • Local Hazard Mitigation Plans”

As of March 2016, this tool is not yet available. In the meantime, the Boulder County Collaborative will rely on the Boulder County Multi-Hazard Mitigation Plan (2015) and/or the Colorado Resiliency Framework (2015), as applicable depending on project type, to satisfy the risk analysis requirement for each project. The Multi-Hazard Mitigation Plan may be the best source for a FEMA-match project to rely on, as it is approved by FEMA and is based on local hazard assessments. The Colorado Resiliency Framework updates and synthesizes the work of several of the sources listed in the State’s Action Plan Substantial Amendment #1, and a future Comprehensive Risk Analysis tool would be structured around its analysis. 3.2 Resilience Performance Standards The Boulder County Collaborative (BCC) has been given a grant through the City of Longmont to develop county-wide Resilience Performance Standards for infrastructure. BCC has developed a Resilience Performance Standards plan that will guide evaluation of county-wide infrastructure projects [Exhibit E].

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The State has identified the following resiliency project prioritization criteria that were included in the Colorado Resiliency Framework, and that BCC used as a basis and adapted to be able to assess infrastructure projects against a Resilient Design Performance Standard:

• Co-Benefits: Provide solutions that address problems across multiple sectors creating maximum benefit.

• High Risk and Vulnerability: Ensure that strategies directly address the reduction of risk to human well-being, physical infrastructure, and natural systems.

• Economic Benefit-Cost: Make good financial investments that have the potential for economic benefit to the investor and the broader community both through direct and indirect returns.

• Social Equity: Provide solutions that are inclusive with consideration to populations that are often most fragile and vulnerable to sudden impacts due to their continual state of stress.

• Technical Soundness: Identify solutions that reflect best practices that have been tested and proven to work in similar regional context.

• Innovation: Advance new approaches and techniques that will encourage continual improvement and advancement of best practices serving as models for others in Colorado and beyond.

• Adaptive Capacity: Include flexible and adaptable measures that consider future unknowns of changing climate, economic, and social conditions.

• Harmonize with Existing Activity: Expand, enhance, or leverage work being done to build on existing efforts.

• Long-Term and Lasting Impact: Create long-term gains to the community with solutions that are replicable and sustainable, creating benefit for present and future generations.

3.3 Green Infrastructure: Green Infrastructure as defined by the June 3, 2014 Federal Register (79 FR 31964) is “the integration of natural systems and processes, or engineered systems that mimic natural systems and processes, into investments in resilient infrastructure”. HUD’s notice explains that green infrastructure takes advantage of natural defenses provided by land and water systems such as wetlands, natural areas, vegetation, sand dunes, floodplains and forests, while contributing to the health and quality of life of those in recovery communities. These features have been built into the resilience performance standards to enhance Boulder County’s climate resilience strategy.

4. Major Infrastructure Projects (also called “Covered Projects”) Per the June 3, 2014 Federal Register (79 FR 31967), “an infrastructure project is defined as an activity, or a group of related activities, designed by the grantee to accomplish, in whole or in part, a specific objective related to critical infrastructure sectors such as energy, communications, water and wastewater systems, and transportation, as well as other support measures such as flood control.” Furthermore, “a grantee must group together and evaluate as a single infrastructure project all individual activities which are related to one another, either on a

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geographical or functional basis, or are logical parts of a composite of contemplated infrastructure- related actions.” In the second allocation Federal Register Notice, published on June 3, 2014, HUD established a number of additional requirements for major infrastructure projects. Among those requirements is requisite HUD approval for each major infrastructure project, “with such projects defined as having a total cost of $50 million or more (including at least $10 million of CDBG-DR funds).” The Notice also includes “two or more related infrastructure projects that have a combined total cost of $50 million a major infrastructure projects (including at least $10 million of CDBG-DR funds)” as a major infrastructure project. The projects identified above are referred to as Covered Projects. All Covered Projects must be identified in the Collaborative Partial Action Plan with the following five elements:

• Identification/Description of estimated total project costs, sources of all funding for the project, CDBG eligibility, national objective and connection to the disaster.

• Use of Impact and Unmet Needs Assessment and the Comprehensive Risk Analysis to describe how the Covered Project is supported by the grantees updated needs assessment as well as the comprehensive risk assessment. Also how the Covered Project addresses the risks, gaps, and vulnerabilities in the region.

• Transparent and Inclusive Decision Processes must be described and how they were used in the selection of the Covered Project.

• Long-Term Efficacy and Fiscal Sustainability must be described and how the project will be monitored to evaluate efficacy and sustainability.

• Environmentally Sustainable and Innovative Investments must be described and must align with the President’s Climate Action Plan.

Currently, the Boulder County Collaborative has not identified an infrastructure project whose scope triggers the Covered Project requirements, but if such a project or projects are identified it will follow the process laid out in the Notice to amend the Collaborative Partial Action Plan and/or the State’s Action Plan through the substantial amendment process. If the project is a Covered Project because it is physically located in two counties, both counties will meet to agree on scope and responsibilities and jointly hold public hearings as described in the Citizen Participation Plan [EXHIBIT F]. All Partial Action Plan Amendments that propose Covered Projects are subject to State and HUD approval. In the course of reviewing the Partial Action Plan Amendments, HUD will closely consider whether BCC’s Covered Projects meet the five criteria outlined above, in addition to the other requirements outlined in the June 3 Notice.

5. Other Federal Requirements Below is a list of other federal requirements applicable to the CDBG-DR grant.

5.1 Flood Insurance Owners of HUD-assisted properties that are located within Special Flood Hazard Areas (SFHA) must purchase and maintain flood insurance protection as a condition of approval

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of any HUD financial assistance for proposed property acquisition, rehabilitation, conversion, repair or construction. Per 24 CFR 58.6(a)(1):

“Under the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-4128), Federal financial assistance for acquisition and construction purposes (including rehabilitation) may not be used in an area identified by FEMA as having special flood hazards, unless:

(i) The community in which the area is situated is participating in the National Flood Insurance Program (see 44 CFR parts 59 through 79), or less than one year has passed since the FEMA notification regarding such hazards; and (ii) Where the community is participating in the National Flood Insurance Program, flood insurance protection is to be obtained as a condition of the approval of financial assistance to the property owner.” The Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) as amended by the National Flood Insurance Reform Act of 1994 (Pub.L. 103-325, 108 Stat. 2160) prescribes the duration and dollar amount of flood insurance under Sections 3 and 102 of the Act. Section 582(c) of the Community Development and Regulatory Improvement Act of 1994 mandates that "...The requirement of maintaining flood insurance shall apply during the life of the property, regardless of transfer of ownership of such property" (42 U.S.C. 5154a).

The Boulder County Collaborative “cannot avail itself of a self-insured status for the purposes of satisfying the ‘obtain and maintain’ insurance requirements of the Stafford Act’s PA Program” per FEMA directive.

CDBG carries the same “obtain and maintain” insurance requirements as FEMA. If previously assisted with any federal funds where obtaining and maintaining insurance was mandated, then not complying with that requirement also precludes the use of CDBG assistance.

5.2 Davis-Bacon Act

• The Davis-Bacon Act applies to all construction contracts over $2,000.00 involving CDBG-DR funds. It requires that workers be paid at least minimum wages established by the Department of Labor. Reference: 29 CFR Parts 1, 3, 5, 6, & 7

• All Requests for Proposals/Bids for construction work over $2000 or for housing containing 8 units or more must include a requirement for compliance with Davis Bacon and the most current wage determination based on type of construction.

• All contracts subject to Davis-Bacon must contain standard clauses on requirements.

• A preconstruction conference must be held to review requirements with contractor.

• Prime or general contractor is responsible for full compliance and must flow down the wage requirements to lower tier subcontractors. [Exhibit G: Contractor’s Guide to Davis Bacon]

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• Contract administrator enforces requirements and provides information to contractor.

• Infrastructure program activities must also adhere to the following: 1. Contract Work Hours & Safety Standards Act: Workers shall not work

more than 40 hours/week unless they get overtime and projects must comply with the safety standards. Reference: 40 U.S.C. Chapter 47.

2. Copeland Anti-Kickback Act: Requires payment once a week and only permissible payroll deductions. The weekly payroll requirement applies to all contractors and subcontractors on construction projects that are over $2,000. The weekly payroll requirement does not apply to any City employees (they are considered “force account” labor and this does not apply). Reference: 40 U.S.C. §3145 and 18 U.S.C. §874.

3. Fair Labor Standards Act: Federal minimum wage and overtime requirements. Reference: 29 CFR Parts 510 to 794

5.3 Section 3 Section 3 is a provision of the Housing and Urban Development Act of 1968. The purpose of Section 3 to ensure that employment and contracting opportunities generated by certain HUD financial assistance shall, to the greatest extent feasible, and consistent with existing Federal, State and local laws and regulations, be directed to low- and very low income persons, particularly those who are recipients of government assistance for housing, and to business concerns which provide economic opportunities to low- and very low-income persons regardless of race and/or gender. Section 3 is intended to ensure that when employment or contracting opportunities are generated from CDBG-DR funds, preference should be given to low- and very low-income persons or business concerns residing in the community where the project is located.

Section 3 differs from the Minority Business Enterprise/Women Business Enterprise programs in that it’s both race and gender neutral. A Section 3 resident is defined as: 1) a public housing resident; or 2) a low- or very low-income person residing in the metropolitan area or Non-Metropolitan County where the Section 3 covered assistance is expended. Reference: 24 CFR 135 BCC projects that must comply with Section 3 will have the appropriate Section 3 reporting forms. Forms will be provided to contractors required to comply Section 3 These forms must be provided with the Lead Agency as required.

5.4 Minority & Women-Owned Business Enterprises (MWBE) Reporting HUD Form 2516 is used to report the awarding of contracts and subcontracts funded in whole or in part with CDBG-DR funds. Contracts and subcontracts awarded to non-MWBE contractors should be reported as well as those awarded to MWBE. HUD also requires that contracts awarded to not-for-profit organizations be reported on this form. A not-for-profit is considered an MWBE if "management and daily business operations are controlled by one or more members of the specified minority groups or by a board of directors consisting predominantly (51%) of members of these groups." Contracts are reported quarterly.

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BCC Lead Agency is responsible for collecting HUD Form 2516, reviewing the forms for accuracy, and submitting the forms to the State. Files regarding the MWBE process are located on BCC’s Sales Force within the project closeout folder. Files include: HUD Form 2516 and instructions for the agencies on how to complete HUD Form 2516.

5.5 Accessibility Infrastructure program activities must adhere to three regulations:

• Architectural Barriers Act: The Architectural Barriers Act (“ABA”) requires that buildings and facilities that are designed, constructed, or altered with federal funds, or leased by a federal agency, comply with federal standards for physical accessibility. ABA requirements are limited to architectural standards in new and altered buildings and in newly leased facilities. Reference: 42U.S.C. §§ 4151 et seq.

• Americans with Disabilities Act: The Americans with Disabilities Act (“ADA”) prohibits discrimination on the basis of disability in employment, State and local government, public accommodations, commercial facilities, transportation, and telecommunications. It also applies to the United States Congress. Reference: 42 U.S.C. 12101 et seq.

• Section 504: Section 504 states that "no qualified individual with a disability in the United States shall be excluded from, denied the benefits of, or be subjected to discrimination under" any program, service, or activity that either receives federal financial assistance or under any program or activity conducted by any Executive agency. Reference: 29 U.S.C. §794

5.6 Procurement The BCC partners will be required to follow HUD procurement requirements found at 24 CFR Part 85.36 and also included in 2 CFR 200.320 (Super Circular). These requirements include methods for procurement including:

• Small Purchases (less than $150,000); • Sealed Bids (formal advertising); • Competitive Proposals (professional services, architects, and engineers); and • Non-competitive proposals.

All procured contracts must have a cost/price analysis and cost plus a percentage of cost contracts cannot be used for CDBG-DR funded projects.

This is a federally funded project. The contractor and subcontractors cannot be on the federal debarment list and must comply with HUD procurement provisions in CFR 24 Part 85.36, Equal Employment Opportunity requirements, the Copeland “Anti-Kickback” Act, the Davis-Bacon Act, Contract Work Hours and Safety Standards Act, Section 3 of the Housing and Urban Development Act and other requirements as set forth in the bid documents. Minority and Women Owned Business Enterprises and Section 3 Business Concerns seeking bid opportunities under this project are encouraged to respond.

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BCC CDBG-DR required bid and contract documents [EXHIBIT H] must be included as an attachment, expressly made a part of, and incorporated by reference to all bids and contract agreements. The packet contains general conditions for use with procurement contract and subrecipient agreements that are funded in whole or in part by the U.S. Department of Housing and Urban Development (“HUD”) under Title I of the Housing and Community Development Act of 1974 (Pub. L. 93-383) as amended.

XI. ENVIRONMENTAL REVIEW 1. Environmental Review and Clearance

All activities funded with CDBG-DR funds require an environmental review and a release of funds. The regulations for meeting HUD’s environmental review requirements can be found at 24 CFR Part 58 (or paragraph A.20 under section VI of 78 FR 14329, effective date March 11, 2013). The Collaborative will use CDBG-DR funds as part of either the non-federal share for infrastructure activities utilizing FEMA Public Assistance or other CDBG-DR-eligible activities. BCC will adopt FEMA’s environmental reviews for eligible projects per (78 FR 14343), which states: “In accordance with the Appropriations Act, recipients of federal funds that use such funds to supplement federal assistance provided under sections 402, 403, 404, 406, 407, or 502 of the Stafford Act may adopt, without review or public comment, any environmental review, approval, or permit performed by a federal agency, and such adoption shall satisfy the responsibilities of the recipient with respect to such environmental review, approval, or permit that is required by the HCD Act. The grantee must notify HUD in writing of its decision to adopt another agency’s environmental review. The grantee must retain a copy of the review in the grantee’s environmental records.” If no FEMA environmental review was done, then BCC will complete the appropriate level of review and clearance per 24 CFR Part 58.

1.1 HUD Environmental Requirements for FEMA-Funded Projects In an attempt to expedite CDBG-DR funded projects, HUD is allowing FEMA-funded projects that have already undergone a FEMA environmental review to receive HUD environmental clearance. The HUD notice states that the environmental review required by FEMA will be acceptable for use in meeting the HUD environmental review requirements for CDBG-DR eligibility. Please note this only applies if such projects go through FEMA processing. The HUD notice explains the following:

• If another federal agency [such as FEMA] conducts an environmental review under sections 402, 403, 404, 406, 407, or 502 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, then HUD will accept this review and will not require public comment.

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• To verify completed reviews, the Collaborative “must obtain a completed electronic or paper copy of the federal agency’s review and retain a copy in its [CDBG-DR] environmental records.”

• The completed environmental review “must cover all project actions” and if the project now being funded with CDBG-DR “exceeds the scope of the agency’s review, a new [HUD] review must be performed.”

• After obtaining verification, the Collaborative must notify HUD via State it is using another agency’s environmental and submit a Request for Release of Funds.

• Under these provisions, the State may immediately release funds without holding for the typical 15-day comment period.

To verify a FEMA environmental review, please discuss with an agency’s FEMA liaison (Colorado Division of Homeland Security and Emergency Management – DHSEM and/or by referring to obligated or draft PWs for such projects. BCC will review all FEMA environmental reviews for identified projects. For all CDBG-DR projects the environmental requirements must be met before the release of funds. Part 58 of Title 24 details the “Limitations on activities pending clearance” (24 CFR 58.22). 1.2 Projects Not Using a FEMA Environmental If the scope of work for FEMA does not cover the scope identified by CDBD-DR funds, then a complete environmental assessment needs to be completed per HUD guidelines at 24 CFR 58.40. BCC’s Environmental Specialist will review all environmental reviews and advise on an additional environmental review that needs to be done. For projects which are not subject to FEMA application or include an expansion of the FEMA-approved activity, there can be no choice-limiting actions taken on a project for which CDBG-DR funds will be requested until the HUD CDBG-DR environmental reviews are completed, are certified by the Environmental Specialist, and a release of funds is issued.

XII. INFRASTRUCTURE REIMBURSEMENT ELIGIBLE PROGRAMS

Boulder County experienced massive infrastructure damage in September 2013 as a result of record rainfall in the foothills of the Rocky Mountains. For the purpose of this assessment, the term infrastructure is intended to include traditional infrastructure, watershed, and agricultural projects. As the water worked its way down the mountains, the volume and velocity of water rushing through the St. Vrain River, Boulder Creek, South Boulder Creek, Little Thompson, Four Mile Creek, Four Mile Canyon Creek, Gold Run, and Left Hand Creek channels increased immensely in the steep, narrow mountain canyons. The extreme volume and speed caused substantial damage to the river channel itself, as floodwaters rechanneled the waterways and breached the creek, river and reservoir banks in multiple locations. Timber, vegetation, material from damaged structures and vehicles, and debris were deposited in and alongside the river, creating additional immediate hazards to life and safety during the flood and causing an increase in future flood risk by reducing the channel capacity.

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The flood also impacted utility services throughout Boulder County. Customer’s experienced sustained outages that began during the early moments of the flood and lasted from several days in Longmont to several months in Lyons and Jamestown until the utility companies could gain access and make repairs. Floodwaters did reach various wastewater treatment plants in cities in Boulder County causing service interruptions for two or more days and requiring resiliency and recovery projects to protect the sites from future damages.

In addition, approximately 150 miles of county roads were damaged or destroyed, particularly along mountain canyons where roads generally follow alongside creeks and rivers. The torrential floodwaters and concomitant debris shattered surfaces of roads and also scoured and undercut the land below roads and bridges. Temporary roads were built in the months following the disaster, with a majority of the permanent road repair work remaining to be completed.

1. Public Services Both before and after the flood in 2013, Boulder County agencies took action with numerous emergency protective measures (EPM). These protective measures include police and fire department evacuations, temporary repairs to restore electrical service, clearing roadways, and emergency sewer pumping. The Boulder County Collaborative public services resources were depleted and other federal programs did not sufficiently cover all of the costs. The Boulder County Collaborative is using CDBG-DR assistance to supplement these costs. These activities met §24 CFR 570.201(e). The infrastructure program for Public Services can best be categorized as Emergency Protective Services.

2. Debris Removal / Clearance As a result of the September 2013 flood, tons of debris filled various locations in Boulder County especially watershed drainages and flooded residential areas. As an example, reservoirs were completely filled with rock, concrete, mud, sand and timber debris during the flood, eliminating any ability to divert water from various river and creek systems. Fast moving and rising floodwaters expanded beyond capacity uprooting trees and creating scattering vegetative debris along owned and maintained public property. Debris was so extreme that it caused an immediate threat to public health, life, and safety. In early 2014 FEMA granted authorization to Boulder County’s local governments to conduct a debris removal program on private property to remove high hazard debris from the watersheds. 3. Rehabilitation/Reconstruction of Public Facilities There were a wide variety of public facilities and buildings for the general conduct of government that were damaged or ruined from the floods. The Collaborative will use CDBG-DR funds to leverage other federal funding sources to rehabilitate and reconstruct public facilities. While rehabilitation and reconstruction of public facilities was an urgent need county, a number of these facilities were in low- and moderate-income areas and/or served low- and moderate-income persons. The Collaborative is prioritizing its funds to address its public hospitals and damaged school as well as for the restoration of its beaches. These activities meet §24 CFR 570.201(c). Per HUD’s allocation notice, 42 U.S.C. 5305(a) is waived to the extent necessary to

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allow grantees to fund the rehabilitation or reconstruction of public buildings that are otherwise ineligible.

4. Roads Systems and Bridges Flooding in 2013 had a major impact on local bridges and roadways in numerous locations, including damage or destruction of approximately 150 miles of county roads and many bridges. Many roads and bridge structures were washed out that have to be repaired. By repairing these road systems and bridges, it will bring them up to City and County standards ensuring that they meet requirements that will minimize future flooding and damage. The following table summarizes the cost of roadway and bridge repairs associated with the 2013 flood.

5. Control Facilities As a result of the flooding in September 2013, creeks, stream banks, culverts, water intake structures, irrigation systems and golf courses suffered damage from extreme water flow and debris. By restoring and repairing sections of the creeks, stream banks, and culverts, it will mitigate threats to properties located within the floodplain.

6. Buildings, Contents, and Equipment Several of the cities and county’s public buildings and structures were flooded and damaged. Buildings had to be rehabilitated and cleaned due to water damage. Repairs to buildings include but are not limited to drywall being replaced and painted, air conditioners being replaced and duct-work being cleaned. Equipment, fleet vehicles, fences, building contents, and public restrooms were destroyed by water and also have to be replaced.

7. Utilities Many of the cities and towns critical utilities were compromised with the 2013 flood. Pipelines were damaged and destroyed and sewer, waterlines, and electrical systems need to be repaired

8. Parks, Recreation, and Other Facilities Many city, town, and county parks, recreational, community centers and other facilities were damaged during the September 2013 flooding requiring restoration.

XIII. PROGRAM PROCEDURES OVERVIEW Below is a summary of the Boulder County Collaborative Lead Agency, Partners, and Special Districts and Water Conservancy District responsibilities, the infrastructure operating procedures, and a process map of the operating procedures.

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1. The Lead Agency’s Responsibilities The Boulder County Collaborative Lead Agency (LA) is responsible for the management of the Infrastructure Program. LA’s responsibilities include, but are not limited to (refer to CDBG-DR Consortium Intergovernmental Agreement):

• Supervise the Infrastructure program; • Determine and ensure the eligibility of funded activities; • Implement procedures to check for duplication of benefits; • Determine the level of environmental review required and complete an Environmental

Review if necessary; • Provide Technical Assistance to participating governments and Special Districts; • Define and implement policies and procedures for internal controls; • Define and implement policies and procedures for financial management; • Reporting requirements; • Oversee the compliance and monitoring of the program; and, • Complete program closure requirements.

2. Participating Governments’ (Partners, Special Districts, and Water Conservancy District) Responsibilities • Project submission • Administer the infrastructure program • Document that the project files are in compliance with all applicable HUD and other

federal regulations

3. Detailed Eligibility and Compliance Review Process Below is a detailed list of procedures for managing eligibility and compliance review process follows:

• Perform an Eligible Activity Analysis • Perform an Eligible National Objective Analysis • Complete a documentation checklist for the eligible activity and national objective • Perform a duplication of benefits (DOB) analysis

4. Collaborative Application Data System (CADS) CADS is a tool that BCC uses to separate and track costs associated with each partner projects. The system is effective in connecting award expenditures to their respective grants and CDBG-DR draw requests. BCC grant agreements will be executed for each partner and program budgets are set up according to those agreements. CADS informs the Duplication of Benefits calculation by estimating what could be FEMA-eligible and CDBG-DR eligible. By performing a step-by-step DOB analysis, the BCC is able to know what the total project amount is, estimate what FEMA and other grants will reimburse, and then

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reimburse the remaining portion under the CDBG-DR grant. This analysis includes requesting FEMA’s eligible reimbursement amount and any disallowance, checking for other duplicative grants agencies may receive, and then calculating the non-duplicated CDBG-DR amount.

5.Perform an Eligible Activity Analysis Due to the extensive disaster response effort and extensive damages from the floods, Boulder County Collaborative undertook several different activities with distinct eligibility requirements. Below is detailed analysis of each of factors to be reviewed during the eligibility process. 5.1 Acquisition (Buyout)– Real property to be acquired may be: land, air rights, easements, water

rights, rights-of-way, buildings and other real property improvements, or other interest in real property required for a public facility need. (24 CFR 570.201(a))

5.2 Relocation – Funds may be used for relocation payments and assistance to persons displaced as a result of a CDBG-DR activity, including: individuals, families, businesses, non-profit organizations, and farms. (24 CFR 570.606))

5.3 Public Facilities and Improvements* – Funds may be used by the entity for acquisition, construction, reconstruction, rehabilitation, and installation of public improvements or facilities (including buildings, parks, roads, sidewalks, sewer/water lines, etc.). (24 CFR 570.201 (c))

5.4 Public Services – Funds may be used to provide public services (including labor, supplies, materials and other costs), provided that it is a new public service or a quantifiable increase in service (an exception can be granted by HUD if it is determined that the level of service from the previous period had decreased for reasons beyond the unit of local government’s control such as a disaster). (24 CFR 570.201(e))

5.5 Clearance – Funds may be used for the demolition of buildings and improvements, removal of demolition products and other debris, physical removal of environmental contaminants or treatment of such contaminants to render them harmless, and movement of structures to other sites. (24 CFR 570.201(d))

5.6 Interim Assistance – Funds may be used for certain activities on an interim basis, provided that the activities meet a national objective. There are two subcategories of interim assistance activities: 1) covers limited improvements to a deteriorating area as a prelude to permanent improvements; and 2) covers activities to alleviate an emergency condition. (24 CFR 570.201 (f)(1) & (2) and 570.200 (e))

*Per the March 5, 2013 Federal Register Notice (78 FR 14329), the exclusion rehabilitation of Buildings for the general conduct of government has been waived. Specifically, the docket states: “42 U.S.C. 5305(a) is waived to the extent necessary to allow grantees to fund the rehabilitation or reconstruction of public buildings that are otherwise ineligible. HUD believes this waiver is consistent with the overall purposes of the HCD Act, and is necessary for many grantees to adequately address critical infrastructure needs created by the disaster.”

6. Categorically Ineligible

The general rule in the CDBG program is that any activity that is not authorized under the provisions of § 570.201-570.206 (or, where applicable, the statute) is ineligible to be assisted with

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CDBG funds. However, the eligible activities are so broad that it is easy to forget that some things cannot be done under the program. The purpose of this section is to discuss specific activities that are ineligible and to provide guidance in determining the eligibility of other activities frequently associated with housing and community development. The following activities may not be assisted with CDBG funds under any circumstance:

• General government expenses. Except as otherwise specifically authorized in Subpart C of Part 570 or under OMB Circular A-87, expenses required to carry out the regular responsibilities of the unit of general local government are not eligible for assistance under this part. Reference: §570.207(a)(2)

• Political activities. CDBG funds may not be used to finance the use of facilities or

equipment for political purposes or to engage in other partisan political activities, such as candidate forums, voter transportation, or voter registration. However, a facility originally assisted with CDBG funds may be used on an incidental basis to hold political meetings, candidate forums, or voter registration campaigns, provided that all parties and organizations have access to the facility on an equal basis, and are assessed equal rent or use charges, if any. Reference: §570.207(a)(3)

7. Generally Ineligible The following activities may not be assisted with CDBG funds unless authorized as Special Economic Development Activities under §570.203 or when carried out by a CBDO under the provisions of §570.204.

• Furnishings and personal property. The purchase of equipment, fixtures, motor vehicles, furnishings, or other personal property not an integral structural fixture is generally ineligible. CDBG funds may be used, however, to purchase or to pay depreciation or use allowances (in accordance with OMB Circulars A-21, A-87, or A-122, as applicable) for such items when necessary for use by a recipient or its subrecipients in the administration of activities assisted with CDBG funds, or when eligible as firefighting equipment, or when such items constitute all or part of a public service pursuant to §570.201(e)1. Also, these items are eligible when carried out by a for-profit business as part of CDBG assistance under the authority of §570.203(b). Reference: §570.207(b)(1)

• Operating and maintenance expenses. The general rule is that any expense associated

with repairing, operating, or maintaining public facilities, improvements, and services are ineligible. Specific exceptions to this general rule are operating and maintenance expenses associated with public service activities [see §570.201(e)], interim assistance [see §570.201(f)], and office space for program staff employed in carrying out the CDBG program (see §570.206).

For example, the use of CDBG funds to pay the allowable costs of operating and maintaining a facility used in providing a public service (e.g., salaries, rent) would be eligible under §570.201(e), even if no other costs of providing the service there are assisted with such funds. Examples of operating and maintenance expenses that are generally ineligible include:

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• Maintenance and repair of publicly-owned streets, parks, playgrounds, water and sewer facilities, neighborhood facilities, senior centers, centers for persons with disabilities, parking, and other public facilities and improvements. Examples of maintenance and repair activities for which CDBG funds may not be used include the filling of pot holes in streets, repairing of cracks in sidewalks, the mowing of grass in city or county parks, and the replacement of street light bulbs.

• Payment of salaries for staff, utility costs, and similar expenses necessary for the operation of public works and facilities. Reference: §570.207(b)(2)

1 §570.201(e) allows for the “Provision of public services (including labor, supplies, and materials) including but not limited to those concerned with employment, crime prevention, child care, health, drug abuse, education, fair housing counseling, energy conservation, welfare (but excluding the provision of income payments identified under § 570.207(b)(4)), homebuyer down payment assistance, or recreational needs. To be eligible for CDBG assistance, a public service must be either a new service or a quantifiable increase in the level of an existing service above that which has been provided by or on behalf of the unit of general local government (through funds raised by the unit or received by the unit from the State in which it is located) in the 12 calendar months before the submission of the Partial Action Plan.”

8. Perform a National Objectives Analysis and Check Supporting Documentation

Each infrastructure program activity must qualify for a National Objective, with benefits to low- and moderate-income persons being used for at least 50% of total expenditures. Required supporting documentation/records for the following eligible activities are shown below:

National Objective – Acquisition* OBJECTIVE QUALIFIES IF RECORDS TO BE MAINTAINED

Low-and-Moderate Income Area

The public service is available to all the residents in a particular primarily residential area, and at least 51% of those residents are L/M income persons. (i.e., Residential Buyout that leaves a public open space).

Boundaries of the service area and the basis for determining those boundaries; and The percentage of L/M income persons in the service area and the data used for determining that percentage.

Low-and-Moderate Income Housing

Benefits a verified L/M income household.

Documentation supporting the total income for everyone in the household over the age of 18 years Certification of no income from household members who are not employed

Urgent Need The public service is designed to alleviate existing conditions that pose a serious and immediate threat to the health or welfare of the community, they are of recent origin or recently became urgent, and the grantee is unable to find other available funds to support the activity.

A description of the condition that was addressed, showing the nature and degree of seriousness of the threat it posed; Evidence confirming that other financial resources to alleviate the need were not available. **See below

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*Note: Qualifying an acquisition activity under one of the CDBG-DR National Objectives depends entirely on the use of the acquired real property following its acquisition.

National Objective – Relocation* OBJECTIVE QUALIFIES IF RECORDS TO BE MAINTAINED

Low-and-Moderate Income Area

The public service is available to all the residents in a particular primarily residential area, and at least 51% of those residents are L/M income persons.

Boundaries of the service area and the basis for determining those boundaries; and The percentage of L/M income persons in the service area and the data used for determining that percentage.

Urgent Need The public service is designed to alleviate existing conditions that pose a serious and immediate threat to the health or welfare of the community, they are of recent origin or recently became urgent, and the grantee is unable to find other available funds to support the activity.

A description of the condition that was addressed, showing the nature and degree of seriousness of the threat it posed; Evidence confirming that other financial resources to alleviate the need were not available. **See below

*Note: Where assistance is required under the Uniform Relocation Act, the National Objective will be the National Objective for the dislocating activity. The National Objective is not determined by income of the displaced persons.

National Objectives – Public Facilities and Improvements OBJECTIVE QUALIFIES IF RECORDS TO BE MAINTAINED

Low-and-Moderate Income Area

The public service is available to all the residents in a particular primarily residential area, and at least 51% of those residents are L/M income persons.

Boundaries of the service area and the basis for determining those boundaries; and The percentage of L/M income persons in the service area and the data used for determining that percentage.

Urgent Need The public service is designed to alleviate existing conditions that pose a serious and immediate threat to the health or welfare of the community, they are of recent origin or recently became urgent, and the grantee is unable to find other available funds to support the activity.

A description of the condition that was addressed, showing the nature and degree of seriousness of the threat it posed; Evidence confirming that other financial resources to alleviate the need were not available. **See below

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National Objectives – Rehabilitation / Reconstruction of Public Facilities OBJECTIVE QUALIFIES IF RECORDS TO BE MAINTAINED

Low-and-Moderate Income Area

The public facility or improvement will be used for a purpose the benefits of which are available to all the residents in a particular area that is primarily residential, and at least 51% of those residents are L/M income persons.

Boundaries of the service area and the basis for determining those boundaries; and The percentage of L/M income persons in the service area and the data used for determining that percentage.

Low-and-Moderate Income Limited Clientele

The public facility or improvement will be used for an activity designed to benefit a particular group of persons at least 51% of whom are L/M Income persons.

One of the following types of records must be kept: Documentation showing that the activity is designed to be used exclusively by a segment of the population presumed by HUD to be LMI persons; or Documentation describing how the nature and the location of the activity established that it will be used predominantly by LMI persons; or Data showing the size and annual income of the family of each person receiving the benefit; or Data showing that barriers to mobility or accessibility have been removed and how the barrier removal was restricted to the extent feasible to one of the particular cases under this subcategory; or Documentation showing that the activity qualified under the special conditions regarding job services where less than 51% of the persons benefiting are LMI persons.

Urgent Need

The acquisition, construction, or reconstruction of a public facility or improvement designed to alleviate existing conditions and the grantee certifies that those conditions are a serious and immediate threat to the health or welfare of the community, the conditions are of recent origin, and there is no other known source of funds it can use to implement the activity.

A description of the condition that was addressed, showing the nature and degree of seriousness of the threat it posed; Evidence confirming that other financial resources to alleviate the need were not available. **See below

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National Objectives – Public Services OBJECTIVE QUALIFIES IF RECORDS TO BE MAINTAINED

Low-and-Moderate Income Area

The public service is available to all the residents in a particular primarily residential area, and at least 51% of those residents are L/M income persons.

Boundaries of the service area and the basis for determining those boundaries; and The percentage of L/M income persons in the service area and the data used for determining that percentage.

Urgent Need The public service is designed to alleviate existing conditions that pose a serious and immediate threat to the health or welfare of the community, they are of recent origin or recently became urgent, and the grantee is unable to find other available funds to support the activity.

A description of the condition that was addressed, showing the nature and degree of seriousness of the threat it posed; Evidence confirming that other financial resources to alleviate the need were not available. **See below

National Objective – Clearance (includes Debris Removal and Demolition) OBJECTIVE QUALIFIES IF RECORDS TO BE MAINTAINED

Low-and-Moderate Income Area

The cleared property will be used for a purpose the benefits of which are available to all the residents in a particular area, and at least 51% of those residents (or less if the exception criteria are applicable) are L/M income persons.

Boundaries of the service area and the basis for determining those boundaries; and The percentage of L/M income persons in the service area and the data used for determining that percentage.

Urgent Need

The clearance is part of an activity designed to alleviate existing conditions and the grantee certifies that those conditions are a serious and immediate threat to the health or welfare of the community, they are of recent origin or recently became urgent, the grantee is unable to finance the activity on its own, and the other sources of funds are not available.

A description of the condition that was addressed, showing the nature and degree of seriousness of the threat it posed; Evidence confirming that other financial resources to alleviate the need were not available. **See below.

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National Objective – Interim Assistance OBJECTIVE QUALIFIES IF RECORDS TO BE MAINTAINED

Low-and-Moderate Income Area

The cleared property will be used for a purpose the benefits of which are available to all the residents in a particular area, and at least 51% of those residents (or less if the exception criteria are applicable) are L/M income persons.

Boundaries of the service area and the basis for determining those boundaries; and The percentage of L/M income persons in the service area and the data used for determining that percentage.

Urgent Need

The clearance is part of an activity designed to alleviate existing conditions and the grantee certifies that those conditions are a serious and immediate threat to the health or welfare of the community, they are of recent origin or recently became urgent, the grantee is unable to finance the activity on its own, and the other sources of funds are not available.

A description of the condition that was addressed, showing the nature and degree of seriousness of the threat it posed; Evidence confirming that other financial resources to alleviate the need were not available. **See below

**Note that per the Federal Register 78 (14336) “The certification requirements for the documentation of urgent need, located at 24 CFR 570.208(c) and 24 CFR 570.483(d), are waived for the grants under this Notice until two years after the date HUD obligates funds to a grantee for the activity. […] Grantees need not issue formal certification statements to qualify an activity as meeting the urgent need national objective. Instead, each grantee receiving a direct award under this Notice must document how all programs and/or activities funded under the urgent need national objective respond to a disaster-related impact identified by the grantee.”

9. Duplication of Benefits Requirement The Boulder County Collaborative has requirements for compliance with federal regulation and statutes that require any sources of funding assistance provided for the same purpose as the scope of work to be assisted with CDBG-DR funds must be considered a duplication of benefits (“DOB”) and must be deducted from the CDBG-DR assistance to be provided.

Potential DOB Sources The following are a list of sources of funding assistance to be considered in a duplication of benefits review:

• FEMA National Flood Insurance Program (“NFIP”); • U.S. Army Corps of Engineers (“USACE”); • U.S. Department of Transportation, including the Federal Highway Administration (“FHWA”)

and the Federal Transit Administration (“FTA”);

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• Colorado Department of Transportation (“CDOT”) • Federal Economic Development Agency (“FEDA”); • Federal Emergency Management Agency (“FEMA”) • U.S. Food and Drug Administration (“FDA”) • Private Insurance; • Increased Cost of Compliance (“ICC”); • State of Colorado Competitive State Grant; • Philanthropic funds; • Any other funding source that may duplicate assistance.

DOB Calculation Example

EXAMPLE OF DOB CALCULATION FOR AN INFRASTRUCTURE PROJECT

1. Total Project Costs $100,000

2. Identify All Duplicative Assistance Available:

$50,000 a. FEMA Public Assistance Funds for Permanent Work b. Insurance (e.g. private insurance, NFIP) $25,000

c. Any Other Assistance Determined to be Duplicative $0

d. Total $75,000

3. Deduct Assistance Determined to be Duplicative (in this case FEMA and insurance) $75,000

4. Maximum Eligible Award $25,000

10. Operating Procedures The Lead Agency works closely with the Collaborative, Special Districts, and Water Conservancy District once they have completed or are near completion of a final obligated amount from FEMA or other federal agencies assisting with the BCC’s recovery. The Lead Agency’s consultant and staff will be working with the partners and districts to finalize the eligibility and funding award recommendation. There must be a final obligated amount before BCC’s Lead Agency team begins to process projects for a CDBG-DR cost share.

The combined fiscal and program procedures of BCC’s infrastructure program are shown in order below:

• Funding Request

o Receive an Infrastructure Funding Request for floods related costs which includes either: (1) a FEMA cost share reimbursement, or (2) a CDBG-DR eligible activity not reimbursed by FEMA;

o Funding request is assigned for programmatic analysis; o Verify that the funding request and all supporting documentation has been

provided; o Attach Disaster CDBG Justification form which cites the regulations and

statutes that permit the reimbursement.

• Eligibility

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o Analyze and confirm that the program activity is CDBG-DR-eligible and not prohibited activity;

o Analyze and confirm that the program activity meets a national objective; o Analyze and confirm that procurements methods meet all HUD

requirements; o Analyze and confirm that the environmental review was completed; o Verify project is in an eligible geographic area; o If necessary, complete an exception worksheet noting any programmatic

deviations; o Complete an eligibility verification checklist;

If ineligible, send rejection correspondence to respective partners or special districts.

• Calculation/DOB check

o Determine the other federal funding sources, the amounts obligated, disallowed, and paid;

o Perform cost share analysis to determine the federal and non-federal cost share amounts of the project expenditures;

o Perform duplication of benefits analysis; o Calculate amount eligible for reimbursement and complete a calculation

worksheet; o QC the reimbursement calculation with the source documents and, if

necessary, reconcile any differences;

• Funding approval o Submit file for to BCC funding approval; o LA reviews file and gives approval of eligibility; o Collaborative reviews file and gives approval for funding; o LA’s Program Manager reviews file and gives approval for file completeness; o All approvals are placed into the compiled file for record-keeping purposes;

• Reporting

o Collaborative partners and special districts submit LA the relevant reports; o LA submits the relevant reports to the State; o LA approves the draw request in CADS; o LA submits a draw to the State for the CDBG-DR reimbursement eligible

amount;

• Accounting o BCC’s partners and districts creates a draw request in CADS; o LA approves the draw request in CADS; o LA submits the approved draw request to the State; o LA receives the CDBG-DR funds from HUD for the approved draw request; o LA Controller’s Office record the cash receipt transaction into CADS; o LA notifies the LA’s Program Manager Head with the transaction information; o LA places the following into the requisition document file:

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Signed draw request; Proof of funds approved by HUD; Correspondence with the LA’s controller;

11. State and Federal Reporting Requirements The BCC will comply with all State and Federal reporting requirements as stated in the sub-allocation agreement with the State.

12. Monitoring, Technical Assistance, and Compliance Monitoring and technical assistance will be done from the implementation of the infrastructure program until program close-out. Monitoring and technical assistance will be focused on the following objectives:

• Providing support to the partners and special districts through trainings and on-site visits • Reviewing and monitoring funded projects for compliance with Federal regulations, funding

requirements, and program policies and procedures • Providing guidance for continuous improvement of program delivery • Improving communications with the partners and special districts • Help to identify and preventing issues • Setting program performance standards • Ensure the quality of the financial management process

The monitoring team responsibilities are as follow

• Fiscal - Examining the program’s fiscal controls and accounting procedures for compliance with BCC, State, and federal regulations.

• Policy & Compliance - Examining the infrastructure program’s compliance with HUD and BCC rules and regulations.

• Crosscutting Requirements - Investigating the infrastructure program’s compliance with crosscutting federal rules and regulations such as Davis-Bacon, labor standards, the Architectural Barriers Act, the Americans with Disabilities Act, and other federal requirements.

The program team will be held directly responsible for any inconsistencies and discrepancies identified by BCC’s monitoring team. BCC’s program team will be held to the same high standard of accountability as the other sub-recipients in BCC’s Housing CDBG-DR programs. The BCC will use the State of Colorado’s Department of Local Affairs Compliance and Monitoring Plan and Forms for documenting the review.

Close-out Procedures BCC will work closely with State to ensure that all information is submitted and accurate. BCC will complete the Grant Closeout Agreement and the State’s Certification of File Documents.

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APPROVAL AND HISTORY TABLE FOR BCC Infrastructure Program Policies and Procedures

Approved

Version Date

Revision History

Version Date Page Description

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ATTACHMENT A

June 3rd, 2014 Federal Register Notice Vol. 79

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ATTACHMENT B

March 5th, 2013 Federal Register Notice Vol. 78

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ATTACHMENT C

November 18th, 2015Federal Register Notice Vol. 80

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ATTACHMENT D

November 16th, 2011 Federal Register Notice Vol. 76

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ATTACHMENT E

BCC Resiliency Performance Plan

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Resilient Design Performance Standardfor Infrastructure and Dependent FacilitiesBoulder County CDBG-DR Collaborative

VOLUME I: REPORTMarch, 2016

Prepared by: Steve Moddemeyer and Sean Keithly – CollinsWoerman

Chris Poland – Chris D. Poland, Consulting EngineerJulie Baxter and Marine Siohan – Acclivity Associates

For: Boulder County CDBG-DR Collaborative

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AcknowledgementsThe Resilient Design Performance Standard Project Team thanks the following organizations and individuals for their invaluable input and guidance that helped to shape this document:

Project Proponent: Boulder County Collaborative

Project Partners: U.S. Department of Housing and Urban DevelopmentState of Colorado Department of Local AffairsState of Colorado Resiliency and Recovery OfficeState of Colorado Department of Homeland Security and Emergency ManagementBoulder CountyCity of Boulder

City of LafayetteCity of LongmontCity of LouisvilleTown of JamestownTown of LyonsTown of NederlandBoCo Strong

Project Stakeholders:Kevin Afflerbaugh Western DisposalGina Baker Hill PetroleumCynthia Bakke Town of NederlandKurt Bauer City of BoulderSteve Boand Colorado Department of

Homeland Security and Emergency Management

Steve Buckbee City of BoulderMike Chard Boulder OEMKathy Fedler City of LongmontErin Fosdick City of LongmontAaron Gagne U.S. HUDJean Gatza City of BoulderMark Gittes Boulder Small Business

Development CenterBrian Graham Boulder CountyGreg Guibert Boulder CountyGuadalupe Herrera U.S. HUDEliza Hotchkiss National Renewable Energy

LaboratoryLeslie Irwin Boulder CountyCarolyn Janssen ViaSharon King Boulder SBDCKurt Kowar City of LouisvilleMichelle Krezek Boulder CountyChris Krolick Town of JamestownPhuoc Lam Haggerty Consulting

Rigo Leal City of LongmontMolly O’Donnell City of LongmontKaren MacClune BoCo StrongMaya MacHamer Fourmile WatershedMatt Manley Town of LyonsKyle Miller Town of LyonsDon Morris U.S. HUDBill Patterson ViaPeter Perez City of LongmontJennifer Pinsonneault City of BoulderRob Pressly Colorado Resilience and

Recovery OfficeDale Rademacher City of LongmontKim Sanchez Boulder CountyHerb Schaffer GP - HOAMatt Scheppers City of LongmontTara Schoedinger Town of JamestownDeb Siefert Haggerty ConsultingGerrit Slatter City of BoulderEdward Stafford City of BoulderJessica Stevens City of BoulderErnst Strenge Boulder CountyMike Thomas Boulder CountyWayne Tomac City of LongmontTerrance Ware U.S. HUDLea Yancey Boulder CountyCal Youngberg City of Longmont

Project Managers:Kathy Fedler City of Longmont Molly O’Donnell City of Longmont

This project was funded through a Community Development Block Grant – Disaster Recovery (CDBG – DR) grant from the State of Colorado’s Department of Local Affairs.

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Volume I: Report

Table of Contents

Executive Summary ............................................................................................................................................................1Chapter One: Time-to-Recovery Goals .........................................................................................................................4

Applying the NIST Approach ......................................................................................................................................4Categorizing Community Institutions, Buildings, and Infrastructure ..................................................................5Determining Levels of Performance.......................................................................................................................6Engaging Boulder County Communities and Stakeholders ................................................................................8

Applying Time-to-Recovery Performance Goals Before and After Disaster ........................................................9Chapter Two: Resilient Design Performance Standard ...............................................................................................19

Resiliency and Sustainability Definitions....................................................................................................................19Integrated Design Teams and Evaluation of Alternative Strategies .....................................................................20Resilience Prioritization Criteria..................................................................................................................................21

Chapter Three: How to Apply the Resilient Design Performance Standard............................................................22Step 1: Determine applicable time-to-recovery goals for the project ...................................................................22Step 2: Complete Resilient Design Performance Standard score sheet ...............................................................23Step 3: Develop a business case .................................................................................................................................27

Attachments ......................................................................................................................................................................28Attachment 1: Indicators of Resilience ......................................................................................................................28Attachment 2: The Charrette Process.......................................................................................................................38Attachment 3: Business Case Report Template ......................................................................................................39

Appendices (Included in Volume II) ..............................................................................................................................41

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Executive Summary The Boulder County Collaborative (“the Collaborative”) is a partnership of Boulder County communities that was formed in response to the catastrophic floods of September 11th through September 15th, 2013. The Collaborative includes Boulder County; the cities of Boulder, Lafayette, Longmont, and Louisville; and the towns of Jamestown, Lyons, and Nederland. It was formed to spearhead a regional, community-appropriate plan for successful recovery from these floods and to serve as a guide for the acquisition and implementation of Community Development Block Grant - Disaster Recovery (CDBG-DR) funds.

The Collaborative received a sub-allocation of the CDBG-DR funding from the U.S. Department of Housing and Urban Development (HUD) to address long-term disaster recovery needs related to the federally-declared 2012 wildfires and 2013 floods. The June 3, 2014 Federal Register requires that grantees “identify and implement resilience performance standards that can be applied to each infrastructure project,” creating the impetus for the development of the Resilient Design Performance Standard for Boulder County described in this document1.

Resiliency is quickly rising as a priority for government and nonprofit entities because the ability to bounce “forward” instead of “back” after natural hazard events and other shocks and stresses is imperative in the face of increased variability associated with the impacts of climate change. In May 2015, the State of Colorado put forth its own commitment to resilience through the Colorado Resiliency Framework, a statewide plan to outline guiding principles and tools for community stakeholders to identify and implement strategies to increase resiliency. The Resilient Design Performance Standard builds upon burgeoning state and local planning efforts to develop a tool for building resilience on a project-by-project basis. Application of the Resilient Design Performance Standard helps design teams to broaden the design process for infrastructure projects with the intent to increase the capacity of the whole community to address this increasing variability.

Over the winter of 2015-16, members of the Collaborative and additional stakeholders worked with the CollinsWoerman consulting team to develop resilience performance goals and a new resilience performance standard for community facilities and infrastructure in Boulder County. Following the National Institute of Science and Technology (NIST) Community Resilience Planning Guide for Buildings and Infrastructure Systems, a set of time-to-recovery goals for all hazards was developed for a the county’s building clusters and the infrastructure systems that support them. The goals were formulated over the course of several workshops in December 2015 and January 2016 with the Collaborative, a broad group of stakeholders, and focus groups including regional utility and service providers. The active participation of the Collaborative, as well as the input provided by various stakeholders, defined the expectations for time-to-recovery goals for each cluster of facilities and

1 Federal Register Volume 79, Number 106 (Tuesday, June 3, 2014), Notices, Pages 31964-31973

Figure 1: Colorado Resiliency Framework

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infrastructure identified in the County. These goals reflect Boulder County as a whole to establish the combined expectations of each of the individual communities in the County.

In February and March, 2016, the Resilient Design Performance Standard was developed as the implementation step to achieve the time-to-recovery goals. Projects developed using the standard must exceed a threshold score that is calculated using the Resilient Design Performance Standard score sheet. The score sheet is based on Colorado Resiliency Prioritization Criteria2 and uses resiliency indicators, integrated with sustainability principles, to assess projects. Project teams will document how the project meets the standard in a business case developed for each project. The goals and standard are intended to be applied to applicable projects funded by CDBG-DR initially, but to be scalable for use on any future project in Boulder County, as desired by each jurisdiction. Communities will be able to refine the time-to-recovery goals to be more specific to their own conditions and needs if they choose to adopt a focused, community-specific version of this plan.

Based on the input received from the Collaborative, the performance goals and standards were refined and developed into a straightforward, three-step process as outlined below and described in detail in the following chapters of this document:Step 1: Determine applicable recovery time goals based on the performance matrices for the project to determine the desired recovery time after natural hazard events:

Determine design hazard level for project (e.g., 100 year flood); Determine applicable local/state/federal design standards; Identify the applicable building cluster or infrastructure system component and select an

appropriate performance level: Minimum (does it impact facilities and infrastructures needed to initiate a minimal level of service?), Functional (does it impact facilities and infrastructure needed for a functional level of service?), or Operational (does it impact facilities or infrastructure needed for normal operations?)

Step 2: Complete the Resilient Design Performance Standard matrix to measure progress toward resilient design; score project. Step 3: Select a preferred alternative that best aligns policy and budget requirements and meets the established recovery goals.

2 Colorado Resiliency Framework, 2015

Figure 2: NIST Community Resilience Planning Guides

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Figure 3: Boulder County Communities in Colorado, USA

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Chapter One: Time-to-Recovery Goals In developing the Resilient Design Performance Standard, the Collaborative adopted the time-to-recovery metric as a measurable goal of resilience for infrastructure projects.

Applying the NIST Approach The Collaborative followed the guidelines prepared by NIST in the Community Resilience Guide for Buildings and Infrastructure to determine locally-appropriate, long-term time-to-recovery goals for buildings and infrastructure systems in the County. The time-to-recovery metric establishes the desired performance in terms of resilience to stresses, shocks, and natural hazard events in the 50-year horizon.

The power of the NIST approach to community resilience is that these time-to-recovery goals for facilities are not considered in isolation. The infrastructure that supports the facilities must also meet the goal. The NIST process addresses these dependencies between facilities and infrastructure and includes a step that evaluates if the infrastructure (energy, water, bridges, culverts, and roadway sections, etc.) that serve essential facilities is also able to meet the facility’s time-to-recovery goals.

Time-to-Recovery Goals: The time-to-recovery goals are long-term, all-hazards recovery time goals for building clusters and

supporting infrastructure in Boulder County and are the foundation for determining baseline design performance for specific projects. The goals were developed using a method outlined in the National

Institute of Standards and Technology’s Community Resilience Planning Guide for Buildings and Infrastructure Systems.

Resilient Design Performance Standard: The Resilient Design Performance Standard implements the time-to-recovery goals.

Projects developed using the standard must exceed a threshold score that is calculated using the Resilient Design Performance Standard

score sheet. The score sheet is based on Colorado Resiliency Prioritization Criteria. Indicators of resilience are included in the

standard. Project teams will document how the project meets the standard in a business case developed for each project.

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Categorizing Community Institutions, Buildings, and Infrastructure The NIST process begins with understanding the social institutions that support the community. These institutions may be services, businesses, and the economy. These institutions in turn are supported by the built environment.

Figure 4: Organizational Concept for Clusters

The NIST performance matrices are assembled into “groups”. One group represents buildings and additional groups represent each of the urban infrastructure systems such as transportation, potable water, wastewater, storm water, energy, and communications.

Within each of these groups are “functional categories” that support various community needs, including basic needs such as the provision of life safety, medical care, and shelter; economic needs such as critical retail, major employment centers, and basic economic functions such as manufacturing or commercial centers; and social needs, such as community centers, schools, and religious/spiritual centers.

Within the functional categories the NIST process focuses on “clusters” of buildings that provide similar functions for their communities. Clusters are defined by NIST as “a set of buildings and supporting infrastructure systems, not necessarily geographically co-located, that serve a common function such as housing, healthcare, retail, etc.” 3 Organizing the built environment into clusters provides a basis for developing an estimate of how to prioritize systems for recovery and sets a workable timeline goal for recovery after a disaster.

For example, in Figure 4 above, the Buildings group identifies different types of buildings that support the social institutions of the county. The buildings are subdivided into the functional category of Critical Facilities. There are several “clusters” of critical facilities such as Emergency Operations Centers, First Responder Facilities (fire and police stations), and Hospitals, etc. Each cluster is then assigned time-to-recovery goals by local officials to facilitate resilience.

3 National Institute of Standards and Technology Special Publication 1190, 114 pages (October 2015), CODEN: NSPUE2

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Determining Levels of Performance Setting time-to-recovery goals requires determining the acceptable level of damage to the built environment and the corresponding time needed to restore varying levels of functionality. When a major hazard event occurs, not all buildings and systems are immediately needed to support response and recovery. As in the National Disaster Recovery Framework (NDRF)4, the time-to-recovery goals are considered in three phases: short-term, mid-term, and long-term. The short-term phase focuses on rescue, stabilization, and preparing for recovery and is expected to occur over a period of days. The mid-term phase focuses on restoring neighborhoods, workforce, and caring for vulnerable populations and extends for weeks to months. The long-term phase relates to restoring the community's economy, social institutions and physical infrastructure and may continue for years after the initial event.

The time-to-recovery goals are set to indicate the acceptable time allowed to restore community services after a disaster. The goal applies to all the buildings or infrastructure elements in the cluster of similar-functioning facilities, not to the condition of any particular building or infrastructure system. This approach helps communities to gauge how robust any individual element within a cluster must be to meet the time-to-recovery goals. If the cluster as a whole can meet the time-to-recovery performance goal, then the need for any one element within that cluster to meet that goal is not as crucial. Conversely, if the cluster as a whole cannot meet the time-to-recovery goal, then any specific project within that cluster is an opportunity to improve the overall capacity of the cluster to achieve that goal. Over time as more and more projects are built or rebuilt, the resilience of the community will improve as more and more of each cluster increases its capacity to meet the time-to-recovery goal.

Three Levels of Performance

Minimal: The minimal time-to-recovery goal is the minimum time allowable for the buildings and supporting infrastructure to

be unavailable to support immediate relief. Meeting this goal may be accomplished through rapid repairs with temporary,

permanent, or programmatic work-arounds.

Functional: The functional time-to-recovery goal is the minimum time allowed before the buildings and supporting infrastructure must be able to support routine or non-exceptional operations. Meeting this goal may be accomplished through rapid repairs

with temporary, permanent, or programmatic fixes.

Operational: The operational time-to-recovery goal is the minimum time allowed before the buildings and infrastructure

must be completely repaired and able to meet normal and peak demand operations.

4 National Disaster Recovery Framework, FEMA, 2011

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Three levels of restoration of function are used to define the time-to-recovery performance goal:

● Minimal: Minimum performance required to initiate immediate relief; 5● Functional: Minimum performance required to support routine or non-exceptional operations

during the transitional phase between relief and recovery;● Operational: Performance required to meet normal and peak demand operations.

The following examples are drawn from the performance goals to illustrate this process (See below for Example: Application of Levels of Performance):

● Hospitals. The performance goal for hospitals calls for county-wide capacity for hospitals to meet the performance goal of providing a minimal level of service in 0 days after a disaster event, in other words immediately after the event. For example, at least one hospital in Boulder County must be open and servicing minimal needs to support critical relief activities immediately. Other hospitals in the County that may have been damaged will need to be functional such that they are able to provide routine provision of services within 4 to 8 weeks after the event. Virtually all hospitals in the County should be operational within 4 months of a disaster such that they are all are back in service and be able to provide both normal and peak demand for services.

● Housing. The time-to-recovery goal for housing in Boulder County indicates that all housing needs to provide a minimal level of housing for all residents in the County within 1 to 4 weeks. Performance at this level allows residents to have some minimal level of shelter in their homes during relief efforts so that they remain where they can contribute to their own and the overall community recovery. Within 8 to 12 weeks of a disaster all housing in the county should be functional such that it is able to provide shelter that can withstand routine events during recovery. Within two years of a disaster virtually all housing in the County must be operational where virtually all housing can withstand typical extreme events such as blizzards, high winds, or flooding at the 100-year level.

5 To avoid confusion, the terms “minimal,” “functional,” and “operational” replace the NIST designated 30%, 60%, and 90% originally used during the time-to-recovery goal setting workshops in December, 2015-January, 2016.

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Example: Application of Levels of Performance

● Businesses – Manufacturing. The performance goal for manufacturing is that a minimal level of manufacturing is required to assist with relief and available within 1 to 4 weeks. Within 4 to 8 weeks most manufacturing capacity in Boulder County should be functional and able to conduct routine operations during recovery. Virtually all manufacturing should be operational within 8 to 12 weeks and capable of normal and peak demand operations.

● Conference and event venues. Conference and event venues should be available at a minimal level within 8 to 12 weeks so that community meetings can be held in safe locations during relief. Within 4 months conference and event venues should be functional for routine and non-exceptional operations during recovery. Within 4 to 24 months all conference and event venues should be operational with the capacity to handle both normal and peak demand operations.

Engaging Boulder County Communities and Stakeholders

The time-to-recovery goals were designed specifically for Boulder County over the course of several workshops in December 2015 and January 2016 with the Collaborative. A number of stakeholders and focus groups including regional utility and service providers were also invited. To be certain that the goals harmonize with broader planning efforts, Collaborative members and stakeholders referred to existing planning documentation including the Boulder County and the City of Boulder multi-hazard mitigation plans’ inventories and maps of critical facilities and infrastructure for each community.

Figure SEQ Figure \* ARABIC 2 Example time-to-recovery goals

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The communities and the County in the Boulder County Collaborative reviewed the draft performance goals and provided input that helped shape the time-to-recovery performance goal matrices shown below. The goals represent all-hazards recovery time goals for buildings and supporting infrastructure in Boulder County. These goals then become the foundation for determining baseline design performance for specific projects.

The time-to-recovery goals for Boulder County were set for the County as a whole and serve as planning-level goals to establish the combined expectations of each of the individual communities in the County. Communities may choose to tailor the goals to suit their own needs and performance requirements. Community breakout groups during the workshops developed preliminary community-specific time-to-recovery goals to both inform the county-wide goals and provide a stepping stone for the development of a community-specific plan (preliminary community-specific goals can be found in Appendix B).

Applying Time-to-Recovery Performance Goals Before and After Disaster The time-to-recovery goals set by stakeholders and summarized in the matrices to follow are useful before a hazard event to evaluate level of resiliency of a community’s infrastructure system and determine where there are gaps in the capabilities of the built environment for specific hazards. This application requires an inventory of the existing buildings and infrastructure systems, characterization of the hazard under consideration, and determination of the time-to-recovery for each building and system in the community. The existing conditions can then be compared to the minimal, functional, and operational goals to determine what gaps exist and what temporary measures need to be planned to support recovery when needed. A gap analysis can also result in a prioritized program for improving elements of the built environment to facilitate a quicker recovery. This gap analysis can be used in conjunction with or can be complementary to overall community-wide resiliency assessments that take into account a wide range of systems and institutions.

Hazard mitigation plans and continuity of operations (COOP) plans are existing planning assessments regularly updated by Boulder County communities that work in conjunction with the Resilient Design Performance Standard and specifically help to inform Step 1 of the process.

Boulder County coordinates the development of a multi-hazard mitigation plan in which multiple jurisdictions participate; the City of Boulder has its own hazard mitigation plan. These plans include risk and capabilities assessments helpful in determining the design hazard level for projects (e.g., 100 year flood), the applicable local/state/federal design standards, and the appropriate performance level. Relevant information includes:

Descriptions of the natural hazards affecting each community, including information characterizing each hazard, such as location, severity, history, and probability of occurrence

Inventories of existing buildings, critical facilities, and infrastructure as well as estimates of potential losses and types of impacts to the built environment from various hazards

Assessment of mitigation capabilities in place in each jurisdiction, including applicable plans, policies, codes, and standards.

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Mitigation plans also identify and prioritize projects and policy actions to reduce risk, which may include changes to standards as well as planned mitigation measures for buildings and infrastructure. This offers the opportunity to align objectives in preliminary project designs and scoring in Step 2 of the standard. The mitigation strategy is also a good place to document the actions needed to address the gaps between current conditions and desired time-to-recovery performance goals.

Continuity of operations or continuity of governance (COOP/COOG) plans identify an organization’s essential functions and ensure that these functions can be continued throughout or resumed rapidly after a disruption of normal activities. Several Boulder County communities have COOP plans in place, which should be used in determining the performance levels needed to support essential functions and coordinated during future updates to avoid conflicts.

The operational recovery goal timeframe is the optimal performance standard by which to measure infrastructure resilience. Each building or system added to the cluster should be able to achieve the operational performance goal within the 50-year planning horizon as opportunities arise for incorporating resilience on a project-by-project basis through development and redevelopment.

The time-to-recovery goals for Boulder County communities are included in the following tables for all major groups of buildings and supporting infrastructure.

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Table 1: Time-to-Recovery Goals Matrix - Building Clusters

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Table 2: Time-to-Recovery Goals Matrix - Transportation Infrastructure

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Ingress (goods, services, disaster relief)Freeways and Expressways Minimal Functional OperationalOther Principal Arterial Highways Minimal Functional OperationalMinor Arterial Highways Minimal Functional OperationalLocal Roads Minimal Functional OperationalBikeways Minimal Functional OperationalTransit, Bus, Light Rail, Transit Lanes Minimal Functional OperationalA Regional Airport Minimal Functional OperationalEgress (emergency egress, evacuation)Freeways and Expressways Minimal Functional OperationalOther Principal Arterial Highways Minimal Functional OperationalMinor Arterial Highways Minimal Functional OperationalLocal Roads Minimal Functional OperationalBikeways Minimal Functional OperationalTransit, Bus, Light Rail, Transit Lanes Minimal Functional OperationalA Regional Airport Minimal Functional OperationalCommunity ResilienceCritical FacilitiesEmergency Operational Centers Functional OperationalPolice and Fire Stations Functional OperationalHospitals Minimal Functional OperationalAssisted Living Facilities Minimal Functional OperationalDetention Centers OperationalEmergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools OperationalHotels and Motels OperationalCommunity RecoveryBusinesses - Manufacturing Minimal Functional OperationalBusinesses - Retail Minimal Functional OperationalBusinesses - Service Professions Minimal Functional OperationalConference and Event Venues Minimal Functional OperationalNon-emergency City Services

Phase 1 Phase 2 Phase 3Days Weeks Months

TRANSPORTATION INFRASTRUCTURE

Design Hazard Performance

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Table 3: Time-to-Recovery Goals Matrix - Water Infrastructure

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Table 4: Time-to-Recovery Goals Matrix - Waste Water Infrastructure

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Table 5: Watersheds and Natural Infrastructure

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Table 6: Energy Infrastructure

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Table 7: Communications Infrastructure

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Table 8: Urban Stormwater Infrastructure

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Above Ground Conveyance Systems: Floodways, Swales, DitchesDebris Removal R Minimal Functional OperationalRepair/Reconstruction Minimal Functional OperationalDam/Dike OperationalRetention and Detention BasinsDebris Removal R Minimal Functional OperationalRepair/Reconstruction Minimal Functional OperationalUnderground Conveyance Systems: Catch Basins, Curb/Gutter, Curb Inlets, PipesDebris Removal R Minimal Functional OperationalRepair/Reconstruction Minimal Functional Operational

URBAN STORMWATER INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

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Chapter Two: Resilient Design Performance Standard The Resilient Design Performance Standard is the implementation method to achieve the time-to-recovery goals. It is a holistic, systematic approach to adapting and preparing infrastructure to better respond to the stresses and shocks of the 21st century. This approach provides new levels of rigor to project design for infrastructure repair and improvements and integrates resilience and sustainability into community disaster recovery.

Resiliency and Sustainability DefinitionsThe Resilient Design Performance Standard applies the principles and practices of resilience AND sustainability to assist design teams to implement the time-to-recovery goals. Reason being, in the last two decades, design teams have become familiarized with incorporating sustainability strategies into projects. Evolving to include resiliency is an organic extension of the process. The result is an integrated approach where lessons from sustainability are merged with principles of resilience to guide building and infrastructure designers. However, sustainability and resilience are two separate and distinct concepts.

Resilience: “Resilience is the ability of communities to rebound, positively adapt to, or thrive amidst changing conditions or challenges – including disaster and climate change – and

maintain quality of life, healthy growth, durable systems and conservation of resources for present and future generations.”

-Colorado Resilience Working Group

Sustainability: “The use, development and protection of resources in a way that enables Boulder County residents to meet their needs and maintain a high quality of life, without compromising the ability of future residents to do the same.”

-Boulder County

The Resilient Design Performance Standard uses the Colorado Resilience Working Group’s definition of resilience and Boulder County’s definition of sustainability, as shown here.

Resilience and sustainability each provide separate important insights into developing project alternatives. However, a project may be resilient, but not sustainable. For example, a resilience strategy that continues to harden facilities via concrete may make a facility robust to an extreme event, but may not incorporate habitat considerations that sustain wildlife populations. Likewise, it might be sustainable but not resilient. For example, just-in-time food delivery is an efficient way to minimize energy use and maximize freshness of food delivery; however, if a vehicle cannot make deliveries during an extreme event, food shortages can occur quickly. Therefore, an integrated approach that incorporates resilience and sustainability attributes into project design is beneficial for two reasons: 1) it allows for greater success due to the piggy-backing on familiarity with complementary sustainability design aspects; and 2) it results in more flexible, adaptable solutions.

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An example of integrated resilient and sustainable design is green stormwater infrastructure. Managing stormwater in such a way that incorporates green infrastructure – such as existing floodplain and riparian areas, or designed solutions such as vegetated “green streets”, rain gardens, and bio-retention areas – can complement and help reduce reliance on traditional “grey” infrastructure. The diagram in Figure 5 below illustrates the confluence of resilient and sustainable design.

Figure 5: Resilience and Sustainability in Integrated Resilient Design

Integrated Design Teams and Evaluation of Alternative Strategies The Resilient Design Performance Standard requires teams to look for alternative strategies that offer the most value to the triple bottom line: community, the economy, and the environment. Teams familiar with sustainability certification processes (LEED, BREEAM, Living Building Challenge, SITES, ENVISION, etc.) that use checklists, imperatives, and points will find a similar system in the resilient design performance standard.

Tools such as design charrettes are encouraged where integrated teams of professionals, owners, and users work together to test a range of integrated strategies that provide multiple benefits across the triple bottom line. See Attachment 2 for a description of a charrette process.

Projects developed using this Resilient Design Performance Standard will be better positioned to perform well economically with greater resilience against stresses, shocks, and hazards while also creating healthier environments for people and the planet.

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Resilience Prioritization CriteriaThe Resilient Design Performance Standard builds on the Resilience Prioritization Criteria outlined in the Colorado Resiliency Framework. In incorporating these criteria, each infrastructure project designed using the Resilient Design Performance Standard will contribute to achieving the vision and goals for resiliency in the state.

Colorado Resiliency Framework: Resilience Prioritization Criteria

1. Co-Benefits. Provide solutions that address problems across multiple sectors creating maximum benefit.

2. High Risk and Vulnerability. Ensure that strategies directly address the reduction of risk to human well-being, physical infrastructure, and natural systems.

3. Economic Benefit Cost. Make good financial investments that have the potential for economic benefit to the investor and the broader community both through direct and indirect returns

4. Social Equity. Provide solutions that includes consideration of populations that are often most fragile and vulnerable to sudden impacts due to the continual state of stress

5. Technical Soundness. Identify solutions that reflect best practices that have been tested and proven to work in similar regional contexts

6. Innovation. Advance new approaches and techniques that will encourage continual improvement and advancement of best practices serving as models to others in Colorado and beyond.

7. Adaptive Capacity. Include flexible and adaptable measures that consider future unknowns of changing climate, economic and social conditions.

8. Harmonize with existing activity. Expand, enhance, or leverage work being done to build on existing efforts. Assure outcomes that are environmentally friendly, sustainable, and complementary to the natural setting

9. Long Term Lasting Impact. Create long term gains to the community with solutions that are replicable and sustainable, creating benefits for present and future generations.

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Chapter Three: How to Apply the Resilient Design Performance Standard

Implementation of the Resilient Design Performance Standard is a three-step process.

Step 1: Determine applicable time-to-recovery goals for the projectWhen preparing to build, repair, or replace infrastructure or community facilities, project teams must determine applicable time-to-recovery goals found in the recovery goals matrices (see Tables 1 through 8). The recovery goals identify the desired time-to-recovery after natural hazard events. Once the time-to-recovery goal is determined, project teams will also need to meet existing codes and requirements such as:● Determine design hazard level for project (e.g., 100-year flood)● Identify applicable building codes and existing engineering standards to identify the minimum

applicable local/state/federal design standards● Identify the applicable building cluster or infrastructure system component and select an

appropriate performance level: Minimum (does it impact facilities and infrastructures needed to initiate a minimal level of service?), Functional (does it impact facilities and infrastructure needed for a functional level of service?), or Operational (does it impact facilities or infrastructure needed for normal operations?).

Design teams refer to the time-to-recovery goals matrices depending upon the project type. For example, if it is a transportation project, the team will look up the time-to-recovery goal in the

Figure 6: Steps to Implement the Resilient Design Performance Standard to a Project

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Design teams refer to the time-to-recovery goals matrices depending upon the project type. For example, if it is a transportation project, the team will look up the time-to-recovery goal in the Transportation Infrastructure group (Table 2). If the project is for a bikeway for ingress and egress, then the time-to-recovery goal is for the community-wide bikeway system to have a minimal level of function within 1-7 days. Minimal function would allow bicycles to navigate down the bikeway within 1-7 days of a disaster. If the bikeway is determined to be critical for supporting ingress and egress, and depending upon the bikeway design and the hazard, the bikeway may suffer little or no damage and be passable, or if it does suffer damage, it must be fixable within 1 to 7 days via temporary repairs or patches. In contrast, some bikeways in Boulder County double as floodways. If the hazard under consideration is a flood, then this particular facility may not be one that contributes to the minimal function goal, it may be more in line with a later time-to-recovery goal. Once the time-to-recovery project requirements are established, the design team then uses the Resilient Design Performance Standard checklist to score the project. Step 2: Complete Resilient Design Performance Standard score sheet The Resilient Design Performance Standard score sheet lists the nine criteria from the Colorado Resiliency Framework and a number of subsidiary indicators. The indicators are based on attributes of resilient socio-ecological systems, sustainability principles, and the Characteristics of Resilient Communities developed by BOCO Strong, the regional organization intent on building resilient social infrastructure. Use of the indicators helps project teams to incorporate resilience attributes into project design and to leverage infrastructure investments to create additional economic, environmental, and community value to improve the triple bottom line. For additional information on the indicators see Attachment 1: Indicators of Resilience. For all applicable projects funded by CDBG-DR (and if future non-CDBG-DR funded projects use this tool) project teams apply the Resilient Design Performance Standard score sheet to the project design for permanent projects with a budget in excess of $250,000. Some indicators are required for all projects including development of a business case, exploration of alternatives, and avoiding disproportionate impact on vulnerable populations. An additional number of optional indicators are included that are scored as either 1 or 2 points per indicator. Out of a total of 23 possible points, a project team must apply a minimum threshold of 18 or more points to meet the standard. Teams then document use of the indicators in the business case analysis and report. For temporary or emergency projects designed to initiate immediate relief (e.g., minimal), or for projects with a budget of $250,000 or less, only the indicators that are listed as required on the score sheet are needed. This helps immediate, smaller, and more focused projects to efficiently move forward. Teams for these types of projects are encouraged to use as many of the optional indicators as possible given time and budget constraints. When a project meets the required indicators and achieves or exceeds the applicable threshold score, that project is furthering progress towards achievement of the long-term, community-wide goals for time-to-recovery and contributing to the improvement of the community’s resilience. As more and more projects meet the threshold, and the more those goals are served in the long term, the greater

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the likelihood that the recovery goals will be met during future hazard events. Projects that meet or exceed the threshold are serving the long-term time-to-recovery performance goals. If the project does not meet the threshold, the project team will be required to revisit the indicators and add integrated resilient design features or processes until the project meets or exceeds the minimum required score to meaningfully contribute towards achieving the performance goals. However, when a project serves the intent of the Resilient Design Performance Standard by assessing the project against the standard and implementing integrated resilient design features or processes as feasible, but through unique circumstances due to timing, project type, or other factors, the project cannot achieve the threshold score, the project can still be considered to be in compliance with the HUD requirements as stated in 79 FR 106, p. 31968.

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Table 9: Resilient Design Performance Standard Score Sheet

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Step 3: Develop a business case Prepare a business case that documents how the project complies with the Resilience Performance Standard. A sample business case outline can be found in Attachment 3: Business Case Report Template.

The business case takes an analytical look at the project including alternatives, the costs, the return on investment both in terms of the economy and in value creation to the community and the environment. It is designed to enable efficient resource decisions and to appropriately value all relevant direct and indirect impacts, whether financial, environmental or social. With its emphasis on the triple bottom line, the business case helps to add rigor to the inclusion of environmental and social impacts as well as more financially-oriented economic analysis of projects.

Values are calculated both quantitatively and qualitatively. For example, two project alternatives may have similar capital and operations costs, but have a different qualitative impact on the community or the environment. Typical economics tools such as sensitivity analyses, various discount rates, and net present value calculations can help decision-makers make a fair comparison between alternatives.

Use of the business case template can help to create a common structure and toolkit of analytical tools. Use of the tools is intended to be flexible and practical with the expectation that project teams can reject infeasible alternatives to avoid unnecessary analysis.

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AttachmentsAttachment 1: Indicators of Resilience Specific indicators have been developed to guide projects towards fulfilling the criteria noted above as part of the Resilient Design Performance Standard Score sheet. These indicators align with the “Resiliency Prioritization Criteria” documented in the Colorado Resiliency Framework and BOCO Strong’s Characteristics of Resilient Communities, and are intended to help projects to become more resilient across the triple bottom line of economics, community, and the environment. They are based on application of elements of socio-ecological resilience science and sustainability practice. The overall goal of applying these indicators of resilience is to leverage every capital project as an opportunity to incrementally move Boulder County towards a more resilient future.

1. CO-BENEFITS Provide solutions that address problems across multiple sectors creating maximum benefit.

Indicator 1.1. Apply a business case format that includes consideration of alternatives and robust analysis of those alternatives across the triple bottom line of economics, community, and the environment.

By definition, the Co-Benefits Indicator overlaps with other indicators, including High Risk and Vulnerability, Economic Benefit Cost, and Social Equity. The business case pulls all these elements together when analyzing a project across the triple bottom line of community, economy, and the environment.

Projects usually have more than one way to achieve the same basic objective. For some proposals there may be different technologies, different labor-vs.-capital mixes, different centralized-vs.-decentralized solutions, etc. Each of these alternatives may have a different mix of costs and benefits in economic terms and in impacts to the community and environmental systems. The intent is to identify a broad array of alternatives to then select an alternative that provides the same or better levels of service with greater resilience as calculated across the triple bottom line.

“Triple bottom line” evaluations seek to quantify financial, environmental and social impacts. These impacts should be quantified to the extent practicable, while retaining all significant non-quantified impacts in order to promote decision-making based on relevant information from a variety of sources. Some project costs and benefits may have a market price while others may have only non-market or qualitative values. (For example, improving habitat connectivity for a wildlife species may have an ecological value but an uncertain quantifiable monetary value. Noting that the ecological value is “high” or “low” can contribute to understanding the relative benefits of various alternatives under

Indicators of ResilienceThe overall goal of applying the indicators of resilience is to

leverage every capital project as an opportunity to incrementally move Boulder County towards a more resilient future.

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consideration.) Some projects have externalities that create a positive or negative impact on entities other than the project proponent. Thus it is optimal if decisions are made with consideration of both internal and external impacts. Although they can be difficult to quantify, there are also often intangible perceptual values that are independent of quantifiable resource values. These intangibles often reflect social benefits (or costs) to people whose overall interests should be included in the analysis. Paying attention to the expected life of the project, residual value at the end of project life, and inter-generational equity transfers are often appropriately included on both the benefit and costs side of the evaluation. In preparing the business case, it is important to document consequential benefits and costs across the triple bottom line in quantifiable and qualitative terms.

A business case is prepared to take an analytical look at the project element alternatives, the costs and return on investment both in terms of the economy and in value creation to the community and the environment. See Chapter 3, Step 3 for more information. Also see Attachment 3: Business Case Report Template for example topics included in a well-developed business case.

BOCO Strong Characteristics of Resilience alignment: Robust and Able to Fail Safely, Resourceful, Inclusive, Integrated.

Indicator 1.2. Use multi-disciplinary design team to develop and consider a range of integrated solutions that provide enhanced value across the triple bottom line.Many design teams convene a mix of experts and stakeholders with diverse backgrounds and expertise who can help to generate alternative strategies to achieve the project objective. The most valuable charrette participants are those people who have deep expertise in their chosen field AND a wide-ranging interest across the silos of practice. They have a combination of depth and breadth. Depth is important because it allows the team to have confidence that a novel approach can be accomplished. The breadth is important because it brings in unique insights that create new ways to look at a situation. Teams should seek out and explore creative synergies in order to generate new alternatives to solve complex problems. Team leaders should seek out individuals with depth in one field and a breadth of appreciation for other fields. See Attachment 2: The Charrette Process for more detail.

BOCO Strong Characteristics of Resilience alignment: Able to Learn, Resourceful, Inclusive, Integrated.

2. HIGH RISK AND VULNERABILITYEnsure that strategies directly address the reduction of risk to human well-being, physical infrastructure, and natural systems.

Indicator 2.1. Align with the time-to-recovery performance goal.When preparing to build, repair, or replace infrastructure or community facilities, project teams must determine applicable time-to-recovery goals found in the time-to-recovery goals matrices. The goals identify the desired time-to-recovery after natural hazard events. To calculate if a project design can meet the time-to-recovery goal, project designers estimate the damage from a design hazard event such as a 100 year flood and the time and cost to repair it. This estimate should be included in the

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business case report developed for the project. The project satisfies the time-to-recovery goal if the project as designed can be permanently repaired or replaced within the timeframe allotted for the operational goal as indicated in the time-to-recovery goal matrix for the specific facility or infrastructure. The project should also be compared to the shorter timeframe performance goals of minimal or functional time-to-recovery. If the project does not satisfy those goals, then the team needs to indicate in the business case how the structural, temporary, or program-level work-arounds will deliver these shorter timeframe performance goals6. BOCO Strong Characteristics of Resilience alignment: Robust and Able to Fail Safely, Redundant, Flexible. Indicator 2.2. Identify gaps and find solutions for moving forward. If the project is dependent on the capacity of supporting infrastructure in order to meet the operational goal after an extreme event then the project team must develop and document in the business case the gap in performance and mitigate that gap with structural, temporary work-arounds, or programmatic strategies that will be included in order to comply with the required operational time-to-recovery performance goal. For example, the community-wide operational time-to-recovery goal for detention facilities is zero days, therefore, due to the goal being the most restrictive; it can be assumed that a specific detention facility would have the same expectation. Yet if the wastewater collection system is unable to provide service at that same performance level, then the detention facility must identify how it will work around this issue. The work-around may be to build onsite wastewater treatment, or to work with the wastewater treatment system operators to increase the robustness of the system to meet this standard, or to secure a hauling contract to haul and treat wastewater to an offsite location. Gaps and work-around solutions are included in the business case. BOCO Strong Characteristics of Resilience alignment: Robust and Able to Fail Safely, Redundant, Flexible. In addition, BOCO Strong’s Community Resilience Assessment can be a complementary tool to crosswalk gaps and solutions for infrastructure and community resilience. Indicator 2.3. Consider project alternatives that augment capacity and increase buffers from high risk locations such as floodplains, landslide and urban wildfire interface when applicable. A hazard is only a hazard if built systems are vulnerable to it. Projects can be vulnerable due to choices made in location and design. Reducing exposure to risk is a definitive precursor to resilience. Project teams should develop project designs that reduce vulnerability and increase the capacity of natural systems that are subject to catastrophic events such as floodplains, landslide and urban wildfire interface. Project design teams can seek out solutions and partnerships with public and private entities to create projects that reduce exposure and increase buffers from extreme events. Document the alternatives considered in the Business Case. BOCO Strong Characteristics of Resilience alignment: Robust and Able to Fail Safely, Flexible, Resourceful. 6 Some projects may not be able to satisfy the operational goal, but would still be considered in compliance with the resilient design performance standard if the design team assesses the project in Step 2 and incorporates resilient design features and processes as feasible.

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3. ECONOMIC BENEFIT COST Make good financial investments that have the potential for economic benefit to the investor and the broader community both through direct and indirect returns. 3.1. Evaluate benefit of programmatic solutions when developing alternatives for capital projects.Some projects can meet their objectives either with major capital facilities that require little operational effort and expense, or alternatively with smaller or less costly capital facilities that require greater ongoing operating or maintenance efforts. Without proper consideration, project teams may generally assume that a capital project is always superior on the assumption that maintenance costs will always overwhelm capital and debt service costs. However, many asset managers have discovered that levels of service may at times be more cost-effectively met with a rapid repair program rather than a large and expensive capital improvement program. This has the added benefit of creating jobs local to the area with that capital circulating in the local economy rather than being exported to manufacturers outside of the community. A programmatic solutions analysis helps teams to find out which approach best serves the objectives. Complications can arise if the funding source is for capital only or for operations only even if cost savings and triple bottom line benefits would otherwise be available. This indicator must be documented in the business case.

BOCO Strong Characteristics of Resilience alignment: Redundant, Resourceful.

3.2. Consider if project can increase nearby land and property values and encourage local business opportunities.In evaluating project alternatives, some alternatives may be able to be configured in ways that increase the benefits they provide to local residents, landowners, and business owners. The capacity of the community to be resilient in the face of disaster is increased when the community has a greater economic baseline to tap in times of stress, shock, and disruption. If project teams do not consider these options, then the potential to enhance the value to the community and the local economy is a lost opportunity. The intent of this indicator is to encourage project teams to seek to maximize the community values across the triple bottom line. Consideration does not imply that the project must increase nearby land and property values – only determine if it is a possibility. When the project team applies this indicator during their analysis they must document their findings in the business case.

BOCO Strong Characteristics of Resilience alignment: Redundant, Integrated.

3.3. Consider if project can create opportunities for local jobs and trainingProject teams should seek to develop alternatives that can augment building the capacity of residents to improve their skills and increase their job prospects. As in the Indicator G. above, the capacity of the community to be resilient in the face of disaster is increased when employees have a greater skills base and earning power to tap in times of recovery. If the project team applies this indicator during their analysis, they must document their findings in the business case.

BOCO Strong Characteristics of Resilience alignment: Able to Learn, Diverse, Inclusive.

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4. SOCIAL EQUITYProvide solutions that includes consideration of populations that are often most fragile and vulnerable to sudden impacts due to their continual state of stress.

4.1. Avoid disproportionate negative impacts to vulnerable populations. Use the Community Inclusion in Colorado mapping project to identify location-based demographics of populations that might be disproportionately impacted by the project. Seek to avoid or mitigate negative impacts. Look for solutions that engage affected populations as experts to help the project to align with their needs. Use these findings in preparing the triple bottom line analysis in the business case that evaluates economic, community, and environmental benefits and costs of the project.

BOCO Strong Characteristics of Resilience alignment: Inclusive.

4.2. Encourage diversity of actors and processes at each scale.Systems can increase adaptive capacity with multi-scale diversity. Broad diversity of race, culture, gender, skills, income, and history helps a community to have increased capacity to understand change, innovate in the face of change, and provide perspective to change or disruption. Reaching out to local experts and staff with different backgrounds, cultures, and life experience can open up a broader range of alternatives to be considered. Broader alternatives consideration, especially across the silos of expertise can often provide the most value and adaptability for urban systems facing novel challenges from a variable climate. Encourage a diversity of viewpoints and document the public outreach and consultation process and findings in the Business Case.

BOCO Strong Characteristics of Resilience alignment: Diverse.

4.3. Maintain and enhance social connectedness up, down, and between community groups, civic groups, religious and cultural communities, as well as opinion leaders in business and environment to foster understanding of complex adaptive systems and to reinforce the social connections and identity of residents, employers, and employees..During times of stress, communities that are connected are better able to adapt to changing conditions. For example, if a tornado or flood destroys a business district or neighborhood, the local people who know each other in advance of the event have increased capacity to work together to address the needs of the moment. Thus a key strategy for social resilience is to connect the highly-connected nodes in a community before an event. A thorough and inclusive outreach process connected to projects can reach out to government officials, community leaders, cultural leaders, and opinion leaders in the project area. A goal is to connect highly connected leaders in business, environment, and social equity so they are well-acquainted with each other and can then leverage each other’s network of trusted contacts and advisors.

Understanding that we are in a complex continually adapting world can become a framework for how we give meaning to shocks, shifts, and gradual change. In sharing stories we reinforce social connections and help people to understand intuitively that we are in a world where coping with change and uncertainty is understood as an appropriate management approach. Civic leaders and project teams can frame their messages during project outreach and consultation in terms of “who we are”: we are people who are survivors, who help each other, who build back better for ourselves and

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for future generations. The stories create expectations about the challenges faced and the lessons learned. Document the public outreach process in the business case.

BOCO Strong Characteristics of Resilience alignment: Flexible.

4.4. Incorporate monitoring and feedback loops to enable project managers to moderate behavior, be accountable, and adapt as conditions change.Resilience of a system is enhanced if accountability measures and verification provide metrics that create assurances that projects and processes will tend to perform as expected. Monitoring and understanding signals of impending change can provide feedback that helps to maintain stability in the face of shocks or surprise or long term underlying variables. Managing well in the face of change includes having the ability to sense and understand changes underway. A robust outreach and consultation strategy reaches out early and often to monitor project impacts and make adjustments as needed. Being clear and transparent on accountability systems also builds trust for the project, the process, and the proponent. Document the ongoing public outreach, monitoring, and accountability measures in the business case.

BOCO Strong Characteristics of Resilience alignment: Able to Learn, Flexible, Inclusive, Integrated.4.5. Create places that foster community identity and that enhance the experience of neighbors and visitors.People take care of things that they cherish. While every project gets designed, too often functionality is the only consideration when a project could create a broad range of additional values for the community. Excellent design demonstrates empathy for the community it serves and creates an emotional resonance that people value. A single project can integrate intimately with people’s lives, and this provides an opportunity to contribute to quality of life that can have a domino effect on improving other aspects of a community. Encourage project design teams to consider alternatives that create beauty, aesthetics, and appreciation on behalf of those that take ownership, real or symbolic. Document the value of the design excellence via monetary quantification or qualitative descriptions in the Business Case.

BOCO Strong Characteristics of Resilience alignment: Integrated.5. TECHNICAL SOUNDNESSIdentify solutions that reflect best practices that have been tested and proven to work in similar regional contexts

5.1. Design project to meet existing engineering and building code standardsAll projects must meet existing codes and legal requirements as a baseline condition. Safety standards for buildings and infrastructure are set via building codes or existing engineering standards based on design hazard levels (e.g., 100 year flood). Projects must meet other existing minimum requirements where required, such as those for energy and water conservation. Project teams demonstrate compliance by securing permits as needed.

BOCO Strong Characteristics of Resilience alignment: Not applicable. This is a minimum requirement intended as a baseline step from which to build upon for resilience.

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5.2. Consider how well project will perform in uncertain times.Uncertainties from climate change, technological shifts, population growth, and resource scarcity make it difficult-to-impossible to accurately determine the appropriate capacity for a system to absorb an uncertain range of stresses, shocks, and disturbances. Testing how alternative solutions respond across a range of possible future conditions can help the project team to determine which project design performs the best. For a flood project, the team would evaluate how the system would perform under a 500-year or a 1,000-year flood. Apply a sensitivity analysis to project alternatives under consideration to determine vulnerability to uncertainties and risks to success. Consider if there are non-capital mitigation strategies that might enhance the project to mitigate this small probability high impact events. Include the results in the sensitivity analysis in Business Case.

BOCO Strong Characteristics of Resilience alignment: Robust and Able to Fail Safely.

6. INNOVATIONAdvance new approaches and techniques that will encourage continual improvement and advancement of best practices serving as models to others in Colorado and beyond.

6.1. Project teams should consider both traditional and nontraditional alternatives to a proposed project. The value of non-traditional approaches is that they tend to be multidisciplinary and may create benefits and costs sometimes missed in traditional practice. The intent is to compare traditional and nontraditional alternatives that are feasible and provide outcomes with the same or better levels of service. The definition of traditional can change over time. For example, some sustainability project elements such as energy conservation were considered non-traditional two decades ago. Now, they are considered the norm. This indicator encourages project designers to consider cutting edge technologies and methods when defining the non-traditional alternative. If, however, an alternative has a self-evident fatal flaw or is infeasible, it should be documented as considered and rejected with a rationale for elimination to avoid expending resources on non-competitive alternatives. Document the alternatives considered in the Business Case.

BOCO Strong Characteristics of Resilience alignment: Able to Learn, Flexible, Resourceful.

6.2. Consider if natural system functions can be included in project design and operations.Use nature as a partner and metaphor in project design. Retain, enhance, reintroduce, or mimic natural processes and habitats. Salvage and reuse native topsoil according to habitat type to improve survival rates of revegetated areas. Use deep friable soils to retain rain and seek to extend green networks of natural infrastructure throughout urban areas. In buildings create natural ventilation and flood indoor areas with natural daylight. Use transportation corridors to increase native vegetation, grow food, or grow habitat for pollinators. Encourage greening of neighborhoods and green stormwater infrastructure to enhance vegetated cover in urban areas to control runoff, improve air quality, reduce the urban heat island effect, and improve property values.

BOCO Strong Characteristics of Resilience alignment: Flexible, Resourceful.

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7. ADAPTIVE CAPACITYInclude flexible and adaptable measures that consider future unknowns of changing climate, economic and social conditions.7.1. Consider project solutions at a variety of different scales so that impact at any one scale is less likely to impact similar functioning systems at different scales.Infrastructure systems such as district energy and water systems can add adaptive capacity to the whole system as an impact at any one scale may not impact similar functions at different scales with different system drivers. Legacy centralized systems continue to provide the backbone levels of service, but district-scale systems can relieve the peak demands on the centralized systems and provide additional buffers against extreme events.

BOCO Strong Characteristics of Resilience alignment: Redundant, Integrated.7.2. Consider a diversity of sources to add adaptability and flexibility for infrastructure systems during times of stresses, shocks, or loss of access to resources. In water supply, systems are more reliable when they have a variety of sources with different functional profiles. Water diverted from two watersheds increases reliability over just one as the rain and snowfall in each watershed may differ year upon year. Similarly, groundwater wells provide a third source of reliability. Many utilities are turning to reclaiming wastewater for nonpotable purposes as a drought-proof water supply augmentation. Diversity of sources applies just as well in other contexts such as use of multiple sources of electrical energy such as energy grids plus onsite renewables plus batteries plus wind; diversity of thermal sources such as solar hot water plus sewer heat recovery plus geoexchange to tap the thermal energy of the earth; and, diversity of food supply from both imported and locally available sources. Apply the consideration of diversity of sources in the project design charrette process and document results in the Business Case.

BOCO Strong Characteristics of Resilience alignment: Redundant, Flexible, Diverse.7.3. Consider cost-effective modular, repeatable strategies.Use of modularity can provide quick repairs for replaceable parts that can be replicated as needed in similar circumstances. In nature, assemblages of smaller modular systems can be built into larger multi-functional systems with capacity to adapt to stress, shock, and rebuild. The modular approach can be repeated across urban service areas to increase adaptive capacity. Apply the consideration of modularity in the project design charrette process and document results in the Business Case.

7.4. Consider if the project can maintain and enhance connectivity between habitat systems and provide appropriate buffers to allow habitat to serve beneficial functions for plants and wildlife. Species have greater options to find required food, shelter, and breeding options within connected habitat systems. Buffers and setbacks allow for an appropriate transition between habitat and developed areas to decrease plant mortality and provide shelter and separation for wildlife from human activities and associated noise. Apply the consideration of connectivity and buffering of habitat in the project design process and document results in the Business Case.

BOCO Strong Characteristics of Resilience alignment: Flexible, Diverse, Integrated.

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7.5. Consider if the project can enhance the range of mobility connections. Choices in mobility modes increase the adaptive capacity of the community during times of stress, shock, or loss of access to other modes. Bicycle trails and walkways are energy efficient and reliable methods of mobility that provide connectivity when roads are damaged or fuel supplies are low. Helicopters and drones can supply resources and information to isolated areas. Apply the consideration of connectivity of modes of mobility in the project design process and document results in the Business Case.

BOCO Strong Characteristics of Resilience alignment: Redundant, Diverse, Integrated.

7.6. Consider if project can store and restore capacity of reserves at each scale so isolated elements can survive for a period on their own. The overall ability of a system to absorb shocks or disruption is increased if essential reserves of energy, food and water are stored at each scale. Energy storage at the building and neighborhood scale can moderate and avoid costly peak demand energy supplies and soften the impact of centralized outages. Storage of food and water at the neighborhood level can greatly increase the capacity of communities to handle extreme events. Apply the consideration storage in the project design process and document results in the Business Case.

7.7. Evaluate potential of creating semi-autonomous systems at the building, neighborhood, and district scale.Semi-autonomous systems are self-organizing and have the capacity to self-correct given new insight and information. They do not require extensive command and control and are the source of innovation that can create novel adaptations to variability. This innovation provides increased capability for all systems to adapt to fast and slow change. Apply the consideration of semi-autonomous systems in the project design process and document results in the Business Case.

BOCO Strong Characteristics of Resilience alignment: Redundant, Resourceful.

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8. HARMONIZE WITH EXISTING ACTIVITYExpand, enhance, or leverage work being done to build on existing efforts. Assure outcomes that are environmentally friendly, sustainable, and complementary to the natural setting

8.1. Identify project design solutions that leverage and enhance the function of existing natural, social, and infrastructure systems.A project that can provide multiple benefits provides more value to a community than one that only serves a single purpose. Stormwater management can create new open spaces. Transportation projects can provide habitat. Green stormwater infrastructure can increase nearby property values, cool hot summer weather, and increase habitat. Reviewing existing plans and information sources can identify opportunities for mutual support. Additionally, a project does not stand alone; it interacts with other projects or activities that are underway and can create a cumulative effect. Cost effectiveness increases if multiple objectives create synergistic benefits. Document multiple benefits in business case report.

BOCO Strong Characteristics of Resilience alignment: Able to Learn, Flexible, Integrated.

9. LONG-TERM LASTING IMPACTCreate long term gains to the community with solutions that are replicable and sustainable, creating benefits for present and future generations.

9.1. Account for value of benefit to future generations when identifying preferred project designs.We are trustees of the natural environment for future generations who have an equal claim to use and benefit from it. Similarly, we are the trustees of the built environment, since some infrastructure is built to last for decades or longer. Yet all too often, decision-making is predominately made from the perspective of the present generation. Every generation experiences the impact of imperfect decision-making from previous generations. Likewise, future generations will face challenges presented by our design decisions today. There is value in accounting for the multi-generational trustee role and imperfect knowledge in today’s decision-making.

This challenge can be addressed in part during economic analyses through the use of discount rates selected to better balance long-term benefits and costs. For multi-generational investments the Office of Management and Budget recommends use of a real 1% discount rate in determining the benefit cost ratio. This real discount rate (above inflation) is calculated in addition to the more typical 3% discount rate used by many government entities and the 7% discount rates (often used to reflect a private investment perspective). Use all three discount rates in the analysis. Use of the 1% discount rate creates a more attractive benefit:cost ratio than might otherwise be the case if only using the 3% or 7% discount rates. Decision-makers can select which discount rate is most appropriate when selecting the preferred alternative project design.

BOCO Strong Characteristics of Resilience alignment: Able to Learn, Inclusive.

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Attachment 2: The Charrette Process

1. Convene multi-disciplinary teams for intense pre-design session to identify possible alternative solutions.

2. Assemble maps, background materials, project purpose, and resilience performance standards.

3. Develop wide-ranging possible solutions.4. Capture charrette outputs via drawings, sketches, maps, and written reports.5. Refine best solutions for further evaluation in normal project development processes.

Preparation for a charrette requires maps, background information, connectivity to the web and GIS, white boards, work areas, printers, food, and facilitation. Typically, charrettes are small with a dozen or two participants, although some charrettes can include hundreds of participants. Length of time for a charrette is from half a day up to five days for larger efforts. Teams of participants, perhaps 5-10 per team, are given assignments and short periods of time to generate ideas, assemble them into plausible solution sets, and then to do quick troubleshooting and refinement.

There are regular times when teams assemble to update each other. It is quite helpful to invite regulators to the charrette to become “barrier busters.” Their job is to help the teams identify if there are regulatory challenges of a particular approach and to help the team understand what it would take to adjust the approach or to adjust the regulations to achieve the creative outcome.

The outputs of the charrette are captured via drawings, written reports, and sometimes video or audio recordings. Design teams that continue forward after the charrette then vet and refine the generated alternatives to determine which may be most resilient, sustainable, plausible, affordable, or add the most value to the community and the environment. Lastly, the design teams provide a business case that documents consideration and analysis of alternatives considered for the project.

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Attachment 3: Business Case Report Template

A business case should be commensurate with project size and complexity. Simple projects could be 2 to 3 pages, but more complex projects may require substantial documentation.

1) Background2) Project History3) Project Description (Use measurable terms if possible)

i) Objectivesii) Why is project needed?iii) What resources are needed?iv) What service level will the project meet?v) What functional purpose will the project accomplish?vi) What outcomes will the project produce?vii) How will success be measured?viii) How does the project serve the needs of the community?ix) What are project risks?x) What are positive and negative effects on ongoing O&M practice?

4) Timetablei) What is the project timeline?ii) What are the key milestones?iii) Will project be developed in phases?iv) Where are go/no-go decisions made?

5) Mapi) Include mapii) Provide concept plan or sketch

6) Public Outreach and Consultation Processi) Avoidance of impacts to vulnerable populations?ii) Diversity of outreach?iii) Enhance social connectedness?iv) Incorporate monitoring and feedback?v) Tell the story of the project?vi) Build trust?vii) Create places that enhance the experience of neighbors and visitors?

7) Outline and evaluate alternativesi) Did project team use an integrated design charrette?ii) What are the alternatives identified to achieve the project objectives?iii) What resilience indicators were included and what was the result of applying each

indicator?iv) Were creative or unconventional options considered?v) What is the outcome of doing nothing?vi) Pros and cons of each alternativevii) What are the potential uncertainties?viii) What are the risks to success?ix) Any institutional barriers that exclude certain options?

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8) Metrics for success and accountability measuresi) How will project success be quantified?ii) What is the plan to measure success?

9) Other Agency Issuesi) Does project success require actions from other agencies?ii) What are their issues?

10) Triple Bottom Line Analysis 11) Show capital and O&M cost for alternatives12) Multi-year costs

i) Use Present Value @ 1, 3, and 7% discount rateii) Include total capital costiii) Include long-term O&Miv) Include any other lifecycle costsv) Include indirect community costs

13) Benefitsi) Quantify if possible: direct, indirect and monetaryii) Highlight intangible (difficult to quantify) benefits including:

Co-benefits High risk and vulnerability Economic benefit cost Social equity Technical soundness Innovation Adaptive capacity Harmonize with existing activity Long term lasting impact.

14) Net Present Value (NPV)iii) Calculate NPV for costs and benefits that are quantifiable in dollar valuesiv) Alternatively, show project cost-effectiveness when benefits are non-monetary

15) Recommendationv) Why is it recommended?vi) What is capital expenditure timing?vii) What is overall project timeline?

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Appendices (Included in Volume II)

Appendix A: Stakeholder Engagement Summary and NotesAppendix B: Community-Specific Time-to-Recovery Performance Goals MatricesAppendix C: Workshop Sign-in Sheets

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Resilient Design Performance Standardfor Infrastructure and Dependent Facilities

Boulder County CDBG-DR Collaborative

VOLUME II – APPENDICES

March, 2016

Prepared by: Steve Moddemeyer and Sean Keithly – CollinsWoerman

Chris Poland – Chris D. Poland, Consulting Engineer

Julie Baxter and Marine Siohan – Acclivity Associates

For: Boulder County CDBG-DR Collaborative

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Volume II

Table of ContentsAppendix A: Stakeholder Engagement Summary and Notes ...........................................................................4

Appendix B: Community-Specific Time-to-Recovery Performance Goals Matrices .........................................6

City of Boulder.......................................................................................................................................7

Boulder County Unincorporated Areas .................................................................................................15

City of Longmont ................................................................................................................................23

Town of Lyons .....................................................................................................................................31

Town of Jamestown .............................................................................................................................38

Town of Nederland ..............................................................................................................................45

Community-Specific Feedback on Time-to-Recovery Goals.................................................................54

Appendix C: Workshop Attendee Sign-In Sheets .........................................................................................55

Project Kick-Off Meeting – 11/20/2015 .................................................................................................56

Oversight Committee Workshop – 12/11/2015 ......................................................................................57

Stakeholder Workshop– 1/11/2016 ........................................................................................................58

Infrastructure / Utility Providers Workshop – 1/11/2016 ..........................................................................60

Implementation Training Workshop – 3/17/2016 ...................................................................................61

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Appendix A: Stakeholder Engagement Summary and NotesTo create and refine the time-to-recovery goals matrices for Boulder County and each community, Collaborative members and stakeholders participated in a series of meetings:

● Project Kickoff Meeting, November 20, 2015. The purpose of this meeting in Longmont was to set the stage for the project by identifying existing best practices and similar frameworks to help guide the project, presenting the recent work of the National Institute for Standards and Technology (NIST) in the area of community resilience planning and the NIST community resilience concepts, and to present the project in the larger context of the recently completed Colorado Resiliency Framework. In addition to the consultant team, the meeting included representatives from the Cities of Longmont, Boulder, and Louisville, the Towns of Nederland and Jamestown, Boulder County, the State of Colorado Department of Local Affairs (DOLA) and Resiliency and Recovery Office (CRRO), and the United States Department of Housing and Urban Development (HUD) Region 8 Office, for a total of 21 people.

● Resilience Performance Goals Meeting, December 11, 2015. The purpose of this meeting in Boulder of the Collaborative was to develop the draft resilience performance goals for Boulder County by filling the time-to-recovery matrix for the region and defining acceptable levels of recovery time and functionality for elements of each cluster. In addition to the consultant team, the meeting included representatives from the Cities of Longmont, Boulder, and Louisville, the Towns of Nederland and Lyons, Boulder County, DOLA and CRRO, and the Science and Technology Policy Institute, for a total of 22 people.

● Utility Provider Workshop, January 11, 2016. This workshop in Boulder was with utility or service providers to introduce the project to and collect their input on the draft time-to-recovery matrices that had been developed by the Collaborative. In addition to the consultant team, the utility providers meeting included representatives from the Cities of Longmont, Boulder, and Louisville, the Town of Lyons, Boulder County, HUD, and Western Disposal, for a total of 22 people.

● Stakeholder Workshop, January 11, 2016. Each community in the Collaborative identified stakeholders to invite to this workshop based on expertise and responsibility as related to building and infrastructure categories and community services in the matrices. The purpose of the workshop was to introduce the project and collect input on the draft time-to-recovery matrices. Each community of the Collaborative was given opportunity to tailor matrices to better reflect their circumstances and priorities. In addition to the consultant team, the stakeholders meeting included representatives from the Cities of Longmont, Boulder, and Louisville, the Towns of Lyons, Jamestown, and Nederland, Boulder County, the Fourmile Watershed Coalition, the State of Colorado Division of Homeland Security and Emergency Management, CRRO, HUD, the National Renewable Energy Laboratory, BOCO Strong,

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Boulder Small Business Development Center, GP HomeOwners Association, Hill Petroleum, Via, and Western Disposal, for a total of 36 people.

● Resilient Design Performance Standard Implementation Training, March 17, 2016. Representatives of communities in the Boulder County Collaborative and other stakeholders participated in a three-hour training on how to apply the Resilient Design Performance Standard to projects, how to provide guidance to others to do the same, and to give feedback on finalizing the standard. The team walked through two examples of applying the standard to existing CDBG-DR projects.

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Appendix B: Community-Specific Time-to-Recovery Performance Goals Matrices (Following Pages)

Local community representatives developed specific comments on the time-to-recovery matrices which are included here. These comments are provided as additional input and are meant to be advisory to project design teams. The decision to use the overall time-to-recovery matrix included in Volume 1 or these advisory performance goals is the choice of the local jurisdiction.

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City of Boulder

0 1 1-7 1-4 4-8 8-12 4 4-24 24+

Critical FacilitiesShould waste-water facilities be in the critical facilities cluster?

Emergency Operations Centers Operational

First Responder Facilities(Fire- and police-stations)

Operational

Hospitals Minimal Functional OperationalTalk to Boulder County Health and Medical Response (HAMR) group and get them to validate:Mary Pancheri, 303-994-4352, [email protected]

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational Changed to march row 24: Businesses - retail

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational Kids need to be in school for parents to resume their activities.

Daycare centers, incl. home-base centers

Is this the responsilbil ity of the local governments?

Hotels and Motels Functional% Operational

Community Recovery

Businesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESCITY OF BOULDER:

BUILDING CLUSTERS

Design Hazard PerformancePhase 1

DaysPhase 2Weeks

Phase 3Months

Comment from Mark Gittes (Boulder SBDC):I looked through the "business" categories l isted under "community recovery" and I think the percentages look pretty good. As stated, critical retail businesses would be high priority and there might be different opinions on that category. Obviously businesses depend very much on transportation (to receive and ship product and for employees to get to work!), energy, and communication. At the time of the 2013 floods I owned a manufacturing company and we were shut down for about a week. Our power came on after 3 days but Arapahoe was sti l l closed so we couldn't ship product and the employees couldn't come to work. I was able to check emails and get calls on my phone so communication wasn't really affected that much. We didn't have damage but the business right next to us was flooded and some of his computer equipment got ruined. Anyway, if you have any specific questions feel free to ask. Thanks.

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City of Boulder

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Ingress (goods, services, disaster relief)Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional Operational

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional Operational

Bikeways Minimal Functional Operational

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional Operational

Egress (emergency egress, evacuation)Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional Operational

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional Operational

Bikeways Minimal Functional Operational

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional Operational

Community ResilienceCritical FacilitiesEmergency Operational Centers Operational Match the building cluster matrix.

Police and Fire Stations Operational Operational Match the building cluster matrix.

Hospitals Operational You can only access to BMC via Arapahoe Avenue, so this road should be accessible at all times.

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

COMMENTS / NOTES

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks MonthsCITY OF BOULDER:

TRANSPORTATION INFRASTRUCTURE

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City of Boulder (Transportation, Cont.)

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Daycare centers, incl. home-base centersHotels and Motels Functional Operational

Community Recovery

Businesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Non-emergency City Services

Modified to mirror building cluster matrix

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City of Boulder

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Source WaterRaw Water, Source Water, Terminal Reservoirs

Functional Operational

Raw Water Conveyance Functional Operational

Irrigation Ditches Minimal Functional Operational

Potable Water Supply (WTP, wells, impoundments)

Minimal Operational

Water for Fire Suppression Minimal Operational

Transmission (Including Booster Stations)Backbone Transmission Facilities (pipelines, pump stations, tanks)

Minimal Functional Operational

Control SystemsSCADA or other Minimal Functional Operational

DistributionCritical FacilitiesEmergency Operations Centers Operational

First Responder Facilities(Fire- and police-stations)

Operational Operational

Hospitals Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Daycare centers, incl. home-base centersHotels and Motels Functional% Operational

Drinking Water at community distribution centers

Minimal

Water for fire suppression at fire hydrants

Minimal

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Modified to mirror building cluster matrix

COMMENTS / NOTESDays Weeks Months

CITY OF BOULDER:WATER INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

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City of Boulder

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Treatment PlantsTreatment plants operating with primary treatment and disinfection

Minimal Functional Operational

Treatment plants operating to meet regulatory requirements

Minimal Functional Operational

Trunk LinesBackbone Transmission Facilities (major trunk lines, lift stations, siphons, relief mains, aerial crossings) pump stations, tanks)

Minimal Functional Operational

Control SystemsSCADA or other Minimal Functional Operational

Collection LinesCollection Liness Minimal Functional Operational

Critical Facilities

Emergency Operations Centers Operational

Modified to mirror building cluster matrix

Additional revision after that with input from input from the head of the wastewater treatment facil ity here in

Boulder (Chris Douvil le) on the:- Collection Lines row

- Assisted Living Facil ities row: moved the Minimal- Daycare centers: added percentages

- Hotels and Motels row: added MinimalFirst Responder Facilities(Fire- and police-stations)

Operational Operational

Hospitals Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Daycare centers, incl. home-base centers

Minimal Functional Operational

Hotels and Motels Minimal Functional Operational

Threats to Public Health and Safety are controlled by containing and routing raw sewage away from public

COMMENTS / NOTESPhase 2 Phase 3Days Weeks Months

CITY OF BOULDER:WASTE WATER INFRASTRUCTURE

Design Hazard PerformancePhase 1

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City of Boulder

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Creek CorridorsDebris Removal Minimal Functional OperationalChannel or Levy Repair Minimal Functional OperationalStream Restoration OperationalTrail Restoration Minimal Functional OperationalHabitat Restoration OperationalParks, Public Open SpaceDebris Removal Minimal Functional OperationalLevee Repair Minimal Functional OperationalStream Restoration Minimal Functional OperationalTrail Restoration Minimal Functional OperationalHabitat Restoration Minimal Functional Operational

WATERSHEDS AND NATURAL INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

Contigent on local, state, federal permitting processes

Contigent on local, state, federal permitting processes

COMMENTS / NOTES

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City of Boulder

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Power - Electric UtilitiesCommunity Owner or Operated Bulk GenerationIn Place Fueled Generation (Hydro, Solar, Wind, Wave, Compressed Air)

Functional Operational

Transmission and Distribution (including Substations)

Operational

Critical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail % Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

ENERGY INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks MonthsCHANGE NEEDED

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City of Boulder

0 1 1-7 1-4 4-8 8-12 4 4-24 24+ Core Communications BuildingsCommunications Hub (e.g., Central Office, IXP, Data Centers, etc.)

Functional Operational

Last MileCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing Operational

NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESCITY OF BOULDER:

COMMUNICATIONS INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

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Boulder County Unincorporated Areas

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Boulder County Unincorporated Areas

0 1 1-7 1-4 4-8 8-12 4 4-24 24+

Ingress (goods, services, disaster relief)90% by 8-12 Weeks is more appropriate for most; Some transportation access critical in phase 1 for county services

Freeways and Expressways 0% Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional OperationalPeak to Peak Highway is critical for mountain towns; if one canyon is closed can get to another. For Lyons, highways 36 and 66 are critical

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional OperationalProvided there are other access routes, this can be managed.

Bikeways Minimal Functional OperationalLooser standards, not critical in phase 1 - roads can be biked upon if bike routes closed

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational Bus route critical for NederlandA Regional Airport Minimal Functional Operational

Private bridges and culverts [added] Minimal Functional Operational

Egress (emergency egress, evacuation)

What is reasoning for differences between ingress and egress infrastructure capacity? Consider making recovery times for roads used for ingress and egress the same (they are the same roads)

Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional OperationalPeak to Peak Highway is critical for mountain towns; if one canyon is closed can get to another

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional OperationalProvided there are other access routes, this can be managed.

Bikeways Minimal Functional Operational Not critical for evacuation; can bike on roads.Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional Operational Bus route critical for NederlandCommunity ResilienceCritical FacilitiesEmergency Operational Centers Functional Operational

Police and Fire Stations Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

COMMENTS / NOTESMonths

TRANSPORTATION INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks

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Boulder County Unincorporated Areas (Transportation, Cont.)

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community RecoveryBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Non-emergency City Services

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Boulder County Unincorporated Areas

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Source WaterRaw Water, Source Water, Terminal Reservoirs

Functional Operational Critical in mountain towns

Raw Water Conveyance Functional Operational

Irrigation Ditches Minimal Functional Operational

Potable Water Supply (WTP, wells, impoundments)

Minimal Operational

Water for Fire Suppression Minimal Operational NOCritical to have some availability of water for fire suppression day 0 in each town/community

Transmission (Including Booster Stations)Backbone Transmission Facilities (pipelines, pump stations, tanks)

Minimal Operational

Control SystemsSCADA or other Minimal Operational

DistributionCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Drinking Water at community distribution centers

Minimal

Water for fire suppression at fire hydrants

Minimal

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Days Weeks MonthsWATER INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3 COMMENTS / NOTES

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Boulder County Unincorporated Areas

0 1 1-7 1-4 4-8 8-12 4 4-24 24+

Treatment PlantsTreatment plants operating with primary treatment and disinfection

Minimal Functional Operational

Treatment plants operating to meet regulatory requirements

Minimal Functional Operational

Trunk LinesBackbone Transmission Facilities (major trunk lines, lift stations, siphons, relief mains, aerial crossings) pump stations, tanks)

Minimal Functional Operational

Control SystemsSCADA or other Functional Operational

Collection LinesCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Threats to Public Health and Safety are controlled by containing and routing raw sewage away from publicCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESWeeks

WASTE WATER INFRASTRUCTURE

Design Hazard PerformancePhase 1

Short-TermPhase 2

IntermediatePhase 3

Long-TermDays Months

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Boulder County Unincorporated Areas

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Creek CorridorsDebris Removal Minimal Functional OperationalChannel or Levee Repair Minimal Functional Operational

Stream Restoration OperationalReality from 2013 much different. Season dependent, fire area revegetation. Exigent protection measures

Trail Restoration Operational

Habitat Restoration Operational Several years of ongoing restorationParks, Public Open SpaceDebris Removal Minimal Functional OperationalLevee Repair Minimal Functional OperationalStream Restoration Minimal Functional OperationalTrail Restoration Minimal Functional OperationalHabitat Restoration Minimal Functional Operational

COMMENTS / NOTESWATERSHEDS AND NATURAL

INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

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Boulder County Unincorporated Areas

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Power - Electric UtilitiesCommunity Owner or Operated Bulk GenerationIn Place Fueled Generation (Hydro, Solar, Wind, Wave, Compressed Air)

Functional Operational

Transmission and Distribution (including Substations)

Operational Add new row - containment of oil and gas wells

Critical FacilitiesEmergency Operations Centers Functional OperationalFirst Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional OperationalAssisted Living Facilities Minimal Functional OperationalDetention Centers OperationalEmergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools OperationalHotels and Motels OperationalCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional OperationalBusinesses - Retail Minimal Functional OperationalBusinesses - Service Professions Minimal Functional OperationalConference and Event Venues Minimal Functional Operational

CHANGE NEEDEDMonths

ENERGY INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks

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Boulder County Unincorporated Areas

0 1 1-7 1-4 4-8 8-12 4 4-24 24+ Core Communications BuildingsCommunications Hub (e.g., Central Office, IXP, Data Centers, etc.)

Functional Operational

Last MileCritical FacilitiesEmergency Operations Centers Functional OperationalFirst Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional OperationalAssisted Living Facilities Minimal Functional OperationalDetention Centers OperationalEmergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

NeighborhoodsCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools OperationalHotels and Motels OperationalCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional OperationalBusinesses - Retail Minimal Functional OperationalBusinesses - Service Professions M Minimal Functional OperationalConference and Event Venues Minimal Functional Operational

COMMENTS / NOTESCOMMUNICATIONS INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

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City of Longmont

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Critical FacilitiesEmergency Operations Centers Functional OperationalFirst Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational Fed. Joint commission governs recovery Assisted Living Facilities Minimal Functional OperationalDetention Centers OperationalEmergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Minimal Functional 90% OperationalIn Longmont, hotels/motels all clustered in floodplain…County's 1-4 week fully operational goals may not be realistic.

Community RecoveryBusinesses - Manufacturing Minimal Functional 90% Operational

Businesses - Retail Minimal Functional Operational OperationalWhich businesses are considered critical? Where to draw the line? Need to define.

Businesses - Service Professions Minimal Functional Operational Operational Medical / dental included in this category?Conference and Event Venues Minimal Functional Operational

All above thoug

All "community recovery" categories thought to be ambitious

COMMENTS / NOTESBUILDING CLUSTERS

Design Hazard PerformancePhase 1

DaysPhase 2Weeks

Phase 3Months

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City of Longmont

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Ingress (goods, services, disaster relief)

Freeways and Expressways Minimal Functional OperationalFor all in this category -- consider if getting to 90% in 4-8 wks is possible

Other Principal Arterial Highways Minimal Functional OperationalMinor Arterial Highways Minimal Functional OperationalLocal Roads Minimal Functional OperationalBikeways Minimal Functional OperationalTransit, Bus, Light Rail, Transit Lanes Minimal Functional OperationalA Regional Airport Minimal Functional OperationalEgress (emergency egress, evacuation)Freeways and Expressways Minimal Functional OperationalOther Principal Arterial Highways Minimal Functional OperationalMinor Arterial Highways Minimal Functional OperationalLocal Roads Minimal Functional Operational Referred to as collector roads, residential roadsBikeways Minimal Functional OperationalTransit, Bus, Light Rail, Transit Lanes Minimal Functional OperationalA Regional Airport Minimal Functional OperationalCommunity ResilienceCritical FacilitiesEmergency Operational Centers Functional OperationalPolice and Fire Stations Functional OperationalHospitals Minimal Functional Operational Align with timelines on 1st pageAssisted Living Facilities Minimal Functional OperationalDetention Centers Operational

COMMENTS / NOTESMonths

TRANSPORTATION INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks

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City of Longmont (Transportation, Cont.)

Emergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools q OperationalHotels and Motels OperationalCommunity RecoveryBusinesses - Manufacturing Minimal Functional OperationalBusinesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional OperationalMany of these are home-based -- consider this when looking at recovery times

Conference and Event Venues Minimal Functional OperationalNon-emergency City Services

General comments:--Spacing between recovery times may need to be increased (e.g., ingress/egress)

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City of Longmont

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Source WaterRaw Water, Source Water, Terminal Reservoirs

Functional Operational

Raw Water Conveyance Functional OperationalIrrigation Ditches Minimal Functional OperationalPotable Water Supply (WTP, wells, impoundments)

Minimal Operational

Water for Fire Suppression Minimal OperationalTransmission (Including Booster Stations)Backbone Transmission Facilities (pipelines, pump stations, tanks)

Minimal Operational

Control Systems

SCADA or other Minimal OperationalSCADA should be resilient, recovery of systems should be fast

DistributionCritical FacilitiesEmergency Operations Centers Functional OperationalFirst Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional OperationalAssisted Living Facilities Minimal Functional OperationalDetention Centers OperationalEmergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools OperationalHotels and Motels OperationalDrinking Water at community distribution centers

Minimal

Water for fire suppression at fire hydrants

Minimal

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional OperationalBusinesses - Retail Minimal Functional OperationalBusinesses - Service Professions Minimal Functional OperationalConference and Event Venues Minimal Functional Operational

COMMENTS / NOTESPhase 1 Phase 2 Phase 3Days Weeks Months

WATER INFRASTRUCTURE

Design Hazard Performance

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City of Longmont

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Treatment PlantsTreatment plants operating with primary treatment and disinfection

Minimal Functional Operational

Treatment plants operating to meet regulatory requirements

Minimal F Functional Operational

Trunk LinesBackbone Transmission Facilities (major trunk lines, lift stations, siphons, relief mains, aerial crossings) pump stations, tanks)

Minimal Functional Operational

Control SystemsSCADA or other Functional OperationalCollection LinesCritical FacilitiesEmergency Operations Centers Functional OperationalFirst Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional OperationalAssisted Living Facilities Minimal Functional OperationalDetention Centers OperationalEmergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools OperationalHotels and Motels OperationalThreats to Public Health and Safety are controlled by containing and routing raw sewage away from publicCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional OperationalBusinesses - Retail Minimal Functional OperationalBusinesses - Service Professions Minimal Functional OperationalConference and Event Venues Minimal Functional Operational

COMMENTS / NOTESDays Weeks

WASTE WATER INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Months

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City of Longmont

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Creek CorridorsDebris Removal Minimal Functional OperationalChannel or Levy Repair Minimal Functional OperationalStream Restoration OperationalTrail Restoration OperationalHabitat Restoration OperationalParks, Public Open SpaceDebris Removal Minimal Functional OperationalLevee Repair Minimal Functional OperationalStream Restoration Minimal Functional OperationalTrail Restoration Minimal Functional OperationalHabitat Restoration Minimal Functional Operational

COMMENTS / NOTESWATERSHEDS AND NATURAL

INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

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City of Longmont

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Power - Electric UtilitiesCommunity Owner or Operated Bulk GenerationIn Place Fueled Generation (Hydro, Solar, Wind, Wave, Compressed Air)

Functional Operational

Transmission and Distribution (including Substations)

Operational

Critical FacilitiesEmergency Operations Centers Functional OperationalFirst Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional OperationalAssisted Living Facilities Minimal Functional FunctionalDetention Centers OperationalEmergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools OperationalHotels and Motels OperationalCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional OperationalBusinesses - Retail Minimal Functional OperationalBusinesses - Service Professions Minimal Functional OperationalConference and Event Venues Minimal Functional Operational

CHANGE NEEDEDWeeks Months

ENERGY INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days

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City of Longmont

0 1 1-7 1-4 4-8 8-12 4 4-24 24+ Core Communications BuildingsCommunications Hub (e.g., Central Office, IXP, Data Centers, etc.)

Functional Operational

Last MileCritical FacilitiesEmergency Operations Centers Functional OperationalFirst Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional OperationalAssisted Living Facilities Minimal Functional OperationalDetention Centers OperationalEmergency HousingTemporary Emergency Shelters OperationalSingle and Multi-family Housing (Shelter in place)

Operational

NeighborhoodsCritical Retail Minimal Functional OperationalReligious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools OperationalHotels and Motels OperationalCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional OperationalBusinesses - Retail Minimal Functional OperationalBusinesses - Service Professions Minimal Functional OperationalConference and Event Venues Minimal Functional Operational

COMMENTS / NOTESCOMMUNICATIONS INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

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Town of Lyons

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Critical Facilities

Emergency Operations Centers Functional OperationalElementary school becomes emergency center

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Volunteer firefighter ability to access equipment even if building is compromised. At least Minimal of resources on line by day zero

Hospitals Minimal Functional OperationalCritical facilities goals are ok for region but are dependent on transportation access

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational Later recovery time

Single and Multi-family Housing (Shelter in place)

Operational Later recovery time

NeighborhoodCritical Retail Minimal Functional Operational Market

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational School

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools OperationalElementary school becomes emergency center

Hotels and Motels Operational

Community RecoveryBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESLyons:

BUILDING CLUSTERS

Design Hazard Performance

Phase 1Short-Term

Days

Phase 2Intermediate

Weeks

Phase 3Long-Term

Months

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Town of Lyons

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Ingress (goods, services, disaster relief)Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional Operational Highways 36 and 66 critical

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional Operational Operational 8-12 weeks

Bikeways Minimal Functional Operational Bikeways 4-24 months

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional Operational

Egress (emergency egress, evacuation)Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional Operational

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional Operational

Bikeways Minimal Functional Operational

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional Operational

Community ResilienceCritical FacilitiesEmergency Operational Centers Functional Operational

Police and Fire Stations Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community RecoveryBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Non-emergency City Services

COMMENTS / NOTES

Months

Lyons:TRANSPORTATION INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks

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Town of Lyons

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Source WaterRaw Water, Source Water, Terminal Reservoirs

Functional Operational

Raw Water Conveyance Functional Operational

Irrigation Ditches Minimal Functional Operational

Potable Water Supply (WTP, wells, impoundments)

Minimal Operational

Water for Fire Suppression Minimal Operational

Transmission (Including Booster Stations)Backbone Transmission Facil ities (pipelines, pump stations, tanks)

Minimal Operational

Control SystemsSCADA or other Minimal Operational

DistributionCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Drinking Water at community distribution centers

Minimal

Water for fire suppression at fire hydrants

Minimal

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTES

Phase 3Long-Term

Phase 2Intermediate

Days Weeks Months

Lyons:WATER INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

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Town of Lyons

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Treatment PlantsTreatment plants operating with primary treatment and disinfection

Minimal Functional Operational

Treatment plants operating to meet regulatory requirements

Minimal Functional Operational

Trunk LinesBackbone Transmission Facil ities (major trunk l ines, l ift stations, siphons, relief mains, aerial crossings) pump stations, tanks)

Minimal Functional Operational

Control SystemsSCADA or other Functional Operational

Collection LinesCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Threats to Public Health and Safety are controlled by containing and routing raw sewage away from publicCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTES

Weeks

Lyons:WASTE WATER INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Months

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Town of Lyons

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Creek Corridors

Debris Removal Minimal Functional Operational

Channel or Levy Repair Minimal Functional Operational

Stream Restoration Operational

Trail Restoration Operational

Habitat Restoration Operational

Parks, Public Open SpaceDebris Removal Minimal Functional Operational

Levee Repair Minimal Functional Operational

Stream Restoration Minimal Functional Operational

Trail Restoration Minimal Functional Operational

Habitat Restoration Minimal Functional Operational

COMMENTS / NOTESLyons:

WATERSHEDS AND NATURAL INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks Months

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36

Town of Lyons

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Power - Electric UtilitiesCommunity Owner or Operated Bulk GenerationIn Place Fueled Generation (Hydro, Solar, Wind, Wave, Compressed Air)

Functional Operational

Transmission and Distribution (including Substations)

Operational

Critical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS/NOTES

Months

Lyons:ENERGY INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks

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Town of Lyons

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Core Communications BuildingsCommunications Hub (e.g., Central Office, IXP, Data Centers, etc.)

Functional Operational

Last MileCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESLyons:

COMMUNICATIONS INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks Months

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Town of Jamestown

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Critical FacilitiesEmergency Operations Centers Functional Operational Town Hal l -- Yes , reasonable (Essentia l faci l i ty)

First Responder Facilities(Fire- and police-stations)

Functional Operational Yes , reasonable

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational Jamestown Elementary

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community RecoveryBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESJAMESTOWN:

BUILDING CLUSTERS

Design Hazard PerformancePhase 1

DaysPhase 2Weeks

Phase 3Months

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Town of Jamestown

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Ingress (goods, services, disaster Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional OperationalJames Canyon -- Sufficient for Minimal ; may be unrea l i s tic for Operational

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional Operational If Functional , a l lows everyone to access homes

Bikeways Minimal Functional Operational

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional Operational

Egress (emergency egress, Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional Operational

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional Operational

Bikeways Minimal Functional Operational

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional Operational

Community ResilienceCritical FacilitiesEmergency Operational Centers Functional Operational

Police and Fire Stations Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community RecoveryBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Non-emergency City Services

COMMENTS / NOTESMonths

JAMESTOWN:TRANSPORTATION INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks

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Town of Jamestown

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41

Town of Jamestown

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Treatment PlantsTreatment plants operating with primary treatment and disinfection

Minimal Functional Operational

Treatment plants operating to meet regulatory requirements

Minimal Functional Operational

Trunk LinesBackbone Transmission Facilities (major trunk lines, lift stations, siphons, relief mains, aerial crossings) pump stations, tanks)

Minimal Functional Operational

Control SystemsSCADA or other Functional Operational

Collection LinesCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Threats to Public Health and Safety are controlled by containing and routing raw sewage away from publicCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESWeeks

JAMESTOWN:WASTE WATER INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Months

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Town of Jamestown

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Creek CorridorsDebris Removal Minimal Functional Operational

Channel or Levy Repair Minimal Functional Operational

Stream Restoration Operational

Trail Restoration Operational

Habitat Restoration Operational

Parks, Public Open SpaceDebris Removal Minimal Functional Operational

Levee Repair Minimal Functional Operational

Stream Restoration Minimal Functional Operational

Trail Restoration Minimal Functional Operational

Habitat Restoration Minimal Functional Operational

COMMENTS / NOTESJAMESTOWN:

WATERSHEDS AND NATURAL INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

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Town of Jamestown

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Power - Electric UtilitiesCommunity Owner or Operated Bulk GenerationIn Place Fueled Generation (Hydro, Solar, Wind, Wave, Compressed Air)

Functional Operational

Transmission and Distribution (including Substations)

Operational

Critical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

CHANGE NEEDEDMonths

JAMESTOWN:ENERGY INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks

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44

Town of Jamestown

0 1 1-7 1-4 4-8 8-12 4 4-24 24+

Core Communications BuildingsCommunications Hub (e.g., Central Office, IXP, Data Centers, etc.)

Functional Operational

Last MileCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facilities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facilities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESJAMESTOWN:

COMMUNICATIONS INFRASTRUCTURE

Design Hazard PerformancePhase 1

Short-TermPhase 2

IntermediatePhase 3

Long-TermDays Weeks Months

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Town of Nederland

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Critical FacilitiesEmergency Operations Centers Minimal Operational

First Responder Facil ities(Fire- and police-stations)

Minimal OperationalHuge aspect- required to be on line. 30% is minimum

Hospitals Minimal Functional OperationalNo hospital. Need access to regional hospitals

Assisted Living Facil ities Minimal Functional Operational 8 units

Detention Centers OperationalOnly inmates are at Police Department to be moved to County facilities

Emergency Housing

Temporary Emergency Shelters OperationalNederland Community Center as countywide (mountain) evacuation

Single and Multi-family Housing (Shelter in place)

Operational Most/many will shelter in place

Neighborhood

Critical Retail Minimal Functional OperationalHinges upon access and supply and power supply. Road access is primary.

Religious and Spiritual CentersCommunity Centers

Minimal Functional OperationalConsider social media access and outreach for congregation members. Also, affects external church

Single and Multi-family Housing (Full-Function)

Minimal Functional OperationalMany folks will want to shelter in place, resume life asap.

Schools OperationalIf school resumes, otehrwise evacuation /mtg. potential

Hotels and Motels OperationalTourism would be limited. Hotel/motel serves as extra housing

Community RecoveryBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional OperationalLimitation of local mountain services. Nederland is hub for many mountain communities.

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Nederland:BUILDING CLUSTERS

Design Hazard Performance

Phase 1Short-Term

Days

Phase 2Intermediate

Weeks

Phase 3Long-Term

Months

COMMENTS / NOTES

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Town of Nederland

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Ingress (goods, services, disaster relief)Freeways and Expressways Minimal Functional Operational None close to Ned

Other Principal Arterial Highways Minimal Functional OperationalPeak to Peak Highway is critical as is Canyon Road

Minor Arterial Highways Minimal Functional Operational

Local Roads Minmimal FunctionalProvided there are other access routes, this can be managed.

Bikeways Minimal Functional Operational OperationalLooser standards - roads can be biked upon if bike routes closed

Transit, Bus, Light Rail, Transit Lanes Minimal Functional OperationalOnly bus route - critical to reduce infrastructure load

A Regional Airport Minimal Functional Operational

Egress (emergency egress, evacuation)Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional OperationalPeak to Peak highway is critical; Canyon Road

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional OperationalCan be managed if other access routes available

Bikeways Minimal Functional OperationalNot as critical - roads can be biked upon as alternative

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional OperationalBus availability is critical for infrastructure load

Community ResilienceCritical FacilitiesEmergency Operational Centers Functional Operational Priority

Police and Fire Stations Functional Operational Priority

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community RecoveryBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Non-emergency City Services

COMMENTS / NOTES

Months

Nederland:TRANSPORTATION INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks

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Town of Nederland (Transportation, Cont.)

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Ingress (goods, services, disaster relief)Freeways and Expressways Minimal Functional Operational None close to Ned

Other Principal Arterial Highways Minimal Functional OperationalPeak to Peak Highway is critical as is Canyon Road

Minor Arterial Highways Minimal Functional Operational

Local Roads Minmimal FunctionalProvided there are other access routes, this can be managed.

Bikeways Minimal Functional Operational OperationalLooser standards - roads can be biked upon if bike routes closed

Transit, Bus, Light Rail, Transit Lanes Minimal Functional OperationalOnly bus route - critical to reduce infrastructure load

A Regional Airport Minimal Functional Operational

Egress (emergency egress, evacuation)Freeways and Expressways Minimal Functional Operational

Other Principal Arterial Highways Minimal Functional OperationalPeak to Peak highway is critical; Canyon Road

Minor Arterial Highways Minimal Functional Operational

Local Roads Minimal Functional OperationalCan be managed if other access routes available

Bikeways Minimal Functional OperationalNot as critical - roads can be biked upon as alternative

Transit, Bus, Light Rail, Transit Lanes Minimal Functional Operational

A Regional Airport Minimal Functional OperationalBus availability is critical for infrastructure load

Community ResilienceCritical FacilitiesEmergency Operational Centers Functional Operational Priority

Police and Fire Stations Functional Operational Priority

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community RecoveryBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

Non-emergency City Services

COMMENTS / NOTES

Months

Nederland:TRANSPORTATION INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks

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Town of Nederland

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Source WaterRaw Water, Source Water, Terminal Reservoirs

Functional Operational Critical in mountain towns

Raw Water Conveyance Functional Operational Prioritization

Irrigation Ditches Minimal Functional Operational

Potable Water Supply (WTP, wells, impoundments)

Minimal Operational

Water for Fire SuppressionFunctional

(60%)Operational

Immediately available as water is critical - at least Functional (60%) on Day zero

Transmission (Including Booster Stations)Backbone Transmission Facil ities (pipelines, pump stations, tanks)

Functional (60%)

Operational Functional (60%) is vital

Control SystemsSCADA or other Minimal Operational

DistributionCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Drinking Water at community distribution centers

Minimal

Water for fire suppression at fire hydrants

Minimal

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTES

Phase 3Long-Term

Phase 2Intermediate

Days Weeks Months

Nederland:WATER INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

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Town of Nederland (Water Infrastructure, Cont.)

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Source WaterRaw Water, Source Water, Terminal Reservoirs

Functional Operational Critical in mountain towns

Raw Water Conveyance Functional Operational Prioritization

Irrigation Ditches Minimal Functional Operational

Potable Water Supply (WTP, wells, impoundments)

Minimal Operational

Water for Fire SuppressionFunctional

(60%)Operational

Immediately available as water is critical - at least Functional (60%) on Day zero

Transmission (Including Booster Stations)Backbone Transmission Facil ities (pipelines, pump stations, tanks)

Functional (60%)

Operational Functional (60%) is vital

Control SystemsSCADA or other Minimal Operational

DistributionCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Drinking Water at community distribution centers

Minimal

Water for fire suppression at fire hydrants

Minimal

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTES

Phase 3Long-Term

Phase 2Intermediate

Days Weeks Months

Nederland:WATER INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

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Town of Nederland

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Treatment PlantsTreatment plants operating with primary treatment and disinfection

Minimal Functional Operational

Treatment plants operating to meet regulatory requirements

Minimal Functional Operational

Trunk LinesBackbone Transmission Facil ities (major trunk l ines, l ift stations, siphons, relief mains, aerial crossings) pump stations, tanks)

Minimal Functional Operational

Control SystemsSCADA or other Functional Operational

Collection LinesCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Threats to Public Health and Safety are controlled by containing and routing raw sewage away from publicCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Creek CorridorsDebris Removal Minimal Functional Operational

Channel or Levy Repair Minimal Functional Operational

Stream Restoration Minimal (30%)

Operational30% in 4-24 months, season dependent, fire area revegetation

Trail Restoration Operational

Habitat Restoration Operational Several years of ongoing restoration

Parks, Public Open SpaceDebris Removal Minimal Functional Operational

Levee Repair Minimal Functional Operational

Stream Restoration Minimal Functional Operational

Trail Restoration Minimal Functional Operational

Habitat Restoration Minimal Functional Operational

COMMENTS / NOTES

COMMENTS / NOTES

Weeks

Nederland:WATERSHEDS AND NATURAL

INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks Months

Nederland:WASTE WATER INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Months0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Treatment PlantsTreatment plants operating with primary treatment and disinfection

Minimal Functional Operational

Treatment plants operating to meet regulatory requirements

Minimal Functional Operational

Trunk LinesBackbone Transmission Facil ities (major trunk l ines, l ift stations, siphons, relief mains, aerial crossings) pump stations, tanks)

Minimal Functional Operational

Control SystemsSCADA or other Functional Operational

Collection LinesCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

Housing/NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Threats to Public Health and Safety are controlled by containing and routing raw sewage away from publicCommunity Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Creek CorridorsDebris Removal Minimal Functional Operational

Channel or Levy Repair Minimal Functional Operational

Stream Restoration Minimal (30%)

Operational30% in 4-24 months, season dependent, fire area revegetation

Trail Restoration Operational

Habitat Restoration Operational Several years of ongoing restoration

Parks, Public Open SpaceDebris Removal Minimal Functional Operational

Levee Repair Minimal Functional Operational

Stream Restoration Minimal Functional Operational

Trail Restoration Minimal Functional Operational

Habitat Restoration Minimal Functional Operational

COMMENTS / NOTES

COMMENTS / NOTES

Weeks

Nederland:WATERSHEDS AND NATURAL

INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks Months

Nederland:WASTE WATER INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Months

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Town of Nederland

0 1 1-7 1-4 4-8 8-12 4 4-24 24+Creek CorridorsDebris Removal Minimal Functional Operational

Channel or Levy Repair Minimal Functional Operational

Stream Restoration Operational30% in 4-24 months, season dependent, fire area revegetation

Trail Restoration OperationalHabitat Restoration Operational Several years of ongoing restorationParks, Public Open SpaceDebris Removal Minimal Functional OperationalLevee Repair Minimal Functional OperationalStream Restoration Minimal Functional OperationalTrail Restoration Minimal Functional OperationalHabitat Restoration Minimal Functional Operational

COMMENTS / NOTESWATERSHEDS AND NATURAL

INFRASTRUCTURE

Design Hazard PerformancePhase 1 Phase 2 Phase 3

Days Weeks Months

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Town of Nederland

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Power - Electric UtilitiesCommunity Owner or Operated Bulk GenerationIn Place Fueled Generation (Hydro, Solar, Wind, Wave, Compressed Air)

Functional Operational

Oil and gas wells OperationalNew row added: containment of oil and gas wells

Transmission and Distribution (including Substations)

Operational

Critical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS/NOTES

Months

Nederland:ENERGY INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks

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Town of Nederland

0 1 2-7 1-4 4-8 8-12 4 4-24 24+

Core Communications BuildingsCommunications Hub (e.g., Central Office, IXP, Data Centers, etc.)

Functional Operational

Last MileCritical FacilitiesEmergency Operations Centers Functional Operational

First Responder Facil ities(Fire- and police-stations)

Functional Operational

Hospitals Minimal Functional Operational

Assisted Living Facil ities Minimal Functional Operational

Detention Centers Operational

Emergency HousingTemporary Emergency Shelters Operational

Single and Multi-family Housing (Shelter in place)

Operational

NeighborhoodsCritical Retail Minimal Functional Operational

Religious and Spiritual CentersCommunity Centers

Minimal Functional Operational

Single and Multi-family Housing (Full-Function)

Minimal Functional Operational

Schools Operational

Hotels and Motels Operational

Community Recovery InfrastructureBusinesses - Manufacturing Minimal Functional Operational

Businesses - Retail Minimal Functional Operational

Businesses - Service Professions Minimal Functional Operational

Conference and Event Venues Minimal Functional Operational

COMMENTS / NOTESNederland:

COMMUNICATIONS INFRASTRUCTURE

Design Hazard Performance

Phase 1Short-Term

Phase 2Intermediate

Phase 3Long-Term

Days Weeks Months

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Community-Specific Feedback on Time-to-Recovery Goals

City of Boulder

Representatives from the City of Boulder generally agreed with the County performance goals set by the Collaborative. When discussing the City of Boulder’s time-to-recovery matrix, they decided on shorter timeframes for quite a few buildings and infrastructures than what had been set on the county-wide matrix. Boulder, along with Longmont, is in fact one of the biggest cities in the County, and there is recognition that the smaller communities rely on the services it provides. In addition, it should be highlighted that the City of Boulder’s matrix sets a goal for 90% of school capacity to be operational within 1 to 7 days after a disaster; the reasoning behind this indicator is that schools provide a safe place for kids, and enable parents to go back to their activities, thus improving the economic recovery of the community. Finally, it was noted that there is only one access road (Arapahoe Avenue at Foothills) to the main hospital in Boulder (Boulder Medical Center), where all Emergency Room services for the City and beyond have been regrouped. It was therefore decided – under the Transportation Infrastructure cluster – that this access road’s capacity should always remain at 90%, even on the day of the disaster.

City of Longmont

Representatives from the City of Longmont generally agreed with the time-to-recovery goals set by the Boulder County Collaborative. It was noted that some recovery goals in the building cluster -- particularly in the “community recovery” category -- were probably too ambitious, with the 90% recovery pushed out further on the timeline. Also noted were some community-specific conditions that could hamper quick recovery for some clusters, such as hotels and motels. It was noted that most of the City’s hotels and motels are located in a floodplain area, which could disproportionately affect this cluster’s recovery time.

Some participants noted some organizational changes that could be made with respect to the clusters and functional categories. For example, hotels and motels might be more appropriately considered “emergency housing,” and some businesses, being home-based (for example, many of those in the construction trade), would rely on quick recovery of transportation infrastructure in order to provide critical services to those in need. Therefore, recovery times for transportation infrastructure serving community recovery functions may need to be adjusted forward for faster expected recovery.

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Appendix C: Workshop Attendee Sign-In SheetsThe following sign-in sheets include the following workshops that were hosted as part of this project in order to develop and gather input for the Resilient Design Performance Standard:

11/20/2015 Project Kickoff Meeting 12/11/2015 Project Oversight Committee Workshop 1/11/2016 Stakeholder Workshop 1/11/2016 Utility / Infrastructure Provider Workshop 3/17/2016 Implementation Training Workshop

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Project Kick-Off Meeting – 11/20/2015

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Oversight Committee Workshop – 12/11/2015

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Stakeholder Workshop– 1/11/2016

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Infrastructure / Utility Providers Workshop – 1/11/2016

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Implementation Training Workshop – 3/17/2016

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ATTACHMENT F

BCC Citizen Participation Plan

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Boulder County Collaborative CDBG-DR Citizen Participation Plan - 1.0 Page 1

CITIZEN PARTICIPATION PLAN for the use of

Community Development Block Grant Disaster Recovery (CDBG-DR) Funding

In accordance with FR Vol. 79, No. 106

Boulder County CDBG-DR Collaborative

The Boulder County Collaborative (“Collaborative”) has developed this Citizen Participation Plan to meet the requirements of the CDBG Disaster Recovery funding following the floods of September 2013. The plan reflects the alternative requirements as specified by the U.S. Department of Housing and Urban Development (HUD) in the Federal Register (FR Vol 79, No. 106) and any amendments added as applicable. The Collaborative, through the City of Longmont, will ensure the citizen participation plan meets the CDBG-DR regulations and takes into consideration the waivers and alternatives made available by HUD. This Citizen Participation Plan is developed to ensure that citizens of the Boulder County communities, particularly persons of low and moderate income residing in areas where it is proposed that such funds are to be used, are provided the opportunity and encouraged to participate in the planning and implementation of funded activities. The Collaborative expects to fund activities that address the needs of those persons in the two general categories of housing and infrastructure.

Boulder County Collaborative Outreach Plan The City of Longmont, as Lead Agency for the Boulder County Collaborative, will ensure all HUD requirements for citizen engagement are met. The Collaborative will also conduct additional outreach efforts to all impacted stakeholders. The Collaborative will initiate outreach through the following mechanisms: host in-person meetings for data validation and to gain feedback and comments on proposed activities, facilitate monthly meetings with the local officials and staff that are part of the Collaborative to discuss program guidelines, planning and to receive and incorporate feedback from the local jurisdictions. Relevant information to the Action Plan and any amendments will be posted to the City of Longmont and the Boulder County websites and comments may be submitted electronically. In addition, the following additional Minority Outreach will be undertaken:

• Announce public hearings to organizations that represent minorities and persons with disabilities at least 10 days prior to the public hearing date(s).

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• Include a statement in notices of public hearings indicating that participants in the hearings may request language interpretation to assist in their participation.

• Include a statement in notices of public hearings that locations of the meetings are accessible to persons with physical disabilities.

• Include a statement in notices of public hearings that participants can request reasonable accommodations from the City to participate in the public meetings.

• Notify organizations that represent minorities that every reasonable effort will be made to translate documents including having documents on the city’s website translatable using “Google Translate”.

Public Notice and Comment Period The Collaborative will provide public notice and seek feedback for the development of the Disaster Recovery Partial Action Plan through emails, website postings, newspapers, and public meetings. Prior to finalizing the Disaster Recovery Partial Action Plan, the Collaborative will make available to stakeholders, citizens, public agencies and other interested parties information that includes the amount of assistance the Collaborative expects to receive and the range of activities that may qualify for funding under this grant, including the estimated amount that will benefit persons of low and moderate income. The draft Partial Action Plan will be made available online in both English and Spanish at http://longmontcolorado.gov/departments/departments-n-z/public-information/flood-information. Copies of the draft Partial Action Plan will also be available to review during the business hours of 8:00am to 5:00pm, Monday-Friday at the following locations with written comments sent to the same location:

Boulder County Courthouse Third Floor Reception 1325 Pearl Street Boulder, CO 80302 Boulder County Flood Recovery Permitting and Information Center 1301 Spruce Street Boulder, CO 80302 City of Longmont Housing and Community Investment Division 350 Kimbark Street Longmont, CO 80501

Lyons Town Hall 432 5th Avenue Lyons, CO 80540

Jamestown Town Hall 118 Main St.

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Jamestown, CO 80455 The Collaborative will also hold at least two (2) public hearings in different communities within Boulder County to provide for and encourage citizen participation in conjunction with the public comment period of the Draft Partial Action Plan, and will ensure adequate public notice before the hearings, with sufficient information published about the subject of the hearing to permit informed comment. The Collaborative will hold all stakeholder meetings and public hearings in a time and location convenient to potential beneficiaries, and accommodations will be made for people with disabilities. Persons with a disability or who are non-English speaking individuals and require accommodations to participate in public meetings should contact the Longmont Housing and Community Investment Office at (303) 651-8444. A minimum of three working days prior to the public hearing would be appreciated so that reasonable accommodations can be made. Children are welcome to attend with their parents. Para información en español, puede llamar a Virginia al (303) 651-8444. TDD/TTY Communication is available via the Colorado Relay system at 1-800-659-3656. Stakeholders and citizens will be notified of any public hearing at least one (1) week before it is held.

Development of Disaster Recovery Partial Action Plan The Collaborative is developing a Disaster Recovery Partial Action Plan that will include: 1. The amount of assistance expected to be received, based on projected amounts provided by the

State of Colorado; 2. The range of activities that can be undertaken including the estimated amount that will benefit

persons of low and moderate income; 3. Plans to minimize displacement of persons and assist any persons displaced; 4. An anticipated time schedule for submission of the Partial Action Plan to the State of Colorado; and 5. Incorporation of and response to public comments received during the public comment period.

Amendments to Partial Action Plan The Collaborative will provide public notification and comment procedures if any of the following Substantial Amendments are proposed:

• A change in program benefit, eligibility criteria, or planned beneficiaries; • The allocation or re-allocation of more than $1 million per activity; • Adding any project not previously described in the approved Partial Action Plan; or • Deleting any previously approved project described in the Partial Action Plan.

The Collaborative will publish in both the Boulder Camera and the Longmont Times-Call, newspapers of general circulation, the availability of the draft amendment and the dates of the 30-day public comment period. A copy of the amendment will be available at each of the following locations:

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Boulder County Courthouse Third Floor Reception 1325 Pearl Street Boulder, CO 80302 Boulder County Flood Recovery Permitting and Information Center 1301 Spruce Street Boulder, CO 80302 City of Longmont Housing and Community Investment Division 350 Kimbark Street Longmont, CO 80501

Lyons Town Hall 432 5th Avenue Lyons, CO 80540

Jamestown Town Hall 118 Main St. Jamestown, CO 80455

For other non-substantial amendments, the Collaborative shall notify the State of Colorado, but public comment is not required. Every amendment, substantial or not, shall be numbered sequentially and posted on the City of Longmont’s website at http://longmontcolorado.gov/departments/departments-n-z/public-information/flood-information. The Collaborative must submit quarterly performance data to the State for input into HUD’s Disaster Recovery Grant Reporting (DRGR) system. Within three (3) days of the State’s submission to HUD, each Quarterly Performance Report (QPR) must be posted on the Colorado Department of Local Affairs (DOLA) website http://dola.colorado.gov/cdbg-dr/ for public review and comment. The State’s first QPR is due after the first full calendar quarter after the grant award. QPRs will be posted on a quarterly basis until all funds have been expended and all expenditures have been reported. During the term of the grant, the Collaborative will provide citizens, affected local governments, and other interested parties with reasonable and timely access to information and records relating to the approved program.

Complaint Process and Procedures Complaints or concerns regarding the Disaster Recovery Partial Action Plan may be written, emailed, or phoned in to City of Longmont, Housing and Community Investment Manager, Kathy Fedler. A written

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response or acknowledgment of written complaints or concerns will be provided within fifteen (15) working days.

The Collaborative will respond to comments, complaints and grievances in a timely manner. Responses will be made in writing and may be responded to via email if applicable. Please address your comments, complaints, or grievances to: Kathy Fedler

City of Longmont Housing and Community Investment Division 350 Kimbark Street Longmont, CO 80501

Persons wishing to object to approval of a CDBG-DR program may make such objection known to the State in writing to DOLA. The State will consider objections made only on the following grounds:

• The applicant's description of needs and objectives is plainly inconsistent with available facts and data;

• The activities to be undertaken are plainly inappropriate to meeting the needs and objectives

identified by the applicant; and

• The program does not comply with the requirements set forth in the Disaster Recovery Action Plan or other applicable laws.

Such objections should include identification of the requirements not met and supporting data. Please address your objection to:

Dave Bowman, CDBG-DR Director Department of Local Affairs 1313 Sherman Street, Room 518 Denver, CO 80203

Close Out Process The Collaborative will make all performance reports available to the public on its website throughout the grant period. Prior to close-out of the Community Development Block Grant - Disaster Recovery program, the Collaborative will host a public hearing to obtain citizen views and to respond to questions relative to the Collaborative’s performance. This hearing shall be held after adequate notice, at times and locations convenient to actual beneficiaries and with accommodations for the disabled and non-English speaking persons provided as noted above.

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ATTACHMENT G

Davis Bacon Labor Standards: A contractor’s Guide to Prevailing Wage Requirements

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January 2012Previous versions obsolete

U.S. Department of Housing and Urban Development

Labor Relations Desk GuideLR01.DG

DAVIS-BACONLABOR STANDARDS

A Contractor’s Guide to Prevailing Wage Requirements for Federally-Assisted Construction Projects

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INTRODUCTION

This Guide has been prepared for you as a contractor performing work on construction projects that are assisted by the Department of Housing and Urban Development and subject to Davis-Bacon prevailing wage requirements. This Guide does not address contractor requirements involved in direct Federal contracting where HUD or another Federal agency enters into a procurement contract. In this latter case, the Federal Acquisition Regulations (FAR) are appli-cable. While the guidance contained in this Guide is generally applicable to any Davis-Bacon covered project, specific questions pertaining to direct Federal contracts should be addressed to the Contracting Officer who signed the contract for the Federal agency. Our objective here is to provide you with a guide which is simple and non-bureaucratic yet comprehensive and which will help you better understand and comply with Davis-Bacon labor standards. HUD’s Office of Labor Relations worked closely with the Department of Labor’s Wage and Hour Division to make sure that the labor standards provisions in your contract and the specifics of complying with them represent the latest information. It is the Department of Labor which has general administrative oversight of all Federal contracting agencies, such as HUD, which administer the day-to-day responsibilities of enforcing Davis-Bacon provisions in construction contracts they either fund or assist in funding.

There are three chapters in this Guide. The first chapter offers a brief description of the laws and regulations associated with Federal labor standards administration and enforcement and discusses both what’s in your contract that requires Davis-Bacon compliance and your respon-sibilities. The second chapter deals with labor standards and payroll reporting requirements. The third chapter discusses what can happen in the event there is a dispute about the wage rates that should be (or have been) paid and any back wages that may be due.

Finally, not all HUD construction projects are covered by Davis-Bacon wage rates. For the pur-pose of this Guide, we are assuming that a determination has already been made that Davis-Bacon wage rates are applicable. Should you wish assistance in determining whether Davis-Bacon wage rates apply to a particular project or if you need other related technical assistance, please consult with the HUD Labor Relations Field staff for your area. If you don’t know which staff to contact, a list of Labor Relations field offices and their geographic areas and telephone numbers can be found on HUD’s Home Page at the address below.

Visit the Office of Labor Relations on-line:

http://www.hud.gov/offices/olr

Obtain additional copies of this Guide and other publications at our website or by telephone from HUD’s Customer Service Center at (800)767-7468.

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TABLE OF CONTENTS

INTRODUCTION ................................................................................................................ i

CHAPTER 1 LAWS, REGULATIONS, CONTRACTS AND RESPONSIBILITIES .................................................................1-1

1-1 DAVIS-BACON AND OTHER LABOR LAWS. .......................................................1-1 a. The Davis-Bacon Act (DBA) ...............................................................................1-1 b. The Contract Work Hours and Safety Standards Act (CWHSSA) ......................1-1 c. The Copeland Act (Anti-Kickback Act)................................................................1-2 d. The Fair Labor Standards Act (FLSA) ................................................................1-21-2 DAVIS-BACON REGULATIONS .............................................................................1-21-3 CONSTRUCTION CONTRACT PROVISIONS .......................................................1-21-4 RESPONSIBILITY OF THE PRINCIPAL CONTRACTOR ......................................1-31-5 RESPONSIBILITY OF THE CONTRACT ADMINISTRATOR .................................1-4

CHAPTER 2 HOW TO COMPLY WITH LABOR STANDARDS AND PAYROLL REPORTING REQUIREMENTS .............................2-1

SECTION - I THE BASICS

2-1 THE WAGE DECISION ...........................................................................................2-1 a. The work classifications and wage rates ............................................................2-1 b. Posting the wage decision..................................................................................2-22-2 ADDITIONAL “TRADE” CLASSIFICATIONS AND WAGE RATES .......................2-2 a. Additional classification rules .............................................................................2-2 b. Making the request .............................................................................................2-3 c. HUD review ........................................................................................................2-3 d. DOL decision ......................................................................................................2-32-3 CERTIFIED PAYROLL REPORTS ..........................................................................2-4 a. Payroll formats ...................................................................................................2-4 b. Payroll certifications ...........................................................................................2-4 c. “No work” payrolls ..............................................................................................2-4 d. Payroll review and submission ...........................................................................2-5 e. Payroll retention .................................................................................................2-5 f. Payroll inspection ...............................................................................................2-52-4 DAVIS-BACON DEFINITIONS ................................................................................2-5 a. Laborer or mechanic ..........................................................................................2-5 b. Employee ...........................................................................................................2-6 c. Apprentices and trainees....................................................................................2-6 d. Prevailing wages or wage rates .........................................................................2-7 e. Fringe benefits....................................................................................................2-7 f. Overtime .............................................................................................................2-7 g. Deductions .........................................................................................................2-8 h. Proper designation of trade ................................................................................2-8 i. Site of work.........................................................................................................2-8

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SECTION - II REPORTING REQUIREMENT

2-5 COMPLETING A PAYROLL REPORT ....................................................................2-9 a. Project and contractor/subcontractor information...............................................2-9 b. Employee information.........................................................................................2-9 c. Work classification ..............................................................................................2-9 d. Hours worked .....................................................................................................2-10 e. Rate of pay .........................................................................................................2-10 f. Gross wages earned ..........................................................................................2-10 g. Deductions .........................................................................................................2-11 h. Net pay ...............................................................................................................2-11 i. Statement of compliance ....................................................................................2-11 j. Signature ............................................................................................................2-11

SECTION III - PAYROLL REVIEWS AND CORRECTIONS

2-6 COMPLIANCE REVIEWS .......................................................................................2-12 a. On-site interviews ...............................................................................................2-12 b. Project payroll reviews .......................................................................................2-122-7 TYPICAL PAYROLL ERRORS AND REQUIRED CORRECTIONS .......................2-12 a. Inadequate payroll information ...........................................................................2-12 b. Missing identification numbers ...........................................................................2-12 c. Incomplete payrolls ............................................................................................2-13 d. Classifications ....................................................................................................2-13 e. Wage Rates ........................................................................................................2-13 f. Apprentices and trainees....................................................................................2-13 g. Overtime .............................................................................................................2-13 h. Computations .....................................................................................................2-13 i. Deductions .........................................................................................................2-13 j. Fringe benefits....................................................................................................2-14 k. Signature ............................................................................................................2-14 l. On-site interview comparisons ...........................................................................2-14 m. Correction certified payroll..................................................................................2-142-8 RESTITUTION FOR UNDERPAYMENT OF WAGES .............................................2-14 a. Notification..........................................................................................................2-14 b. Computing wage restitution ................................................................................2-15 c. Correction certified payrolls ................................................................................2-15 d. Review of correction CPR ..................................................................................2-15 e. Unfound workers ................................................................................................2-15

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CHAPTER 3 LABOR STANDARDS DISPUTES, ADMINISTRATIVE REVIEWS, WITHHOLDING, DEPOSITS AND ESCROW ACCOUNTS, AND SANCTIONS .......................................................3-1

3-1 INTRODUCTION .....................................................................................................3-13-2 ADMINISTRATIVE REVIEW ON LABOR STANDARDS DISPUTES .....................3-1 a. Additional classifications and wage rates ...........................................................3-1 b. Findings of underpayment ..................................................................................3-23-3 WITHHOLDING .......................................................................................................3-23-4 DEPOSITS AND ESCROWS ..................................................................................3-33-5 ADMINISTRATIVE SANCTIONS ............................................................................3-4 a. DOL debarment ..................................................................................................3-4 b. HUD sanctions ...................................................................................................3-43-6 FALSIFICATION OF CERTIFIED PAYROLL REPORTS ........................................3-5

APPENDICIES

ACRONYMS AND SYMBOLS ...........................................................................................A-1DAVIS-BACON - RELATED WEB SITES* ........................................................................A-2HUD-4720, Project Wage Rate Sheet ..............................................................................A-3WH-347, Payroll Form/Statement of Compliance ..........................................................A-4

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CHAPTER 1 LAWS, REGULATIONS, CONTRACTS AND RESPONSIBILITIES

The following paragraphs describe what the labor standards laws and regulations actually say and what they mean to you on HUD projects:

1-1 DAVIS-BACON AND OTHER LABOR LAWS.

a. The Davis-Bacon Act (DBA). The Davis-Bacon Act requires the payment of prevailing wage rates (which are determined by the U.S. Department of Labor) to all laborers and mechanics on Federal government and District of Columbia construction projects in excess of $2,000. Construction includes alteration and/or repair, including painting and decorating, of public buildings or public works.

b. The Contract Work Hours and Safety Standards Act (CWHSSA). CWHSSA requires time and one-half pay for overtime (O/T) hours (over 40 in any workweek) worked on the covered project. The CWHSSA applies to both direct Federal contracts and to indirect Federally-assisted contracts except where the assistance is solely in the nature of a loan guarantee or insurance. CWHSSA violations carry a liquidated damages penalty ($10/day per violation). Intentional violations of CWHSSA standards can be considered for Federal criminal prosecution.

CWHSSA does not apply to prime contracts of $100,000 or less. In addition, some HUD projects are not covered by CWHSSA because some HUD programs only provide loan guarantees or insurance. CWHSSA also does not apply to construction or rehabilitation contracts that are not subject to Federal prevailing wage rates (e.g., Davis-Bacon wage rates, or HUD-determined rates for operation of public housing and Indian block grant-assisted housing). However, even though CWHSSA overtime pay is not required, Fair Labor Standards Act (FLSA) overtime pay is probably still applicable. (See also Labor Relations Letter SL-95-01, CWHSSA Coverage threshold for overtime and health and safety provision, available on-line at the HUD Labor Relations Library at: www.hud.gov/offices/olr/library.cfm)

Most HUD construction work is not covered by the DBA itself since HUD seldom contracts directly for construction services. Most often, if Davis-Bacon wage rates apply to a HUD project it is because of a labor provision contained in one of HUD’s “Related Acts” such as the U. S. Housing Act of 1937, the National Housing Act, the Housing and Community Development Act of 1974, the National Affordable Housing Act of 1990, and the Native American Housing Assistance and Self-Determination Act of 1996. The Related Acts are often referred to as the Davis-Bacon and Related Acts or DBRA.

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c. The Copeland Act (Anti-Kickback Act). The Copeland Act makes it a Federal crime for anyone to require any laborer or mechanic (employed on a Federal or Federally-assisted project) to kickback (i.e., give up or pay back) any part of their wages. The Copeland Act requires every employer (contractors and subcontractors) to submit weekly certified payroll reports (CPRs) and regulates permissible payroll deductions.

d. The Fair Labor Standards Act (FLSA). The FLSA contains Federal minimum wage rates, overtime (O/T), and child labor requirements. These requirements generally apply to any labor performed. The DOL has the authority to administer and enforce FLSA. HUD will refer to the DOL any possible FLSA violations that are found on HUD projects.

1-2 DAVIS-BACON REGULATIONS.

The Department of Labor (DOL) has published rules and instructions concerning Davis-Bacon and other labor laws in the Code of Federal Regulations (CFR). These regulations can be found in Title 29 CFR Parts 1, 3, 5, 6 and 7. Part 1 explains how the DOL establishes and publishes DBA wage determinations (aka wage decisions) and provides instructions on how to use the determinations. Part 3 describes Copeland Act requirements for payroll deductions and the submission of weekly certified payroll reports. Part 5 covers the labor standards provisions that are in your contract relating to Davis-Bacon Act wage rates and the responsibilities of contractors and contracting agencies to administer and enforce the provisions. Part 6 provides for administrative proceedings enforcing Federal labor standards on construction and service contracts. Last, Part 7 sets parameters for practice before the Administrative Review Board. These regulations are used as the basis for administering and enforcing the laws.

1-3 CONSTRUCTION CONTRACT PROVISIONS

Each contract subject to Davis-Bacon labor standards requirements must contain labor standards clauses and a Davis-Bacon wage decision. These documents are normally bound into the contract specifications.

a. The labor standards clauses. The labor standards clauses describe the responsibilities of the contractor concerning Davis-Bacon wages and obligate the contractor to comply with the labor requirements. The labor standards clauses also provide for remedies in the event of violations, including withholding from payments due to the contractor to ensure the payment of wages or liquidated damages which may be found due. These contract clauses enable the contract administrator to enforce the Federal labor standards applicable to the project. HUD has standard forms that contain contract clauses. For example, the HUD-2554, Supplementary Conditions to the Contract for Construction, which is issued primarily for FHA multifamily housing and other construction projects

DOL Regulations are available on-line on the World Wide Web:http://www.dol.gov/dol/allcfr/Title_29.htm

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administered by HUD; the HUD-4010, Federal Labor Standards Provisions, which is used for CDBG and HOME projects, and the HUD-5370, General Conditions of the Contract for Construction or the HUD-5370-EZ (construction contracts ≤$100,000) which are used for Public and Indian Housing projects.

b. Davis-Bacon Wage Decisions. The Davis-Bacon wage decision (or wage determination) is a listing of various construction work classifications, such as Carpenter, Electrician, Plumber and Laborer, and the minimum wage rates (and fringe benefits, where prevailing) that people performing work in those classifications must be paid.

Davis-Bacon wage decisions are established by the DOL for various types of construction (e.g., residential, heavy, highway) and apply to specific geographic areas, usually a county or group of counties. Wage decisions are modified from time to time to keep them current. In most cases, when the contract is awarded or when construction begins, the wage decision is “locked-in” and no future modifications are applicable to the contract or project involved.

1-4 RESPONSIBILITY OF THE PRINCIPAL CONTRACTOR

The principal contractor (also referred to as the prime or general contractor) is responsible for the full compliance of all employers (the contractor, subcontractors and any lower-tier subcontractors) with the labor standards provisions applicable to the project. Because of the contractual relationship between a prime contractor and his/her subcontractors, subcontractors generally should communicate with the contract administrator only through the prime contractor. (See Contract Administrator, below.)

To make this Guide easier to understand, the term “prime contractor” will mean the principal contractor; “subcontractor” will mean all subcontractors including lower-tier subcontractors; and the term “employer” will mean all contractors as a group, including the prime contractor and any subcontractors and lower-tier subcontractors.

HUD program labor standards forms are available on-line at:www.hud.gov/offices/adm/hudclips/index.cfm

All current Davis-Bacon wage decisions can be accessed on-line at no cost at:http://www.wdol.gov

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1-5 RESPONSIBILITY OF THE CONTRACT ADMINISTRATOR.

The contract administrator is responsible for the proper administration and enforcement of the Federal labor standards provisions on contracts covered by Davis-Bacon requirements. We use this term to represent the person (or persons) who will provide labor standards advice and support to you and other project principals (e.g., the owner, sponsor, architect), including providing the proper Davis-Bacon wage decision (see 2-1, The Wage Decision) and ensuring that the wage decision and contract clauses are incorporated into the contract for construction. The contract administrator also monitors labor standards compliance (see 2-6, Compliance Reviews) by conducting interviews with construction workers at the job site and reviewing payroll reports, and oversees any enforcement actions that may be required.

The contract administrator could be an employee or agent of HUD, or of a city or county or public housing agency. For HUD projects administered directly by HUD staff, usually FHA-insured multifamily projects, the contract administrator will be the HUD Labor Relations field staff. But many HUD-assisted projects are administered by local contracting agencies such as Public Housing Agencies (PHAs), Indian tribes and tribally-designated housing entities (TDHEs), and States, cities and counties under HUD’s Community Development Block Grant (CDBG) and HOME programs. In these cases, the contract administrator will likely be local agency staff. In either case, the guidance for you remains essentially the same.

The DOL also has a role in monitoring Davis-Bacon administration and enforcement. In addition, DOL has independent authority to conduct investigations. A DOL investigator or other DOL representative may visit Davis-Bacon construction sites to interview construction workers or review payroll information.

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CHAPTER 2 HOW TO COMPLY WITH LABOR STANDARDS AND PAYROLL REPORTING REQUIREMENTS

WHERE TO START? Now that you know you’re on a Davis-Bacon project and you know some of the legal and practical implications, what’s next?

SECTION I - THE BASICS

2-1 THE WAGE DECISION.

Davis-Bacon labor standards stipulate the wage payment requirements for Carpenters, Electricians, Plumbers, Roofers, Laborers, and other construction work classifications that may be needed for the project. The Davis-Bacon wage decision that applies to the project contains a schedule of work classifications and wage rates that must be followed. If you don’t have it already (and by now you should), you’ll want to get a copy of the applicable Davis-Bacon wage decision.

a. The work classifications and wage rates. A Davis-Bacon wage decision is simply a listing of different work classifications and the minimum wage rates that must be paid to anyone performing work in those classifications. You’ll want to make sure that the work classification(s) you need are contained in the wage decision and make certain you know exactly what wage rate(s) you will need to pay. Some wage decisions cover several counties and/or types of construction work (for example, residential and commercial work) and can be lengthy and difficult to read. Contact the contract administrator (HUD Labor Relations field staff or local agency staff) if you have any trouble reading the wage decision or finding the work classification(s) you need.

To make reading lengthy wage decisions easier for you, the contract administrator may prepare a Project Wage Rate Sheet (HUD-4720). This Sheet is a one-page transcript that will show only the classifications and wage rates for a particular project. A blank copy of a Project Wage Rate Sheet is provided for you in the appendix. Also, a fillable version of this form is available on-line at HUDClips (see web address in the Appendix). Contact the contract administrator monitoring your project for assistance with a Project Wage Rate Sheet.

Remember, the wage decision is contained in the contract specifications along with the labor standards clauses. See 1-3, Construction Contract Provisions.

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b. Posting the wage decision. If you are the prime contractor, you will be responsible for posting a copy of the wage decision (or the Project Wage Rate Sheet) and a copy of the DOL Davis-Bacon poster titled Employee Rights under the Davis-Bacon Act (Form WH-1321) at the job site in a place that is easily accessible to all of the construction workers employed at the project and where the wage decision and poster won’t be destroyed by wind or rain, etc. The Employee Rights under the Davis-Bacon Act poster is available in English and Spanish on-line at HUDClips (see address in the Appendix).

2-2 ADDITIONAL “TRADE” CLASSIFICATIONS AND WAGE RATES.

What if the work classification you need isn’t on the wage decision? If the work classification(s) that you need doesn’t appear on the wage decision, you will need to request an additional classification and wage rate. This process is usually very simple and you’ll want to start the request right away. Basically, you identify the classification you need and recommend a wage rate for DOL to approve for the project. There are a few rules about additional classifications; you’ll find these rules in the DOL regulations, Part 5, and in the labor clauses in your contract. The rules are summarized for you here:

a. Additional classification rules. Additional classifications and wage rates can be approved if:

1. The requested classification is used by construction contractors in the area of the project. (The area is usually defined as the county where the project is located).

2. The work that will be performed by the requested classification is not already performed by another classification that is already on the wage decision. (In other words, if there already is an Electrician classification and wage rate on the wage decision you can’t request another Electrician classification and rate.)

3. The proposed wage rate for the requested classification “fits” with the other wage rates already on the wage decision. (For example, the wage rate proposed for a trade classification such as Electrician must be at least as much as the lowest wage rate for other trade classifications already contained in the wage decision.) And,

4. The workers that will be employed in the added classification (if it is known who the workers are/will be), or the workers’ representatives, must agree with the proposed wage rate.

The Employee Rights under the Davis-Bacon Act poster (WH-1321) replaces the Notice to all Employees. The new poster is available in English and Spanish on-line at HUDClips (see address in the Appendix).

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b. Making the request. A request for additional classification and wage rate must be made in writing through the contract administrator. (If the contract administrator is a local agency, the agency will send the request to the HUD Labor Relations staff.) If you are a subcontractor, your request should also go through the prime contractor. All you need to do is identify the work classification that is missing and recommend a wage rate (usually the rate that employer is already paying to the employees performing the work) for that classification. You may also need to describe the work that the new classification will perform.

c. HUD review. The HUD Labor Relations field staff will review the requested classification and wage rate to determine whether the request meets the DOL rules outlined in paragraph 2-2(a), above. If additional information or clarification is needed, the staff will contact the prime contractor (or contract administrator for local agency projects) for more information, etc. If the Labor Relations review finds that the request meets the rules, the staff will give preliminary approval on the request and refer it to the DOL for final approval. The staff will send to you a copy of the preliminary approval/referral letter to the DOL.

If the HUD Labor Relations staff doesn’t think the request meets the rules and if agreement can’t be reached on the proper classification or wage rate for the work described, the HUD Labor Relations staff will not approve the request. In this case, the staff will send your request to the DOL with an explanation why HUD believes that the request shouldn’t be approved. The DOL still has final decision authority. You will receive a copy of the disapproval/referral letter to the DOL.

d. DOL decision. The DOL will respond to HUD Labor Relations in writing about the additional classification and wage rate request. HUD Labor Relations will notify you of the DOL decision in writing. If the DOL approves the request, the prime contractor must post the approval notice on the job site with the wage decision.

If the DOL does not approve the request, you will be notified about what classification and wage rate should be used for the work in question. You will also receive instructions about how to ask for DOL reconsideration if you still want to try to get your recommendation approved.

It’s always a good idea to talk to the contract administrator before submitting an additional classification and wage rate request. The contract administrator can offer suggestions and advice that may save you time and increase the likelihood that DOL will approve your request. Usually, the contract administrator can give you an idea about what the DOL will finally decide.

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2-3 CERTIFIED PAYROLL REPORTS.

You’ll need to submit a weekly certified payroll report (CPR) beginning with the first week that your company works on the project and for every week afterward until your firm has completed its work. It’s always a good idea to number the payroll reports beginning with #1 and to clearly mark your last payroll for the project “Final.”

a. Payroll formats. The easiest form to use is DOL’s WH-347, Payroll. A sample copy of the WH-347 is included in the back of this Guide. You may access a fillable version of the WH-347 on-line at HUDClips (see web address in the Appendix). Also, the contract administrator can provide a few copies of the WH-347 that you can reproduce.

b. Payroll certifications. The weekly payrolls are called certified because each payroll is signed and contains language certifying that the information is true and correct. The payroll certification language is on the reverse side of the WH-347. If you are using another type of payroll format you may attach the certification from the back of the WH-347, or any other format which contains the same certification language on the WH-347 (reverse).

c. “No work” payrolls. “No work” payrolls may be submitted whenever there is a temporary break in your work on the project, for example, if your firm is not needed on the project right now but you will be returning to the job in a couple of weeks. (See tip box, for “no work” payroll exemption!) However, if you know that your firm will not be working on the project for an extended period of time, you may wish to send a short note to the contract administrator to let them know about the break in work and to give an approximate date when your firm will return to the project. If you number payrolls consecutively or if you send a note, you do not need to send “no work” payrolls.

You are not required to use Payroll form WH-347. You are welcome to use any other type of payroll, such as computerized formats, as long as it contains all of the information that is required on the WH-347.

DOL’s website has Payroll Instructions and the Payroll form WH-347 in a “fillable” PDF format at this address:www.dol.gov/whd/forms/wh347.pdf

If you number your payroll reports consecutively, you do not need to submit “no work” payrolls!

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d. Payroll review and submission. The prime contractor should review each subcontractor’s payroll reports for compliance prior to submitting the reports to the contract administrator. Remember, the prime contractor is responsible for the full compliance of all subcontractors on the contract and will be held accountable for any wage restitution that may be found due to any laborer or mechanic that is underpaid and for any liquidated damages that may be assessed for overtime violations. All of the payroll reports for any project must be submitted to the contract administrator through the prime contractor.

e. Payroll retention. Every contractor (including every subcontractor) must keep a complete set of their own payrolls and other basic records such as employee addresses and full SSNs, time cards, tax records, evidence of fringe benefit payments, for a Davis-Bacon project for at least 3 years after the project is completed. The prime contractor must keep a complete set of all of the payrolls for every contractor (including subcontractors) for at least 3 years after completion of the project.

f. Payroll inspection. In addition to submitting payrolls to the contract administrator, every contractor (including subcontractors) must make their own copy of the payrolls and other basic records available for review or copying to any authorized representative from HUD or from DOL.

2-4 DAVIS-BACON DEFINITIONS.

Before we discuss how to complete the weekly payroll forms, we need to review a couple of definitions. These definitions can help you understand what will be required of you:

a. Laborer or mechanic. “Laborers” and “mechanics” mean anyone who is performing construction work on the project, including trade journeymen (carpenters, plumbers, sheet metal workers, etc.), apprentices, and trainees and, for CWHSSA purposes, watchmen and guards. “Laborers” and “mechanics” are the two groups of workers that must be paid not less than Davis-Bacon wage rates.

1. Working foremen. Foremen or supervisors that regularly spend more than 20% of their time performing construction work and do not meet the exclusions in paragraph 2 below are covered “laborers” and “mechanics” for labor standards purposes for the time spent performing construction work.

2. Exclusions. People whose duties are primarily administrative, executive or clerical are not laborers or mechanics. Examples include superintendents, office staff, timekeepers, messengers, etc. (Contact the contract administrator if you have any questions about whether a particular employee is excluded.)

An alert prime contractor that reviews subcontractor payroll submissions can detect any misunderstandings early, prevent costly underpayments and protect itself from financial loss should underpayments occur.

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b. Employee. Every person who performs the work of a laborer or mechanic is “employed” regardless of any contractual relationship which may be alleged to exist between a contractor or subcontractor and such person. This means that even if there is a contract between a contractor and a worker, the contractor must make sure that the worker is paid at least as much as the wage rate on the wage decision for the classification of work they perform. Note that there are no exceptions to the prevailing wage requirements for relatives or for self-employed laborers and mechanics.

c. Apprentices and trainees. The only workers who can be paid less than the wage rate on the wage decision for their work classification are “apprentices” and “trainees” registered in approved apprenticeship or training programs. Approved programs are those which have been registered with the DOL or a DOL-recognized State Apprenticeship Council (SAC). Apprentices and trainees are paid wage rates in accordance with the wage schedule in the approved program.

1. Probationary apprentice. A “probationary apprentice” can be paid as an apprentice (less than the rate on the wage decision) if the DOL or SAC has certified that the person is eligible for probationary employment as an apprentice.

2. Pre-apprentice. A “pre-apprentice”, that is, someone who is not registered in a program and who hasn’t been DOL- or SAC-certified for probationary apprenticeship is not considered to be an “apprentice” and must be paid the full journeyman’s rate on the wage decision for the classification of work they perform.

3. Ratio of apprentices and trainees to journeymen. The maximum number of apprentices or trainees that you can use on the job site cannot exceed the ratio of apprentices or trainees to journeymen allowed in the approved program.

Most often, the apprentice/trainee wage rate is expressed as a series of percentages tied to the amount of time spent in the program. For example, 0-6 months: 65%; 6 months - 1 year: 70%; etc. The percentage is applied to the journeyman’s wage rate. On Davis-Bacon projects, the percentage must be applied to the journeyman’s wage rate on the applicable wage decision for that craft.

For more information about working subcontractors, ask the contract administrator or your HUD Labor Relations Field Staff for a copy of Labor Relations Letter LR-96-01, Labor standards compliance requirements for self-employed laborers and mechanics. Labor Relations Letters and other helpful Labor Relations publications are available at HUD’s Labor Relations web site (see the list of web site addresses in the Appendix).

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d. Prevailing wages or wage rates. Prevailing wage rates are the wage rates listed on the wage decision for the project. The wage decision will list a minimum basic hourly rate of pay for each work classification. Some wage decisions include fringe benefits which are usually listed as an hourly fringe rate. If the wage decision includes a fringe benefit rate for a classification, you will need to add the fringe benefit rate to the basic hourly rate unless you provide bona fide fringe benefits for your employees.

1. Piece-work. Some employees are hired on a piece-work basis, that is, the employee’s earnings are determined by a factor of work produced. For example, a Drywall Hanger’s earnings may be calculated based upon the square feet of sheetrock actually hung, a Painter’s earnings may be based upon the number of units painted. Employers may calculate weekly earnings based upon piece rates provided the weekly earnings are sufficient to satisfy the wage rate requirement based upon actual hours, including any overtime, worked. Accurate time records must be maintained for any piece-work employees. If the weekly piece rate earnings are not sufficient, the employer must recompute weekly earnings based upon the actual hours worked and the rate on the wage decision for the work classification(s) involved.

e. Fringe benefits Fringe benefits can include health insurance premiums, retirement contributions, life insurance, vacation and other paid leave as well as some contributions to training funds. Fringe benefits do not include employer payments or contributions required by other Federal, State or local laws, such as the employer’s contribution to Social Security or some disability insurance payments.

f. Overtime. Overtime hours are defined as all hours worked on the contract in excess of 40 hours in any work week. Overtime hours must be paid at no less than one and one-half times the regular rate of basic pay plus the straight-time rate of any required fringe benefits.

Note that the total hourly wage rate paid to any laborer or mechanic (basic wage or basic wage plus fringe benefits) may be no less than the total wage rate (basic wage or basic wage plus fringe benefits) on the wage decision for their craft. If the value of the fringe benefit(s) you provide is less than the fringe benefit rate on the wage decision, you will need to add the balance of the wage decision fringe benefit rate to the basic rate paid to the employee. For example, if the wage decision requires $10/hour basic rate plus $5/hour fringe benefits, you must pay no less than that total ($15/hour) in the basic rate or basic rate plus whatever fringe benefit you may provide. You can meet this obligation in several ways: you could pay the base wage and fringe benefits as stated in the wage decision, or you could pay $15 in base wage with no fringe benefits, or you could pay $12 basic plus $3 fringe benefits. You can also off-set the amount of the base wage if you pay more in fringe benefits such as by paying or $9 basic plus $6 fringe benefits; as long as you meet the total amount. The amount of the base wage that you may off-set with fringe benefits is limited by certain IRS and FLSA requirements.

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g. Deductions. You may make payroll deductions as permitted by DOL Regulations 29 CFR Part 3. These regulations prohibit the employer from requiring employees to “kick-back” (i.e., give up) any of their earnings. Allowable deductions which do not require prior DOL permission include employee obligations for income taxes, Social Security payments, insurance premiums, retirement, savings accounts, and any other legally-permissible deduction authorized by the employee. Deductions may also be made for payments on judgments and other financial obligations legally imposed against the employee.

h. Proper designation of trade. You must select a work classification on the wage decision for each worker based on the actual type of work he/she performed and you must pay each worker no less than the wage rate on the wage decision for that classification regardless of their level of skill. In other words, if someone is performing carpentry work on the project, they must be paid no less than the wage rate on the wage decision for Carpenters even if they aren’t considered by you to be fully trained as a Carpenter. Remember, the only people who can be paid less than the rate for their craft are apprentices and trainees registered in approved programs.

1. Split-classification. If you have employees that perform work in more than one trade during a work week, you can pay the wage rates specified for each classification in which work was performed only if you maintain accurate time records showing the amount of time spent in each classification of work. If you do not maintain accurate time records, you must pay these employees the highest wage rate of all of the classifications of work performed.

i. Site of work. The “site of work” is where the Davis-Bacon wage rates apply. Usually, this means the boundaries of the project. “Site of work” can also include other adjacent or virtually adjacent property used by a contractor or subcontractor in the construction of the project, like a fabrication site that is dedicated exclusively, or nearly so, to the project.

Referring, again, to our example above where the wage decision requiring a $15 total wage obligation ($10 basic wage plus $5 fringe benefits) was met by paying $9 base wage plus $6 fringe benefits: Note that overtime rates must be based on one and one-half times the basic rate as stated on the wage decision. In the above example, the employer must pay for overtime: $15/hr ($9 basic + $6 fringe) plus $5 (one-half of $10, the wage decision basic rate) for a total of $20 per hour.

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SECTION II - REPORTING REQUIREMENTS

2-5 COMPLETING A PAYROLL REPORT.

What information has to be reported on the payroll form? The weekly payroll form doesn’t ask for any information that you don’t already need to keep for wage payment and tax purposes. For example, you need to know each employee’s name; his or her work classification (who is working for you and what do they do?), the hours worked during the week, his or her rate of pay, the gross amount earned (how much did they earn?), the amounts of any deductions for taxes, etc., and the net amount paid (how much should the paycheck be made out for?). No more information than you need to know in order to manage your work crew and make certain they are paid properly. And, certainly, no more information than you need to keep for IRS, Social Security and other tax and employment purposes.

You are required to submit certified payrolls to illustrate and document that you have complied with the prevailing wage requirements. The purpose of the contract administrator’s review of your payrolls is to verify your compliance. Clearer and complete payroll reports will permit the contract administrator to complete reviews of your payroll reports quickly.

a. Project and contractor/subcontractor information. Each payroll must identify the contractor or subcontractor’s name and address, the project name and number, and the week ending date. Indicate the week dates in the spaces provided. Numbering payrolls is optional but strongly recommended.

b. Employee information. Effective January 18, 2009, payrolls shall not report employee addresses or full Social Security Numbers (SSNs). Instead, the first payroll on which each employee appears shall include the employee’s name and an individually identifying number, usually the last 4 digits of the employee’s SSN. Afterward, the identifying number does not need to be reported unless it is necessary to distinguish between employees, e.g., if two employees have the same name.

Employers (prime contractors and subcontractors) must maintain the current address and full SSN for each employee and must provide this information upon request to the contracting agency or other authorized representative responsible for federal labor standards compliance monitoring. Prime contractors may require a subcontractor(s) to provide this information for the prime contractor’s records. DOL has modified form WH-347, Payroll, to accommodate these reporting requirements.

c. Work classification. Each employee must be classified in accordance with the wage decision based on the type of work they actually perform.

For many contractors, the Weekly Certified Payroll is the only Davis-Bacon paperwork you need to submit!

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1. Apprentices or trainees. The first payroll on which any apprentice or trainee appears must be accompanied by a copy of that apprentice’s or trainee’s registration in a registered or approved program. A copy of the portions of the registered or approved program pertaining to the wage rates and ratios shall also accompany the first payroll on which the first apprentice or trainee appears.

2. Split classifications. For an employee that worked in a split classification, make a separate entry for each classification of work performed distributing the hours of work to each classification, accordingly, and reflecting the rate of pay and gross earnings for each classification. Deductions and net pay may be based upon the total gross amount earned for all classifications.

d. Hours worked. The payroll should show ONLY the regular and overtime hours worked on this project. Show both the daily and total weekly hours for each employee. If an employee performs work at job sites other than the project for which the payroll is prepared, those “other job” hours should not be reported on the payroll. In these cases, you should list the employee’s name, classification, hours for this project only, the rate of pay and gross earnings for this project, and the gross earned for all projects. Deductions and net pay may be based upon the employee’s total earnings (for all projects) for the week.

e. Rate of pay. Show the basic hourly rate of pay for each employee for this project. If the wage decision includes a fringe benefit and you do not participate in approved fringe benefit programs, add the fringe benefit rate to the basic hourly rate of pay. Also list the overtime rate if overtime hours were worked.

1. Piece-work. For any piece-work employees, the employer must compute an effective hourly rate for each employee each week based upon the employee’s piece-work earnings for that week. To compute the effective hourly rate, divide the piece-work earnings by the total number of hours worked, including consideration for any overtime hours.

The effective hourly rate must be reflected on the certified payroll and this hourly rate may be no less than the wage rate (including fringe benefits, if any) on the wage decision for the classification of work performed. It does not matter that the effective hourly rate changes from week-to-week, only that the rate is no less than the rate on the wage decision for the classification of work performed.

f. Gross wages earned. Show the gross amount of wages earned for work performed on this project. Note: For employees with work hours and earnings on other projects, you may show gross wages for this project over gross earnings all projects (for example, $425.40/$764.85) and base deductions and net pay on the “all projects” earnings.

Remember, the overtime rate is computed at one and one-half times the basic rate of pay plus any fringe benefits. For example, if the wage decision requires $10/hour basic plus $5/hour fringe benefits, the overtime rate would be: ($10 x 1 ½) + $5 = $20/hour.

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g. Deductions. Show the amounts of any deductions from the gross earnings. “Other” deductions should be identified (for example, Savings Account or Loan Repayment). Any voluntary deduction (that is, not required by law or by an order of a proper authority) must be authorized in writing by the employee or provided for in a collective bargaining (union) agreement. A short note signed by the employee is all that is needed and should accompany the first payroll on which the other deduction appears.

h. Net pay. Show the net amount of wages paid.

i. Statement of compliance. The Statement of Compliance is the certification. It is located on the reverse side of a standard payroll form (WH-347). Be sure to complete the identifying information at the top, particularly if you are attaching the Statement of Compliance to an alternate payroll form such as a computer payroll. Also, you must check either 4(a) or 4(b) if the wage decision contains a fringe benefit. Checking 4(a) indicates that you are paying required fringe benefits to approved plans or programs; and 4(b) indicates that you are paying any required fringe benefit amounts directly to the employee by adding the fringe benefit rate to the basic hourly rate of pay. If you are paying a portion of the required fringe benefit to programs and the balance directly to the employee, explain those differences in box 4(c).

j. Signature. Make sure the payroll is signed with an original signature in ink. The payroll must be signed by a principal of the firm (owner or officer such as the president, treasurer or payroll administrator) or by an authorized agent (a person authorized by a principal in writing to sign the payroll reports). Signature authorization (for persons other than a principal) should be submitted with the first payroll signed by such an agent. Signatures in pencil; signature stamps; xerox, pdf and other facsimiles are not acceptable.

Only one employee authorization is needed for recurring (e.g., weekly) other deductions. Written employee authorization is not required for income tax and Social Security deductions.

Only one Statement of Compliance is required for each employer’s weekly payroll no matter how many pages are needed to report the employee data.

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SECTION III - PAYROLL REVIEWS AND CORRECTIONS

2-6 COMPLIANCE REVIEWS.

The contract administrator or other inspector may visit the project site and interview some of the workers concerning their employment on the project. The DOL may also independently conduct its own reviews (see 1-5). In addition, the contract administrator will periodically review payrolls and related submissions, comparing the interview information to the payrolls, to ensure that the labor standards requirements have been met. You will be notified by the contract administrator if these reviews find any discrepancies or errors. You will be given instructions about what steps must be taken to correct any problems.

a. On-site interviews. Every employer (contractor, subcontractor, etc.) must make their employees available for interview at the job site with the contract administrator or other agency representative, or HUD or DOL representative. The interviews are confidential and the employee will be asked about the kind of work they perform and their rate of pay. Every effort will be made to ensure that these interviews cause as little disruption as possible to the on-going work. The interviewer will record the interview information, usually on a form HUD-11, Record of Employee Interview, and forward the interviews to the contract administrator.

b. Project payroll reviews. The contract administrator will compare the information on the interview forms to the corresponding payrolls to ensure that the workers are properly listed on the payrolls for the days and hours worked on the job site, work classification and rate of pay. The contract administrator will also review the payroll submissions to make certain that the payrolls are complete and signed; that employees are paid no less than the wage rate for the work classification shown; apprentice and trainee certifications are submitted (where needed); employee or other authorizations for other deductions are submitted (where needed); etc.

2-7 TYPICAL PAYROLL ERRORS AND REQUIRED CORRECTIONS.

The following paragraphs describe common payroll errors and the corrective steps you must take.

a. Inadequate payroll information. If an alternate payroll format used by an employer (such as some computer payrolls) is inadequate, e.g., does not contain all of the necessary information that would be on the optional form WH-347, the employer will be asked to resubmit the payrolls on an acceptable form.

b. Missing identification numbers. If the first payroll on which an employee appears does not contain the employee’s individually identifying number, the employer will be asked to supply the missing information. This information can be reported on the next payroll submitted by the employer if the employer is still working on the project. Otherwise, the employer will be asked to submit a correction certified payroll.

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c. Incomplete payrolls. If the information on the payroll is not complete, for example, if work classifications or rates of pay are missing, the employer will be asked to send a correction certified payroll.

d. Classifications. If the payrolls show work classifications that do not appear on the wage decision, the employer will be asked to reclassify the employees in accordance with the wage decision or the employer may request an additional classification and wage rate (see 2-2). If reclassification results in underpayment (i.e., the wage rate reported on the payroll is less than the rate required for the new classification), the employer will be asked to pay wage restitution to all affected reclassified employees. (see 2-8 for instructions about wage restitution.)

e. Wage rates. If the wage rates on the payroll are less than the wage rates on the wage decision for the work classifications reported, the employer will be asked to pay wage restitution to all affected employees.

f. Apprentices and trainees. If a copy of the employee’s registration or the approved program ratio and wage schedule are not submitted with the first payroll on which an apprentice or trainee appears, the employer will be asked to submit a copy of each apprentice’s or trainee’s registration and/or the approved program ratio and wage schedule. If the ratio of apprentices or trainees to journeymen on the payroll is greater than the ratio in the approved program, the employer will be asked to pay wage restitution to any excess apprentices or trainees. Also, any apprentice or trainee that is not registered in an approved program must receive the journeyman’s wage rate for the classification of work they performed.

g. Overtime. If the employees did not receive at least time and one-half for any overtime hours worked on the project, the following will occur:

1. If the project is subject to CWHSSA overtime requirements, the employer will be asked to pay wage restitution for all overtime hours worked on the project. The employer may also be liable to the United States for liquidated damages computed at $10 per day per violation. Or,

2. If the project is not subject to CWHSSA, the employer will be notified of the possible FLSA overtime violations. Also, the contract administrator may refer the matter to the DOL for further review.

h. Computations. If the payroll computations (hours worked times rate of pay) or extensions (deductions, net pay) show frequent errors, the employer will be asked to take greater care. Wage restitution may be required if underpayments resulted from the errors.

i. Deductions. If there are any “Other” deductions that are not identified, or if employee authorization isn’t provided, or if there is any unusual (very high, or large number) deduction activity, the employer will be asked to identify the deductions, provide employee authorization or explain unusual deductions, as necessary.

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j. Fringe benefits. If the wage decision contains fringe benefits but the payroll does not indicate how fringe benefits were paid [neither 4(a) nor 4(b) is marked on the Statement of Compliance], the employer may be asked to submit correction certified payrolls and will be required to pay wage restitution if underpayments occurred. However, if the basic hourly rates for the employees are at least as much as the total wage rate on the wage decision (basic hourly rate plus the fringe benefit rate), no correction is necessary.

k. Signature. If the payroll Statement of Compliance is not signed or is missing, the employer will be asked to submit a signed Statement of Compliance for each payroll affected. If the Statement of Compliance is signed by a person who is not a principle of the firm and that person has not been authorized by principle to sign, the employer will be asked to provide an authorization or to resubmit the Statement(s) of Compliance bearing the signature of a principle or other authorized signatory.

l. On-site interview comparisons. If the comparison of on-site interviews to the payrolls indicates any discrepancies (for example, the employee does not appear on the payroll for the date of the interview), the employer will be asked to submit a correction certified payroll report.

m. Correction certified payroll. Any and all changes to data on a submitted payroll report must be reported on a certified correction payroll. In no case will a payroll report be returned to the prime contractor or employer for revision.

2-8 RESTITUTION FOR UNDERPAYMENT OF WAGES.

Where underpayments of wages have occurred, the employer will be required to pay wage restitution to the affected employees. Wage restitution must be paid promptly in the full amounts due, less permissible and authorized deductions. All wages paid to laborers and mechanics for work performed on the project, including wage restitution, must be reported on a certified payroll report.

a. Notification to the Employer/Prime contractor. The contract administrator will notify the employer and/or prime contractor in writing of any underpayments that are found during payroll or other reviews. The contract administrator will describe the underpayments and provide instructions for computing and documenting the restitution to be paid. The employer/prime contractor is allowed 30 days to correct the underpayments. Note that the prime contractor is responsible to the contract administrator for ensuring that restitution is paid. If the employer is a subcontractor, the subcontractor will usually make the computations and restitution payments and furnish the required documentation through the prime contractor.

HUD does not enforce or attempt to provide advice on employer obligations to make deductions from employee earnings for taxes or Social Security. However, HUD may refer to the IRS or other responsible agency copies of certified payroll reports that show wages paid in gross amounts (i.e., without tax deduction) for its review and appropriate action.

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b. Computing wage restitution. Wage restitution is simply the difference between the wage rate paid to each affected employee and the wage rate required on the wage decision for all hours worked where underpayments occurred. The difference in the wage rates is called the adjustment rate. The adjustment rate times the number of hours involved equals the gross amount of restitution due. You may also compute wage restitution by calculating the total amount of Davis-Bacon wages earned and subtracting the total amount of wages paid. The difference is the amount of back wages due.

c. Correction certified payrolls. The employer will be required to report the restitution paid on a correction certified payroll. The correction payroll will reflect the period of time for which restitution is due (for example, Payrolls #1 through #6; or a beginning date and ending date). The correction payroll will list each employee to whom restitution is due and their work classification; the total number of work hours involved (daily hours are usually not applicable for wage restitution); the adjustment wage rate (the difference between the required wage rate and the wage rate paid); the gross amount of restitution due; deductions and the net amount actually paid. A properly signed Statement of Compliance must accompany the correction payroll.

d. Review of correction CPR. The contract administrator will review the correction certified payroll to ensure that full restitution was paid. The prime contractor shall be notified in writing of any discrepancies and will be required to make additional payments, if needed, documented on a correction certified payroll within 30 days.

e. Unfound workers. Sometimes, wage restitution cannot be paid to an affected employee because, for example, the employee has moved and can’t be located. After wage restitution has been paid to all of the workers who could be located, the employer must submit a list of any workers who could not be found and paid (i.e., unfound workers) providing their names, Social Security Numbers, last known addresses and the gross amount due. In such cases, at the end of the project the prime contractor will be required

HUD no longer requires the signature of the employee on the correction payroll to evidence employee receipt of restitution payment. In addition, except in the most extraordinary cases, HUD no longer requires employers to submit copies of restitution checks (certified, cashiers, canceled or other), or employee-signed receipts or waivers.

The contract administrator may communicate directly with a subcontractor when the underpayments are plainly evident and the subcontractor is cooperative. It is best to work through the prime contractor when the issues are complex, when there are significant underpayments and/or the subcontractor is not cooperative. In all cases, the subcontractor must ensure that the prime contractor receives a copy of the required corrective documentation.

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to place in a deposit or escrow account an amount equal to the total gross amount of restitution that could not be paid because the employee(s) could not be located. The contract administrator will continue attempts to locate the unfound workers for 3 years after the completion of the project. After 3 years, any amount remaining in the account for unfound workers will be credited and/or forwarded by the contract administrator to HUD.

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CHAPTER 3 LABOR STANDARDS DISPUTES, ADMINISTRATIVE REVIEWS, WITHHOLDING, DEPOSITS AND ESCROW ACCOUNTS, AND SANCTIONS

WHAT HAPPENS WHEN THINGS GO WRONG? 3-1 INTRODUCTION.

Even in the best of circumstances, things can go wrong. In a Davis-Bacon context, “things going wrong” usually means there’s a difference of opinion or a dispute about whether and to what extent underpayments have occurred. These disputes are usually between the contract administrator and one or more employers (the prime contractor and/or a subcontractor). The dispute may involve something simple such as an additional classification request that is pending before the DOL; or something as significant as investigative findings following a complaint of underpayment. This chapter discusses some of what you may expect and what you can do to make your views known and to lessen any delays in resolving the problem or issue.

3-2 ADMINISTRATIVE REVIEW ON LABOR STANDARDS DISPUTES.

As mentioned in the Introduction above, a dispute about labor standards and compliance can arise for a number of reasons. The labor standards clauses in your contract and DOL regulations provide for administrative review of issues where there is a difference of views between the contract administrator and any employer. The most common circumstances include:

a. Additional classifications and wage rates. Additional classification and wage rate requests are sometimes denied by the DOL. An employer that is dissatisfied with the denial can request reconsideration by the DOL Wage and Hour Administrator. The employer may continue to pay the wage rate, as requested, until a final decision is rendered on the matter. When the final decision is known, the employer will be required to pay any additional wages that may be necessary to satisfy the wage rate that is established.

1. Reconsideration. The DOL normally identifies the reasons for denial in its response to the request. Any interested person (for example, the contract administrator, employer, representatives of the employees) may request reconsideration of the decision on the additional classification request. The request for reconsideration must be made in writing and must thoroughly address the denial reasons identified by the DOL. Employer requests for reconsideration should be made through the contract administrator but may be made directly to the DOL. (See 2-2(d), and also DOL Regulations 29 CFR 1.8.) All requests initiated by or made through the contract administrator or HUD must be submitted through the HUD Headquarters Office of Labor Relations.

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2. Administrative Review Board. Any interested party may request a review of the Administrator’s decision on reconsideration by the DOL’s Administrative Review Board. DOL regulations 29 CFR Part 7 explain the procedures for such reviews. (See also 29 CFR 1.9.)

b. Findings of underpayment. Compliance reviews and other follow-up enforcement actions may result in findings of underpayment. The primary goal in every case and at every step in this process is to reach agreements about who may have been underpaid and how much wage restitution may be due and, of course, to promptly deliver restitution to any underpaid workers. The contract administrator will usually work informally with you to reach such agreements. You will have an opportunity to provide additional information to the contract administrator that may explain apparent inconsistencies and/or resolve the discrepancies.

If informal exchanges do not result in agreement, the final determination and schedule of back wages due will be presented to you in writing and you will be permitted 30 days in which to correct the underpayment(s) or to request a hearing on the matter before the DOL. The request for hearing must be made in writing through the contract administrator and must explain what findings are in dispute and the reasons. In such cases, HUD is required to submit a report to DOL for review and further consideration. All requests for DOL hearing must be submitted through the HUD Headquarters Office of Labor Relations.

1. DOL review. The DOL will review the contract administrator’s report and the arguments against the findings presented in the hearing request. The DOL may affirm or modify the findings based upon the materials presented. You will be notified in writing by the DOL of the results of its review. If DOL concludes that violations have occurred, you will be given an opportunity to correct any underpayments or to request a hearing before a DOL Administrative Law Judge (ALJ). (See DOL Regulations 29 CFR 5.11 (b) and 29 CFR Part 6, Rules of Practice for Administrative Proceedings.)

2. Administrative Review Board. Contractors and/or subcontractors may request a review by the Administrative Review Board of the decision(s) rendered by the DOL ALJ in the administrative hearing process. See DOL regulations 29 CFR Part 7 for more information about this proceeding.

3-3 WITHHOLDING.

The contract administrator shall cause withholding from payments due to the prime contractor to ensure the payment of wages which are believed to be due and unpaid, for example, if wage underpayments or other violations are not corrected within 30 days after written notification to the prime contractor. DOL may also direct the withholding of contract payments for alleged wage underpayments. Withholding is considered to be serious and is not taken unless warranted. If withholding is deemed necessary, you will be notified in writing. Only the amounts needed to meet the contractor’s (and/or subcontractors’) liability shall be withheld.

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3-4 DEPOSITS AND ESCROWS.

In every case, we attempt to complete compliance actions and resolve any disputes before the project is completed and final payments are made. Sometimes, corrective actions or disputes continue after completion and provisions must be made to ensure that funds are available to pay any wage restitution that is ultimately found due. In these cases, we allow projects to proceed to final closing and final payments provided the prime contractor deposits an amount equal to the potential liability for wage restitution and liquidated damages, if necessary, in a special account. The deposit or escrow account is controlled by the contract administrator. When a final decision is rendered, the contract administrator makes disbursements from the account in accordance with the decision. Deposit/escrow accounts are established for one or more of the following reasons:

a. Where the parties have agreed to amounts of wage restitution that are due but the employer hasn’t furnished evidence yet that all of the underpaid workers have received their back wages, e.g., some of the workers have moved and could not be located. The amount of the deposit is equal to the total gross amount of restitution due to workers lacking payment evidence. As these workers are paid and proper documentation is provided to the contract administrator, amounts corresponding to the documented payments are returned to the depositor. Amounts for any workers who cannot be located are held in the deposit/escrow account for three years and disposed as described in 2-8(f) of this Guide.

b. Where underpayments are suspected or alleged and an investigation has not yet been completed. The deposit is equal to the amount of wage restitution and any liquidated damages, if applicable, that are estimated to be due. If the final determination of wages due is less than the amount estimated and placed in the escrow account, the escrow will be reduced to the final amount and the difference will be returned to the depositor.

If the parties agree to the investigative findings, the amounts due to the workers will be paid by the employer. As these workers are paid and proper documentation is provided to the contract administrator, the gross amounts corresponding to the documented payments are returned to the depositor.

1. If the employer is unable to make the payments to the workers, e.g., lacks the funds necessary, the contract administrator may make disbursements directly to the workers in the net amounts calculated by the employer. The amounts withheld from the workers for tax deduction will be returned to the employer as payments to workers are made. The employer shall be responsible for reporting and transmitting withholdings to the appropriate agencies.

Remember, the prime contractor is responsible and will be held liable for any wage restitution that is due to any worker employed in the construction of the project, including workers employed by subcontractors and any lower-tier subcontractors. See 1-4, Responsibility of the Principal Contractor, and 2-8, Restitution for Underpayment of Wages.

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2. If the employer is not cooperating in the resolution, the contract administrator shall make disbursements to the workers in accordance with the schedule of wages due. Amounts for unfound workers will be retained as described above (See 2-8(f) and 3-4(a)).

If the parties do not agree and an administrative hearing is requested, the escrow will be maintained as explained in 3-4(c), below.

c. Where the parties are waiting for the outcome of an administrative hearing that has been or will be requested contesting a final determination of wages due. The deposit shall be equal to the amount of wage restitution and liquidated damages, if applicable, that have been determined due. Once a final decision is rendered, disbursements from the escrow account are made in accordance with the decision.

3-5 ADMINISTRATIVE SANCTIONS.

Contractors and/or subcontractors that violate the labor standards provisions may face administrative sanctions imposed by HUD and/or DOL.

a. DOL debarment. Contractors and/or subcontractors that are found by the Secretary

of Labor to be in aggravated or willful violation of the labor standards provisions of the Davis-Bacon and Related Acts (DBRA) will be ineligible (debarred) to participate in any DBRA or Davis-Bacon Act contracts for up to 3 years. Debarment includes the contractor or subcontractor and any firm, corporation, partnership or association in which the contractor or subcontractor has a substantial interest. Debarment proceedings can be recommended by the contract administrator or can be initiated by the DOL. Debarment proceedings are described in DOL regulations 29 CFR 5.12.

b. HUD sanctions. HUD sanctions may include Limited Denials of Participation (LDPs), debarments and suspensions.

1. Limited Denial of Participation. HUD may issue to the employer a limited denial of participation (LDP) which prohibits the employer from further participation in HUD programs for a period up to one year. The LDP is usually effective for the HUD program in which the violation occurred and for the geographic jurisdiction of the issuing HUD Office. HUD regulations concerning LDP’s are found at 24 CFR 24.700-24.714.

Remember, if you have any questions or need assistance concerning labor standards requirements help is always available. Contact the contract administrator for the project you’re working on or the HUD Field Labor Relations staff in your area.

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2. Debarment and suspensions. In certain circumstances, HUD may initiate its own debarment or suspension proceedings against a contractor and/or subcontractor in connection with improper actions regarding Davis-Bacon obligations. For example, HUD may initiate debarment where a contractor has been convicted for making false statements (such as false statements on certified payrolls or other prevailing wage certifications) or may initiate suspension where a contractor has been indicted for making false statements. HUD regulations concerning debarment and suspension are found at 24 CFR Part 24.

3-6 FALSIFICATION OF CERTIFIED PAYROLL REPORTS.

Contractors and/or subcontractors that are found to have willfully falsified payroll reports (Statements of Compliance), including correction certified payroll reports, may be subject to civil or criminal prosecution. Penalties may be imposed of $1,000 and/or one year in prison for each false statement (see Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code).

Remember, if you have any questions or need assistance concerning labor standards requirements help is always available. Contact the contract administrator for the project you’re working on or the HUD Field Labor Relations staff in your area.

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ACRONYMS AND SYMBOLS

CDBG - Community Development Block Grant

CFR - Code of Federal Regulations

CPR - Certified Payroll Report

CWHSSA - Contract Work Hours and Safety Standards Act

DBA - Davis-Bacon Act

DBRA - Davis-Bacon and Related Acts

DOL - Department of Labor

FHA - Federal Housing Administration

FLSA - Fair Labor Standards Act

HUD - Housing and Urban Development (Department of)

IHA - Indian Housing Authority

LCA - Local Contracting Agency

LDP - Limited Denial of Participation

O/T - Overtime

PHA - Public Housing Agency

S/T - Straight-time

SAC - State Apprenticeship Council/Agency

TDHE - Tribally-Designated Housing Entity

§ - Section

¶ - Paragraph

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DAVIS-BACON - RELATED WEB SITES*

HUD Office of Labor Relations: www.hud.gov/offices/olr

HUD Regulations: http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR

HUDClips (HUD Forms and Publications): www.hud.gov/offices/adm/hudclips/index.cfm

DOL Davis-Bacon and Related Acts Homepage: http://www.dol.gov/whd/contracts/dbra.htm

DOL Regulations: http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR

Davis-Bacon Wage Decisions: www.wdol.gov

DOL Forms: www.dol.gov/whd/programs/dbra/forms.htm

*Web addresses active as of January 2012

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Project Wage Rate SheetU.S. Department of Housing and Urban Development Office of Labor Relations

Project Name: Wage Decision Number/Modification Number:

Project Number: Project County:

Work Classification

Basic Hourly Rate (BHR)

Fringe Benefits

Total Hourly Wage Rate

LaborersFringe Benefits

$

Bricklayers $ Group # BHR Total Wage

Carpenters $ $

Cement Masons $ $

Drywall Hangers $ $

Electricians $ $

Iron Workers $ $

Painters $ Operators Fringe Benefits: $

Plumbers $ Group # BHR Total Wage

Roofers $ $

Sheet Metal Workers $ $

Soft Floor Workers $ $

Tapers $ $

Tile Setters $ Truck Drivers Fringe Benefits: $

Other Classifications Group # BHR Total Wage

$

$

$

Additional Classifications (HUD Form 4230-A)

Work Classification

Basic Hourly Rate (BHR)

Fringe Benefits

Total Hourly Wage Rate

Date ofHUD Submissionto DOL

Date of DOLApproval

$

$

$

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U.S. Department of Housing and Urban DevelopmentOffice of Departmental Operations and CoordinationWashington, DC 20410

Email: [email protected]

Labor Relations Desk GuideLR01.DG

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ATTACHMENT H BCC CDBG-DR Required Bid Documents

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BOULDER COUNTY COLLABORATIVE (CDBG-DR) PUBLIC INFRASTRUCTURE PROGRAM

REQUIRED BID AND CONTRACT DOCUMENTS ___________________________________________________

INSTRUCTION TO BCC PARTNERS AND SPECIAL DISTRICTS

This packet contains general conditions for use with procurement contract and subrecipient agreements that are funded in whole or in part by the U.S. Department of Housing and Urban Development (“HUD”) under Title I of the Housing and Community Development Act of 1974 (Pub. L. 93-383) as amended. This BCC CDBG-DR required bid and contract documents must be included as an attachment, expressly made a part of, and incorporated by reference.

This is a federally funded project. The contractor and subcontractors must comply with HUD procurement provisions in CFR 24 Part 85.36, Equal Employment Opportunity requirements, the Copeland “Anti-Kickback” Act, the Davis-Bacon Act, Contract Work Hours and Safety Standards Act, Section 3 of the Housing and Urban Development Act and other requirements as set forth in the bid documents. Minority and Women Owned Business Enterprises and Section 3 Business Concerns seeking bid opportunities under this project are encouraged to respond.

The Provision of this Agreement shall apply to subcontractors and their officers, agents and employees in all respects as if they were employees of the contractor. The contractor shall not be discharged from its obligations and liabilities, but shall be liable for all acts and negligence of subcontractors, and their officers, agents and employees, as if they were employees of the contractor.

FEDERAL REGISTER NOTICES DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Federal Register Notices applicable to the use of CDBG-DR Funds are available on the HUD Web site at https://www.hudexchange.info/cdbg-dr/cdbg-dr-laws-regulations-and-federal-register-notices.

SECTION 3 NOTICE HUD recently issued proposed amendments to the Section 3 regulations in 24 CFR Part 135. If HUD finalizes and

promulgates the amendments to 24 CFR Part 135 during the term of this Agreement, the Contractor or Subrecipient will be required to adhere to the amended 24 CFR Part 135.

Boulder County Collaborative Community Development Block Grant Disaster Recovery (CDBG-DR) is an Equal Opportunity Employer and no otherwise qualified individual shall be subjected to discrimination on the basis of race, color, religion or religious affiliation, sex, familial status, age, genetics, disability, or national origin in any phase of employment.

APPENDIX B

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TABLE OF CONTENTS

I. Standard CDBG Contract Provisions Summary

II. Federal Contract Provisions

III. Federal Labor Standards Provisions (HUD-4010 form)

IV. The Davis-Bacon Act

V. Section 3

VI. Minority Business Enterprises/Women Owned Business Enterprises (MBE/WBE)

VII. Required Posters

VIII. Required Contractor Documents (To be submitted with bid proposal)

IX. Required Contractor Documents (To be submitted prior to contract execution)

X. Additional Forms

XI. Davis Bacon Guide for Contractors

Enclosed is a set of documents related to compliance with Federal and local requirements concerning public infrastructure and facilities improvement projects under Boulder County Collaborative CDBG-DR.

Note: This document is to be used as a guide for contractors and subcontractors working on Boulder County Collaborative Community Development Block Grant Disaster Recovery projects. It is not verified to be all inclusive and the contractor is fully responsible for complying with all federal regulations applicable to the CDBG program.

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I. STANDARD CDBG CONTRACT PROVISIONS SUMMARY

1. Contracts other than small purchases shall contain administrative, contractual or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as may be appropriate.

2. All contracts in excess of $10,000 shall contain suitable provision for termination for cause and for convenience by the grantee, including the manner by which it will be effected and the basis for settlement.

3. All contracts awarded in excess of $10,000 by grantees and their contractors or subgrantees shall contain a provision requiring compliance with Executive Order 11246, entitled “Equal Employment Opportunity,” as amended by Executive Order 11375, and as supplemented in Department of Labor regulations (41 CFR Part 60).

4. All contracts and subgrants for construction or repair shall include a provision for compliance with the Copeland “Anti-Kickback” Act (18 USC 874) as supplemented in Department of Labor regulations (29 CFR, Part 3).

5. All construction contracts in excess of $2,000 must include a provision for compliance with the Davis-Bacon Act (40 USC 276a to a-7) as supplemented by Department of Labor regulations (29 CFR, Part 5).

6. Where applicable, all contracts awarded by grantees and subgrantees in excess of $2,000 for construction contracts and in excess of $2,500 for other contracts which involve the employment of mechanics or laborers shall include a provision for compliance with Section 103 and 107 of the Contract Work Hours and Safety Standards Act (40 USC 327-330) as supplemented by the Department of Labor regulations (29 CFR, Part 5).

7. The contract shall include notice of requirements and regulations pertaining to reporting and patent rights respect to any discovery or invention which arises or is developed in the course of or under such contract, and of grantor agency requirements and regulations pertaining to copyrights and rights in data.

8. All negotiated contracts awarded by grantees shall include a provision to the effect the grantee, subgrantee, the Comptroller General of the United States, or any of their duly authorized representatives, shall have access to any books, documents, papers, and records of the contractor which are directly pertinent to that specific contract, for the purpose of making audit, examination, excerpts, and transcriptions.

9. Grantees shall require contractors to maintain all required records for three years after grantees make final payments and all other pending matters are closed.

10. Contracts, subcontracts, and subgrants of amounts in excess of $100,000 shall contain a provision which requires compliance with all applicable standards, orders, or requirements issued under Section 306 of the Clean Air Act (42 USC 1857(h)), Section 508 of the Clean Water Act (33 USC 1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR, Part 15), which prohibit the use of non-exempt Federal contracts, grants, or loans of facilities included on the EPA List of Violating Facilities. The provision shall require reporting of violations to the grant agency and to the USEPA Assistance Administrator for Enforcement (EN-329).

11. Contracts shall recognize mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (P.L. 94-163).

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II. FEDERAL CONSTRUCTION CONTRACT PROVISIONS Section 1 – General Information

• Conflict of Interest • Code of Conduct • Record Retention • Contract provisions • Certification Regarding Use of Contract Funds for Lobbying • Access to Records

Section 2 – Equal Employment Opportunity Regulations

• Non-Discrimination • EEO Officer • Dissemination of EEO Policy • Recruitment of Employees • Selection of Subcontractors, Procurement of Material and Leasing of Equipment • EEO Records and Reports • Nonsegregated Facilities • Falsification of Documents • Section 3 • Office of Federal Contract Compliance Programs (OFCCP)

Section 3 – Federal Labor Standards Regulations

• Regulations • Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion • Instructions for Certification Lower Tier Covered Transactions • Payment of Prevailing Wages • Personnel Actions • Conformance Rates • Payment of Fringe Benefits • Apprentice Participation • Overtime Requirements • Withholding Payments • Violations and Liability • Statements and Payrolls

Section 4 – Health and Safety

• Safety and Accident Prevention • Implementation of Clean Air & Water Act(s)

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SECTION 1 General Information

INCLUDE IN ALL BIDS Federally Assisted Construction Contracts

addition, such contract shall describe conditions under w h i c h the contract may be terminated for default as well as conditions where the contract may be terminated because of

CONFLICT OF INTEREST: 24 CFR 570.611

In the procurement of supplies, equipment, construction and or services by recipients and subrecipients, any conflict of interest is prohibited. No persons who exercise or have exercised any functions or responsibilities with respect to CDBG activities assisted under this part or who are in a position to participate in a decision making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a CDBG−assisted activity, or have a financial interest in any contract, subcontract, or agreement with respect to a CDBG− assisted activity, or with respect to the proceeds of the CDBG−assisted activity, either for themselves or those with whom they have business or immediate family ties, during their tenure or for one year thereafter.

CODE OF CONDUCT: 24 CFR 84.42

The recipient of CDBG grant funds shall maintain written standards of conduct governing the performance of employees engaged in the award and administration of contracts stating that no employee, officer, or agent shall participate in the selection, award, or administration of a contract supported by Federal funds if a real or apparent conflict of interest would be involved.

RECORD RETENTION: 24 CFR 85.42

Financial records, supporting documents, statistical records and all other records pertinent to a grant shall be retained for a period of five years. If any litigation, claim, negotiation, audit or other action is started before the expiration of the five−year period, the records shall be retained until all litigations, claims or audit findings involving the records have been resolved. The retention period starts from the date of the submission of the final expenditure report or, from the date of the submission of the annual financial status report covering the last expenditure of grant funds for that year.

CONTRACT PROVISIONS:

In addition to provisions defining a sound and completed procurement contract, any recipient of federal funds shall include the following:

Contracts other than small purchases shall contain provisions or conditions which will allow for administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as may be appropriate.

All contracts in excess of $25,000 shall contain suitable

provisions for termination by the grantee including the manner by which it will be effected and the basis for settlement. In circumstances beyond the control of the contractor. Contracts, subcontracts, and subgrants of amounts in excess of $100,000 shall contain a provision which requires compliance with all applicable standards, orders, or requirements issued under Section 306 of the Clean Air Act (42 USC 1857 (h)), Section 508 of the Clear Water Act (33 USC 1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR, Part 15), which prohibit the use under non−exempt federal contracts, grants or loans of facilities included on the EPA List of Violating Facilities. The provision shall require reporting of violations to the grantor agency and to the US EPA Administrator for Enforcement (EN−329).

These contract provisions shall apply to all work performed on the contract by the contractor’s own organization and with the assistance of workers under the contractor’s immediate superintendence and to all work performed on the contract.

Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract that may in turn be made. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions.

A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract.

A breach of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12.

CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING: (Applicable to all Federal−aid construction contracts and to all related subcontracts which exceed $100,000 − 49 CFR 20) The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief that:

No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

If any funds other than Federal appropriated funds have

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been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form−LLL, “Disclosure Form to Report Lobbying”, in accordance with its instructions.

This certification is a material representation of fact upon which reliance was placed with this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 311352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000, and that all such recipients shall certify and disclose accordingly.

Any and all contractors, subcontractors, independent contractors, suppliers, facilitators or any person participating in any program or activity receiving federal financial assistance shall:

a. Prohibit discrimination based on race, color or national origin under Title VI of the Civil Rights Act of 1964;

b. Prohibit discrimination on the basis of sex under Title VII of the Civil Rights Act of 1964 and amended by the Equal Employment Opportunity Act of 1972;

c. Prohibit discrimination on the basis of age under the Age Discrimination Act of 1975;

d. Prohibit discrimination on the basis of disability under Section 504 of the Rehabilitation Act of 1973;

e. Take affirmative action to employ and advance qualified disabled people under Section 503 of the Rehabilitation Act of 1973

f. Promote and insure equal opportunity for all persons, without regard to race, color, religion, sex, or national origin under Executive Order 11246 as Amended;

g. Display posters which summarize the Federal laws prohibiting job discrimination based on race, color, sex, national origin, religion, age, equal pay and disability;

h. Prohibit discrimination based on disability under the Americans with Disabilities Act of 1990;

i. Assure that all buildings assigned for public use be designed, constructed and altered so as to be accessible to and usable by persons with physical disabilities under the Architectural Barriers Act of 1968; and

j. Avoid maintaining or providing any segregated facilities.

Any and all contractors, subcontractors, independent

contractors, suppliers, facilitators or any person participating in any program or activity receiving federal financial assistance shall:

Comply with the provisions for the elimination of Lead− Based paint hazards under 24 CFR Part 35;

Take all necessary precautions to guard against damages to property and injury to persons.

ACCESS TO RECORDS: 24 CFR 85.42-e

The awarding agency and the Comptroller General of the United States, or any of their authorized representatives, shall have the right of access to any pertinent books, documents, papers or other records which are pertinent to the grant in order to make audits, examinations, excerpts and transcripts. The right of access in this section must not be limited to the required retention period but shall last as long as the records are retained.

SECTION 2 Equal Employment Opportunity Regulations

NONDISCRIMINATION:

(Applicable to all Federal−aid construction contracts and to all related subcontracts of $10,000 or more)

Equal employment opportunity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor’s project activities under this contract. The Equal Opportunity Construction Contractor Specifications set forth under 41 CFR 60−4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.D. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO.

The contractor will work with the awarding agency and the Federal Government in carrying out EEO obligations and in their review of his or her activities under the contract.

The contractor will accept as his operating policy the following statement: “It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of

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compensation; and selection for training, including apprenticeship, pre−apprenticeship, and ƒor on−the−job training.”

EEO OFFICER:

The contractor will designate and make known to the awarding agency an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so.

DISSEMINATION OF POLICY:

All members of the contractor’s staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor’s EEO policy and contractual responsibilities to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken a s a minimum:

Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor’s EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO officer.

All new supervisory or personnel office employees wil l be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor’s EEO obligations within thirty days following their reporting for duty with the contractor.

All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor’s procedures for locating and hiring minority employees.

Notices and posters identifying the contractor’s EEO policy

will be placed in areas readily accessible to employees, applicants for employment and potential employees.

The contractor’s EEO policy and the procedures to implement such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means.

RECRUITMENT OF EMPLOYEES:

When advertising for employees, the contractor will include

in all advertisements for employees the notation: “An Equal Opportunity Employer.” All such advertisements will be placed in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement,

the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consideration. In the event the contractor has a valid bargaining agreement providing for exclusive hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor’s compliance with EEO contract provisions. (The DOL has held that where implementations of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) The contractor will encourage his present employees to refer minority group applicants for employment. Information and procedures with regard to referring minority group applicants will be discussed with employees.

SELECTION OF SUBCONTRACTORS, PROCUREMENT O F MATERIALS AND LEASING OF EQUIPMENT:

The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, i n c l u d i n g procurement of materials and leases of equipment.

The contractor shall notify all potential subcontractors and suppliers of his or her EEO obligations under this contract.

Disadvantaged business enterprises (DBE) as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. The contractor will use his best efforts to ensure subcontractor compliance with their EEO obligations.

EEO RECORDS AND REPORTS:

The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives. The records kept by the contractor shall document the following: The number of minority and non−minority group members and women employed in each work classification on the project; The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees.

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NONSEGREGATED FACILITIES:

Applicable to all Federal−aid construction contracts and to all related subcontracts of $10,000 or more.

By the execution of this contract or subcontract, or the consummation of this material supply agreement o r purchase order, all parties certify that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location under its control, where segregated facilities are maintained. The contractor agrees that a breach of this certification is a violation of the EEO provisions of this contract. The contractor further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability.

As used in this certification, the term “segregated facilities” refers to facilities provided for employees which are segregated by explicit directive, or on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override, (e.g. disabled parking).

The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files.

FALSIFICATION OF DOCUMENTS: The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231.

The contractor or subcontractor shall make the records required available for inspection, copying, or transcription by authorized representatives of the awarding agency or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the awarding agency, HUD or DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds of debarment action pursuant to 29 CRF 5.12.

SECTION 3

The purpose of Section 3 requires that recipients of HUD funds and their contractors and subcontractors provide jobs and other economic opportunities to low−income persons. The CDBG project service area for Section 3 compliance will be the nonmetropolitan county. Contractors and subcontractors participating in federally−

assisted projects are required to track and report their activity relative to the hiring and training of low and moderate income persons and the use of local businesses owned by low−income persons. This information must be reported by all contractors and subcontractors prior to project completion utilizing the “Section 3: Economic Opportunities for Low and Very Low Income Persons” form. All Section 3 covered contracts shall include the following Section 3 clause: “The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 170lu (Section 3). The parties to this contract agree to comply with this Section and certify that they are under no contractual or other impediment that would prevent them from complying with these regulations. The contractor agrees to notify each labor organization or representative workers with which t h e contractor has a collective bargaining agreement of the contractor’s commitments under this Section 3 clause and include this clause in every subcontract subject to compliance with the Section 3 regulations. The contractor will certify that any vacant employment positions, including training positions, that are filled after the contractor is selected but before the contract is executed with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractors obligations under this section of the Code of Federal Regulations. Noncompliance with HUD’s regulations in this Part may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts.”

OFFICE OF FEDERAL CONTRACT COMPLIANCE (OFCCP)

For federally assisted construction contracts, the OFCCP administers and enforces Executive Order 11246, as amended. This Order prohibits discrimination and requires affirmative action to ensure equal employment opportunity without regard to race, color, sex, religion and/or national origin; and the implementing regulations at 41 CFR Parts 60−1 through 60−50. Generally, all contractors and subcontractors holding non− exempt federally assisted construction contracts and subcontracts exceeding $10,000 must comply with Executive Order 11246. A “Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity” (Executive Order 11246) is to be included in the bid solicitations for all federally assisted construction contracts and subcontracts in excess of $10,000. The Notice, which is published at 41 CFR 60−4.2, informs the contractor bidder of the affirmative action requirements imposed under Executive Order 11246, including the specified goals for minority and female participation. Covered federally assisted construction contracts and subcontracts must incorporate the equal opportunity clause found at 41 CFR 60−1.4(b). The equal opportunity clause may be expressly included in each contract or subcontract or incorporated by reference. Importantly, the equal opportunity clauses are deemed to be a part of every covered construction contract and subcontract

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even if they are not physically incorporated in the contract documents. In addition to the equal opportunity clauses, federally assisted construction contracts and subcontracts in excess of $10,000 must include the “Standard Federal Equal Employment Opportunity Construction Contract Specifications” which are found at 41 CFR 60−4.3. The specifications describe the affirmative action obligations and set forth the specific affirmative action steps the construction contractor must implement in order to make a good faith effort to achieve the goals for minority and female participation that were listed in the bid solicitation. Additional information regarding OFCCP Compliance may be found at www.dol.govƒesaƒOFCCP or, at 1−800−397−6251. The Indiana office is located at 46 East Ohio Street, Suite 419, Indianapolis, IN 46204 and phone number is 317−226− 5860.

SECTION 3 Federal Labor Standards Regulations

Any and all contractors, subcontractors, independent

contractors, suppliers, facilitators or any person participating in any program or activity receiving federal f inancia l assistance shall:

Comply with federal labor standards regulations as follows: 1. Davis−Bacon Act 2. Contract Work Hours and Safety Standards Act 3. Copeland Act (Anti−Kickback Act) 4. Fair Labor Standards Act

The U. S. Department of Labor has published rules and regulations corresponding to the above regulations at Title 29 CFR Parts 1, 3, 5, 6 and 7.

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION PRIMARY COVERED TRANSACTIONS:

(Applicable to all Federal−aid contracts 49 CFR 29) By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency’s determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. The prospective primary participant shall provide immediate written notice to the department or agency to which this

proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

The terms “covered transaction”, “debarred”, “suspended”, “ineligible”, “lower tier covered transaction”, “participant”, “person”, “primary covered transaction,” “principal,” “proposal,” and “voluntarily excluded,” as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of t h o s e regulations. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion−Lower Tier Covered Transaction,” provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the non−procurement portion of the “Lists of Parties Excluded from Federal Procurement or Non− procurement Programs” (Non−procurement List) which is compiled by the General Services Administration. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. If a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:

Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; Have not within a 3−year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a

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public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statement, or receiving stolen property. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in this certification; and have not within a 3−year period preceding this application proposal had one or more public transactions (Federal, State or local) terminated for cause or default. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION APPLICABLE TO ALL SUBCONTRACTS, PURCHASE ORDERS AND O T H E R LOWER TIER TRANSASTIONS OF $25,000 OR MORE

By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department, or agency with which this transaction originated may pursue available remedies, including suspension and or debarment.

The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. The terms “covered transaction,” “debarred,” “suspended,” “ineligible,” “primary covered transaction,” “participant,” “person,” “principal,” “proposal,” and “voluntarily excluded,” as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion−Lower Tier Covered Transaction,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered

transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. If a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and or debarment. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

PAYMENT OF PREVAILING WAGES: http://www.wdol.gov/dba.asx

Applicable to all Federal−aid (CDBG) construction contracts exceeding $2,000 and to all related subcontracts: All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c) the full amounts of wages and bona fide fringe benefits or cash equivalents thereof due at time of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the Secretary of Labor, hereinafter called “the wage determination”, which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcontractors and such laborers and mechanics. The wage d e t e r m i n a t i o n shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1 (b)(2) of the Davis−Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid. Regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such

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weekly period. Such laborers and mechanics shall be p a i d the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed.

All rulings and interpretations of the Davis−Bacon Act and related acts contained in 29 CFR 1, 3 and 5 are herein incorporated by reference in this contract.

PERSONNEL ACTIONS:

Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. The contractor will periodically evaluate the spread o f wages paid within each classification to determine a n y evidence of discriminatory wage practices. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimination. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment.

CONFORMANCE RATES:

The awarding agency shall require that any class of laborers or mechanics employed under the contract which is not listed in the wage determination shall be classified in conformance with the wage decision. An additional classification, wage rate and fringe benefits may be approved only when the following criteria have been met:

(1) The work to be performed by the additional classification is not performed by any other classification in the wage determination;

(2) The additional classification is utilized in the area by the construction industry;

(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable re lat ionship to the wage rates contained in the wage determination.

If the contractor or subcontractor, laborers and mechanics, awarding agency and the contracting officer agree on the classification and conformance wage rate including the amount designated for fringe benefits where appropriate, the conformance rates shall be paid to all workers performing work in that classification from the first day on which work is performed in the classification.

In the event the contractor or subcontractors, laborers and mechanics, awarding agency and the contracting officer do not agree on the proposed classification and wage rate including the amount designated for fringe benefits where appropriate, the contracting officer (OCRA Labor Standards Compliance Officer) shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting agency or will notify within the 30−day period that additional time is necessary. Any work performed during the waiting period will be paid at the base wage and fringe benefit amount conditionally assigned by the contracting officer until a conformance rate is assigned by the Wage and Hour Administrator.

PAYMENT OF FRINGE BENEFITS: Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. If the contractor or subcontractor does not make payments to a trustee or other third person, he or she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis−Bacon Act have been met.

APPRENTICE PARTICIPATION: Apprentices will be permitted to work at less than the predetermined rate for the work they perform when they are employed pursuant to and individually registered in a bona fide apprenticeship program duly registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau. The allowable ratio of apprentices to journeyman−level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not

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registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the rations and wage rates (expressed in percentages of the journeyman−level hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeyman− level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, withdraws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved.

OVERTIME REQUIREMENTS:

No contractor or subcontractor contracting for any part of the

contract work which may require or involve the employment of labors, mechanics, watchmen, or guards (including apprentices) shall require or permit any laborer, mechanic, watchman, guard or apprentice in any workweek in which he or she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, guard or apprentice receives compensation at a rate not less than one−and−one−half times his or her basic rate of pay for all hours worked in excess of 40 hours in such workweek.

WITHHOLDING PAYMENT FOR UNPAID WAGES:

The awarding agency shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally−assisted contract subject to Davis−Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics employed by the contractor or

any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic employed or working on the site of the work, all or part of the wages required by the contract, the contracting agency may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

VIOLATIONS AND LIABILITY FOR UNPAID WAGES AND LIQUIDATED DAMAGES:

In the event of any violation of the requirements set forth in this document, the contractor and any subcontractor responsible for the violation shall be liable to the affected employee for his or her unpaid wages. In addition, s u c h contractor and subcontractor shall be liable to the United States for liquidated damages.

STATEMENTS AND PAYROLLS:

Applicable to all Federally−assisted construction contracts

exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural collectors, which are exempt. The Contractor shall comply with the Copeland Regulations of the Secretary of Labor. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, watchmen, helpers and guards working at the site of the work. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. Whenever the Secretary of Labor has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(B) of the Davis Bacon Act, the contractor and subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices under approved programs shall maintain written evidence of the registration of apprentices and ratios and wage r a t e s prescribed in the applicable programs. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the awarding agency or an agent thereof, a certified payroll report of wages paid each of its employees. The payroll submitted shall set out accurately and completely all of the information required to be

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maintained. This information may be submitted in any form desired. Optional Form WH−347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal stock number 029−005−0014−1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:

That the payroll for the payroll period contains the information required to be maintained and that such information is correct and complete;

That such laborer or mechanic employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; That each laborer or mechanic has been paid not less than the applicable wage rate and fringe benefits or cash equivalent for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH−347 shall satisfy the requirement for submission of the “Statement of Compliance”.

SECTION 4 Health and Safety

SAFETY AND ACCIDENT PREVENTION:

In the performance of this contract the contractor shall comply with all applicable Federal, State and local laws governing safety, health and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the awarding agency may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his or her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3333). Pursuant to 29 CFR 1926.3, it is a condition of t h i s contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any s i t e of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333).

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INCLUDE IN ALL BIDS OVER $100,000.00 IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT:

(Applicable to all Federally assisted construction contracts and to all related subcontracts of $100,000 or more.)

By submission of this bid or the execution of

this contract, or subcontract, as appropriate, the bidder, Federal−aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows:

That any facility that is or will be utilized in the

performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et seq., as amended by Pub.L. 91−604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seq., as amended by Pub.L. 92−500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U. S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20.

That the firm agrees to comply and remain in

compliance with all the requirements of Section 114 of the Clean Air A c t and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder.

That the firm shall promptly notify the

awarding agency of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities.

That the firm agrees to include or cause to be

included the requirements of this Section in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements.

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INCLUDE IN ALL BIDS III. FEDERAL LABOR STANDARDS PROVISIONS – HUD 4010 FORM

Federal Labor Standards Provisions U.S. Department of Housing and Urban Development Office of Labor Relations

Applicability

The Project or Program to which the construction work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions are included in this C o n t r a c t pursuant to the provisions applicable to such Federal assistance.

A. 1. (i) Minimum Wages. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), the full amount of wages and bona f ide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona f ide f ringe benefits under Section l (b)( 2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of 29 CFR 5. 5(a)(1 )(iv); also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period.

Such laborers and mechanics shall be paid the appropriate wage rate and f ringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5. 5( a)( 4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the t ime actually worked therein: Provided, That the employer’ s payroll records accurately set forth the t ime spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed u n d e r 29 CFR 5. 5 (a)(1 )(ii ) and the Davis-Bacon poster (WH- 1321 ) shall be posted at all t times by the contractor and i ts subcontractors at the site of the work in a prominent and accessible, place where i t can be easily seen by the workers.

(ii) (a) Any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. HUD shall approve an additional classification and wage rate and f ringe benefits therefor only when the following criteria have been met:

(1) The work to be performed by the classif ication requested is not performed by a classification in the wage determination; and

(2) The classification is utilized in the area by the construction industry; and

(3) The p r o p o s e d w a g e r a t e , i n c l u d i n g a n y b o n a f ide f ringe benefits, bears a reasonable relationship to t h e wage rates contained in the wage determination.

(b) I f the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and HUD or its designee agree on the classification and wage rate (including the a m o u n t designated for fringe benefits where appropriate), a report of the action taken shall be sent by HUD or its designee to the Administrator of the W age and Hour Division, Employment Standards Administration, U. S. Department of Labor, Washington, D. C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise HUD or i ts designee or will notify HUD or its designee within the 30 -day period that additional time is necessary. (Approved by the Office of Management and Budget under OMB control number 1215- 0140.)

(c) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and HUD or i ts designee do not agree on the proposed classification and wage rate (including the amount designated for f ringe benefits, where appropriate), HUD or i ts designee shall refer the questions, including the views of all interested parties and the recommendation of HUD or i ts designee, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise HUD or i ts designee or will notify HUD or its designee within the 30-day period that additional t ime is necessary. (Approved by the Office of Management and Budget under OMB Control Number 1215 -0140.)

(d) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs (1)(i i)(b) or (c) of this paragraph, shall be paid to all workers performing work in the classification under this contract f rom the f i rst day on which work is performed in the classif ication.

(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a f ringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona f ide f ringe benefit or an hourly cash equivalent thereof.

(iv) I f the contractor does not make payments to a t rustee or other third person, the contractor may consider as part

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of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona f ide f ringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis- Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (Approved by the Office of Management and Budget under OMB Control Number 1215- 0140.)

2. Withholding. HUD or i ts designee shall upon i ts own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld f rom the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, t trainees and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract In the event of failure to pay any laborer or mechanic, including any apprentice, trainee or helper, employed or working on the site of the work, all or part of the wages required by the contract, HUD or i ts designee may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. HUD or i ts designee may, after written notice to the contractor, disburse such amounts withheld for and on account of the contractor or subcontractor to the respective employees to whom they are due. The Comptroller General shall make such disbursements in the case of direct Davis-Bacon Act contracts.

3. (i) Payrolls and basic records. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona f ide f ringe benefits or cash equivalents thereof of the types described in Section l(b)(2 )(B) of the Davis-bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5. 5 ( a)(1 )(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section l (b)(2 )(B) of the Davis- Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been

Previous editions are obsolete

communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and t trainees, and the ratios and wage rates prescribed in the applicable programs. (Approved by the Office of Management and Budget under OMB Control Numbers 1215 -0140 and 1215- 0017.)

(ii) ( a) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to HUD or i ts designee i f the agency is a party to the contract, but i f the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for t transmission to HUD or i ts designee. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5. 5( a)( 3)(i) except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e. g., the last four digits of the employee’ s social security number). The required weekly payroll information may be submitted in any form desired. Optional Form W H-347 is available for this purpose f rom the W age and Hour Division Web site at htt p:/ / w w w . dol. gov/ esa/w hd/f orm s / w h347inst r . htm or i ts successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to HUD or i ts designee i f the agency is a party to the contract, but i f the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or i ts designee, the contractor, or the W age and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. I t is not a violation of this subparagraph for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for i ts own records, without weekly submission to HUD or i ts designee. (Approved by the Office of Management and Budget under OMB Control Number 1215 -0149.)

(b) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:

(1) That the payroll for the payroll period contains the information required to be provided under 29 CFR 5. 5 (a)(3)(ii), the appropriate information is being maintained under 29 CFR 5. 5( a)(3)(i), and that such information is correct and complete;

form HUD-4010 (06/2009)

Page 2 of 5 ref. Handbook 1344.1

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(2) That each laborer or mechanic (including each helper, apprentice, and t trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in 29 CFR Part 3;

(3) That each laborer or mechanic has been paid not less than the applicable wage rates and f ringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract.

(c) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by subparagraph A. 3.(i i)(b).

(d) The falsification of any of the above certi fications may subject the contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code.

(iii) The contractor or subcontractor shall make the records required under subparagraph A. 3.(i) available for inspection, copying, or t transcription by authorized representatives of HUD or i ts designee or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. I f the contractor or subcontractor fails to submit the required records or to make them available, HUD or i ts designee may, after written notice to the contractor, sponsor, applicant or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5. 12.

4. Apprentices and Trainees. (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona f ide apprenticeship program registered with the U. S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or i f a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency ( where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, wh

Previous editions are obsolete

is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which i ts program is registered, the ratios and wage rates (expressed in percentages of the journeyman’ s hourly rate) specified in the contractor’ s or subcontractor’ s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’ s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. I f the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits

listed on the wage determination for the applicable classification. I f the Administrator determines that a different practice prevails for the applicable apprentice classification, f ringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(ii) Trainees. Except as provided in 29 CFR 5. 16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant ‘ , to and individually registered in a program which has received prior approval, evidenced by formal certif ication by the U. S. Department of Labor, Employment and Training Administration. The ratio of t rainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every t trainee must be paid at not less than the rate specified in the approved program for the t rainee’ s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid f ringe benefits in accordance with the provisions of the t rainee program. I f the t rainee program does not mention f ringe benefits, t rainees shall be paid the full amount of f ringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full f ringe benefits for apprentices. Any employee l isted on the payroll at a trainee rate who is not registered and participating in a t raining plan approved by

form HUD-4010 (06/2009)

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the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In addit ion, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a t raining program, the contractor will no longer be permitted to utilize t trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(iii) Equal employment opportunity. The utilization of apprentices, t trainees and journeymen under 29 CFR Part 5 shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.

5. Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR Part 3 which are incorporated by reference in this contract

6. Subcontracts. The contractor or subcontractor will insert in any subcontracts the clauses contained in subparagraphs 1 through 11 in this paragraph A and such other clauses as HUD or i ts designee may by appropriate instructions require, and a copy of the applicable prevailing wage decision, and also a clause requiring the subcontractors to include these clauses in any lower t ier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower t ier subcontractor with all the contract clauses in this paragraph.

7. Contract termination; debarment. A breach of the contract clauses in 29 CFR 5. 5 may be grounds for termination of the contract and for debarment as a contractor and a subcontractor as provided in 29 CFR 5. 12.

8. Compliance with Davis-Bacon and Related Act Requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract

9. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of i ts subcontractors) and HUD or i ts designee, the U. S. Department of Labor, or the employees or their representatives.

10. (i) Certification of Eligibility. By entering into this contract the contractor certifies that neither i t ( nor he or she) nor any person or firm who has an interest in the contractor’ s firm is a person or firm ineligible to be awarded Government contracts by virtue of Section 3 (a) of the Davis-Bacon Act or 29 CFR 5. 12 (a)(1 ) or to be

awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24.

(ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of Section 3 (a) of the Davis-Bacon Act or 29 CFR 5. 12( a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24 .

(iii) The penalty for making false statements is prescribed in the U. S. Criminal Code, 18 U. S. C. 1001. Additionally, U. S. Criminal Code, Section 1 01 0, Title 18, U.S.C., “Federal Housing Administration transactions”, provides in part: “Whoever, for the purpose of . . . influencing in any way the action of such Administration..... makes, utters or publishes any statement knowing the same to be false..... shall be fined not more than $5, 000 or imprisoned not more than two years, or both.”

11. Complaints, Proceedings, or Testimony by Employees. No laborer or mechanic to whom the wage, salary, or other labor standards provisions of this Contract are applicable shall be discharged or in any other manner discriminated against by the Contractor or any subcontractor because such employee has f i led any complaint or instituted or caused to be instituted any proceeding or has testified or is about to testify in any proceeding under or relating to the labor standards applicable under this Contract to his employer.

B. Contract Work Hours and Safety Standards Act. The provisions of this paragraph B are applicable where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms “laborers” and “mechanics” include watchmen and guards.

(1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which the individual is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek.

(2) Violation; l iability for unpaid wages; l iquidated damages. In the event of any violation of the clause set forth in subparagraph (1 ) of this paragraph, the contractor and any subcontractor responsible therefor shall be l iable for the unpaid wages. In addition, such contractor and subcontractor shall be l iable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for l iquidated damages. Such l iquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in subparagraph ( 1) of this paragraph, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in sub paragraph ( 1) of this paragraph.

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(3) Withholding for unpaid wages and liquidated damages. HUD or i ts designee shall upon i ts own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, f rom any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contract, or any other Federally- assisted contract subject to the Contract Work Hours and Safety Standards Act which is held by the same prime contractor such sums as may be determined to be necessary to satisfy any l iabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in subparagraph (2) of this paragraph.

(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in subparagraph ( 1) through (4 ) of this paragraph and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in subparagraphs (1) through ( 4) of this paragraph.

C. Health and Safety. The provisions of this paragraph C are applicable where the amount of the prime contract exceeds $100,000.

(1) No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his health and safety as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation.

(2) The Contractor shall comply with all regulations issued by the Secretary of Labor pursuant to Title 29 Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract W ork Hours and Safety Standards Act, (Public Law 91-54, 83 Stat 96). 4 0 U S C 3701 et s eq.

(3) The contractor shall include the provisions of this paragraph in every subcontract so that such provisions will be binding on each subcontractor. The contractor shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions.

Previous editions are obsolete form HUD-4010 (06/2009) ref. Handbook 1344.1

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INCLUDE IN ALL BIDS

IV. THE DAVIS-BACON ACT In Construction contracts involving an excess of $2000, unless exclusively in connection with the rehabilitation of residential property containing fewer than 8 units, the Contractor shall pay and the Subrecipient shall cause its contractor to pay all laborers and mechanics at a rate not less than those determined by the Secretary of Labor to be prevailing for Boulder County, which rates are to be provided by the Agency. These wage rates are a federally mandated minimum only, and will be superseded by any State or County requirement mandating higher wage rates. The contractor also agrees to comply with Department of Labor Regulations pursuant to the Davis-Bacon Act found in 29 CFR Parts 1, 3, 5 and 7, which enforce statutory labor standards provisions.

PROJECT WAGE DECISION Davis-Bacon wage decisions are established by the DOL for various types of construction (e.g. heavy, highway) and apply specifically to Boulder County areas. The wage decisions are modified from time to time. For the latest wage decision rates, go to the US DOL wage decision website: Davis-Bacon Labor Standards Guide – (Control + Click to follow the link)

It is the responsibility of the sub-grantee to provide the proper wage decision and the administration and enforcement of the Federal labor standards provisions on contracts covered by Davis-Bacon requirements.

It is the responsibility of the contractor (prime or general contractor) to ensure full compliance of all employers (the contractor, subcontractors and any lower tier subcontractors) with the labor standards provisions applicable to the project. If additional wage classifications are needed for this job and are not shown on the applicable wage decision, call the contract administrator for help with requesting an additional classification to be added/approved.

(Insert Wage Decision Here)

NOTE: Sub-grantee or their engineers should monitor http://wdol.gov while the bid remains open to ensure that the wage determination hasn’t changed. If the wage determination changes more than 10 days before the bid opening date, the solicitation will need to be modified to reflect the new wage rate. The wage determination is valid for 90 days after bid opening. If the contract is not awarded within 90 days, the wage determination must be updated with any changes that have occurred during that period. If the contract is awarded within 90 days, the original wage determination becomes fixed for the life of the contract.

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INCLUDE IN ALL BIDS

V. SECTION 3 CLAUSE (24 CFR Part 135.38) All section 3 covered contracts and subcontracts shall include the following clause (referred to as the Section 3 clause):

A. The work to be performed under this contract is subject to the requirements of section 3 of the Housing and Urban

Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing.

B. The parties to this contract agree to comply with HUD's regulations in 24 CFR part 135, which implement section 3. As

evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations.

C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a

collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin.

D. The contractor agrees to include this section 3 clause in every subcontract subject to compliance with regulations in 24

CFR part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR part 135.

E. The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the

contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR part 135.

F. Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions, termination of this contract for

default, and debarment or suspension from future HUD assisted contracts.

G. With respect to work performed in connection with section 3 covered Indian housing assistance, section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to the provisions of section 3 and section 7(b) agree to comply with section 3 to the maximum extent feasible, but not in derogation of compliance with section.

H. The contractor agrees to submit, and shall cause its subcontractors to submit, monthly reports detailing the number or new employees hired, the number of new Section 3 employees hired, and any affirmative efforts made to direct hiring efforts to low and very-low income persons, particularly person who are recipients of HUD assistance for housing.

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SECTION 3 DEFINITIONS

“SECTION 3 RESIDENT” MEANS:

1. A public housing resident who resides in the metropolitan area or non-metropolitan county in

which the Section 3 covered assistance is expended and who is considered to be a low-to very low-income person; or

2. An individual who resides in the metropolitan area or Non-metropolitan County in which the Section

3 covered assistance is expended and who is considered to be a low-to very low-income person.

“NEW HIRE” MEANS: A person who is not on the contractor’s payroll at the time of selection for the Section 3 award.

SECTION 3 BUSINESS DEFINED

A Section 3 Business concern is a business:

1. That is 51 % or more owned by a Section 3 Boulder County resident(s); or

2. Whose permanent, full-time employees include persons, at least 30 % of whom are currently Section 3 residents or within three years of the date of first employment with the business concern were Section 3 Boulder County residents; or

3. That provide evidence of a commitment to subcontract in excess of 25 % of the total dollar award of all

subcontracts to be awarded to business concerns that meet the qualifications set forth in (1) or (2) above.

A person seeking the training or employment preference; or a business seeking the preference provided by Section 3 bears the responsibility of providing evidence (if requested) that the person is eligible for that preference.

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INCLUDE IN ALL BIDS

VI. MBE/WBE CLAUSE The prime contractor, if subcontracts are to be let, is required to take the following affirmative steps to ensure that, whenever possible, subcontracts are awarded to small business firms, minority business firms, women’s business enterprises, and labor surplus area firms.

(1) Place qualified small and minority businesses and women’s business enterprises on solicitation lists; (2) Assure that small and minority businesses, and women’s business enterprises are solicited whenever they are potential sources; (3) Divide total requirements, when economically feasible, into small tasks or quantities to permit maximum participation by small and minority business and women’s business enterprises; (4) Establish delivery schedules when the requirements of the work permit, which will encourage participation by small and minority-owned businesses and women-owned business enterprises; (5) Use the services and assistance of the Small Business Administration and the Minority Business Development Agency Department of Commerce; and (6) Require the subcontractor, if further subcontracts are to be let, to take the affirmative steps in paragraphs (1) through (5).

Contractor should clearly document the communication and outreach to the certified business. Documentation may include mail logs, phone logs, or similar records documenting the use of the above identified sources of information about MBE/WBE firms, the efforts to contact them, and other efforts to meet the above requirements:

Firm Date Notes

The link bellows can aid in soliciting qualified small and minority business and women’s business enterprises in the state of Colorado.

Diverse Business Directory (Control + Click to follow the link)

Colorado Unified Certification Program (UCP) Directory (Control + Click to follow the link) NOTE: The above links are not meant to be comprehensive. Contractors are encourage to use other available sources.

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VII. REQUIRED POSTERS

MUST BE POSTED AT WORKSITE BY SELECTED CONTRACTOR/SUB CONTRACTOR

1. Applicable Wage Determination Contractor/Subcontractor must post the prevailing wage rates for each craft and classification in a prominent and easily place at the site of the work, or at such places as are used by them to pay workers.

2. Equal Employment Opportunity (EEOC-P/E-1) This poster should be placed in a conspicuous location in the workplace where notices to employees are customarily posted.

3. Employee Rights under the Davis-Bacon Act Poster (WH-1321) Contractor/Subcontractor should post this poster at the site of the work in a prominent and accessible place where it may be easily seen by employees.

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THE LAW Equal Employment Opportunity is

Private Employers, State and Local Governments, Educational Institutions, Employment Agencies and Labor Organizations Applicants to and employees of most private employers, state and local governments, educational institutions, employment

agencies and labor organizations are protected under Federal law from discrimination on the following bases:

RACE, COLOR, RELIGION, SEX, NATIONAL ORIGIN Title VII of the Civil Rights Act of 1964, as amended, protects applicants and employees from discrimination in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment, on the basis of race, color, religion, sex (including pregnancy), or national origin. Religious discrimination includes failing to reasonably accommodate an employee’s religious practices where the accommodation does not impose undue hardship.

DISABILITY Title I and Title V of the Americans with Disabilities Act of 1990, as amended, protect qualified individuals from discrimination on the basis of disability in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment. Disability discrimination includes not making reasonable accommodation to the known physical or mental limitations of an otherwise qualified individual with a disability who is an applicant or employee, barring undue hardship.

AGE The Age Discrimination in Employment Act of 1967, as amended, protects applicants and employees 40 years of age or older from discrimination based on age in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment.

SEX (WAGES) In addition to sex discrimination prohibited by Title VII of the Civil Rights Act, as amended, the Equal Pay Act of 1963, as amended, prohibits sex discrimination in the payment of wages to women and men performing substantially equal work, in jobs that require equal skill, effort, and responsibility, under similar working conditions, in

the same establishment. GENETICS Title II of the Genetic Information Nondiscrimination Act of 2008 protects applicants and employees from discrimination based on genetic information in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment. GINA also restricts employers’ acquisition of genetic information and strictly limits disclosure of genetic information. Genetic information includes information about genetic tests of applicants, employees, or their family members; the manifestation of diseases or disorders in family members (family medical history); and requests for or receipt of genetic services by applicants, employees, or their family members.

RETALIATION All of these Federal laws prohibit covered entities from retaliating against a person who files a charge of discrimination, participates in a discrimination proceeding, or otherwise opposes an unlawful employment practice.

WHAT TO DO IF YOU BELIEVE DISCRIMINATION HAS OCCURRED There are strict time limits for filing charges of employment discrimination. To preserve the ability of EEOC to act on your behalf and to protect your right to file a private lawsuit, should you ultimately need to, you should contact EEOC promptly when discrimination is suspected: The U.S. Equal Employment Opportunity Commission (EEOC), 1-800-669-4000 (toll-free) or 1-800-669-6820 (toll-free TTY number for individuals with hearing impairments). EEOC field office information is available at www.eeoc.gov or in most telephone directories in the U.S. Government or Federal Government section. Additional information about EEOC, including information about charge filing, is available at www.eeoc.gov.

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Employers Holding Federal Contracts or Subcontracts Applicants to and employees of companies with a Federal government contract or subcontract are

protected under Federal law from discrimination on the following bases:

RACE, COLOR, RELIGION, SEX, NATIONAL ORIGIN Executive Order 11246, as amended, prohibits job discrimination on the basis of race, color, religion, sex or national origin, and requires affirmative action to ensure equality of opportunity in all aspects of employment.

INDIVIDUALS WITH DISABILITIES Section 503 of the Rehabilitation Act of 1973, as amended, protects qualified individuals from discrimination on the basis of disability in hiring, promotion, discharge, pay, fringe benefits, job training, classification, referral, and other aspects of employment. Disability discrimination includes not making reasonable accommodation to the known physical or mental limitations of an otherwise qualified individual with a disability who is an applicant or employee, barring undue hardship. Section 503 also requires that Federal contractors take affirmative action to employ and advance in employment qualified individuals with disabilities at all levels of employment, including the executive level.

DISABLED, RECENTLY SEPARATED, OTHER PROTECTED, AND ARMED FORCES SERVICE MEDAL VETERANS The Vietnam Era Veterans’ Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212, prohibits job discrimination and requires affirmative action to employ and advance in employment disabled veterans, recently separated veterans (within

three years of discharge or release from active duty), other protected veterans (veterans who served during a war or in a campaign or expedition for which a campaign badge has been authorized), and Armed Forces service medal veterans (veterans who, while on active duty, participated in a U.S. military operation for which an Armed Forces service medal was awarded).

RETALIATION Retaliation is prohibited against a person who files a complaint of discrimination, participates in an OFCCP proceeding, or otherwise opposes discrimination under these Federal laws.

Any person who believes a contractor has violated its nondiscrimination or affirmative action obligations under the authorities above should contact immediately:

The Office of Federal Contract Compliance Programs (OFCCP), U.S. Department of Labor, 200 Constitution Avenue, N.W., Washington, D.C. 20210, 1-800-397-6251 (toll-free) or (202) 693-1337 (TTY). OFCCP may also be contacted by e-mail at [email protected], or by calling an OFCCP regional or district office, listed in most telephone directories under U.S. Government, Department of Labor.

Programs or Activities Receiving Federal Financial Assistance

RACE, COLOR, NATIONAL ORIGIN, SEX INDIVIDUALS WITH DISABILITIES In addition to the protections of Title VII of the Civil Rights Act of 1964, as Section 504 of the Rehabilitation Act of 1973, as amended, prohibits employment amended, Title VI of the Civil Rights Act of 1964, as amended, prohibits discrimination on the basis of disability in any program or activity which receives discrimination on the basis of race, color or national origin in programs or Federal financial assistance. Discrimination is prohibited in all aspects of activities receiving Federal financial assistance. Employment discrimination employment against persons with disabilities who, with or without reasonable is covered by Title VI if the primary objective of the financial assistance is accommodation, can perform the essential functions of the job. provision of employment, or where employment discrimination causes or may cause discrimination in providing services under such programs. Title IX of the Education Amendments of 1972 prohibits employment discrimination on the basis of sex in educational programs or activities which receive Federal financial assistance.

If you believe you have been discriminated against in a program of any institution which receives Federal financial assistance, you should immediately contact the Federal agency providing such assistance.

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EMPLOYEE RIGHTS UNDER THE DAVIS-BACON ACT

FOR LABORERS AND MECHANICS EMPLOYED ON FEDERAL OR FEDERALLY

ASSISTED CONSTRUCTION PROJECTS

THE UNITED STATES DEPARTMENT OF LABOR WAGE AND HOUR DIVISION

PREVAILING WAGES

OVERTIME

ENFORCEMENT

APPRENTICES

PROPER PAY

You must be paid not less than the wage rate listed in the Davis-Bacon Wage Decision posted with this Notice for the work you perform.

You must be paid not less than one and one-half times your basic rate of pay for all hours worked over 40 in a work week. There are few exceptions.

Contract payments can be withheld to ensure workers receive wages and overtime pay due, and liquidated damages may apply if overtime pay requirements are not met. Davis-Bacon contract clauses allow contract termination and debarment of contractors from future federal contracts for up to three years. A contractor who falsifies certified payroll records or induces wage kickbacks may be subject to civil or criminal prosecution, fines and/or imprisonment.

Apprentice rates apply only to apprentices properly registered under approved Federal or State apprenticeship programs.

If you do not receive proper pay, or require further information on the applicable wages, contact the Contracting Officer listed below:

or contact the U.S. Department of Labor’s Wage and Hour Division.

:

U.S. Department of Labor Employment Standards Administration Wage and Hour Division

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WH 1321(Revised April 2009)

THIS PAGE INTENTIONALLY LEFT BLANK

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VIII. REQUIRED CONTRACTOR DOCUMENTS / FORMS NOTE: Must be completed and submitted WITH the construction bid proposal

1. Form of Statement of Bidder’s Qualifications

2. Wage/Fringe Benefit Certification

3. Bid Bond Certification

4. Certificate of Corporate Principal

5. Certificate of Bidder Regarding Equal Employment Opportunity (EEO)

6. Certificate of Bidder Regarding Federal Labor Standard and Davis-Bacon Act

7. Certificate of Bidder Regarding Section 3 and Segregated Facilities

8. Certificate of Bidder Regarding Civil Rights

9. Non-Collusion Affidavit of Prime Bidder

10. Section 3 Bidder Proposed for Contractor and Subcontractor

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FORM OF STATEMENT OF BIDDER’S QUALIFICATIONS NOTICE: Must be completed and submitted WITH the construction bid proposal

All questions must be answered. The data given must be clear and comprehensive. This statement must be notarized. 1. Name of Bidder: _________________________________________________ 2. Business Address: ________________________________________________ 3. When Organized: ________________________________________________ 4. Bidder is a (an): __________________________________________________

(Individual - Partnership - Corporation)

The full name and addresses of all persons interested in this proposal as partners and/or principal(s) are: If business is carried out in any other name(s) than that of the principal(s) or partner(s), also state such name(s) and address(es).

_________________________________________________________________________________

_________________________________________________________________________________

_________________________________________________________________________________

CORPORATION

Corporation is incorporated in the State of: ___________________________________________ President is: ___________________________________________ Treasurer is: ___________________________________________ Place of Business: ___________________________________________

5. How many years have you been engaged in the contracting business under your present firm or trading

name? ____________________________________________________________

6. Financial Statement: (Attach Separate Sheet) 7. Credit Available for this Contract $____________________________ 8. Contracts Now on Hand, Gross Amounts $____________________________ 9. Have you ever refused to sign a contract at your original bid?

__________________________________________________________________________

10. Have you ever defaulted on a contract?

___________________________________________________________________________

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FORM OF STATEMENT OF BIDDER’S QUALIFICATIONS NOTICE: Must be completed and submitted WITH the construction bid proposal

11. Remarks: _________________________________________________________________________________ 13. The undersigned hereby authorizes and requests any person to furnish any information requested by

_______________________________________________ in verification of the recitals comprising this Statement of Bidder’s Qualifications.

Date at __________________this ______________ day of ______________________20_________.

__________________________________________ (Name of Bidder)

By: _______________________________________ Title: ______________________________________

STATE OF____________________________) COUNTY OF__________________________) __________________________________, being duly sworn, deposes and says that they are______________________ of________________________________ and their answers to the foregoing questions and all statements therein contained are true and correct.

_______________________________________________

(Name of Bidder)

Sworn to before me this: _______________________________________________

Day of __________________________, 20____ ________________________________________________

NOTARY PUBLIC

My commission expires: ________________________________________

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BID BOND CERTIFICATION NOTICE: Must be completed and submitted WITH the construction bid proposal

KNOW ALL MEN BY THESE PRESENTS, that we the undersigned, ___________________ as PRINCIPAL, AND ________________________________, as SURETY are held and firmly bound unto ________________________________ hereinafter called the Grantee/Local Public Agency in the penal sum of __________________ Dollars, ($___________), lawful money of the United States, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS SUCH, that whereas the Principal has submitted the

Accompanying Bid, dated ____________________, _________, for ______________________________.

NOW, THEREFORE, if the Principal shall not withdraw said Bid within the period specified therein after the opening of the same, or, if no period be specified, within thirty (30) days after the said opening, and shall within the period specified therefore, or if no period specified, within ten (10) days after the prescribed forms are presented to him for signature, enter into a written Contract with the Grantee/Local Public Agency in accordance with the Bid as accepted, and give bond with good and sufficient surety or sureties, as may be required, for the faithful performance and proper fulfillment of such contract; or in the event of the withdrawal of said Bid within the period specified, or the failure to enter into such Contract and give such bond within the time specified, if the Principal shall pay the Grantee/Local Public Agency the difference between the amount specified in said Bid and the amount for which the Grantee/Local Public Agency may procure the required work or supplies or both, if the latter be in excess of the former, then the above obligation shall be void and of no effect, otherwise to remain in full force and virtue. IN WITNESS WHEREOF, the above-bounded parties have executed this instrument under their several seals this _______ day of _________________, _______, the name and corporate seal of each corporate party being hereto affixed and these present signed by its undersigned representative, pursuant to authority of its governing body. 1. Forms of Bid Bonds prepared to meet the requirements of local or State laws or the needs of the Grantee/Local Public Agency should be substituted for this form where necessary. __________________________________________________________(SEAL) _____________________________ __________________________________________________________(SEAL) _____________________________ By: ______________________

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CERTIFICATE OF COROPRATE PRINCIPAL NOTICE: Must be completed and submitted WITH the construction bid proposal

I, ______________________________, certify that I am the _________________ of the corporation named as

Contractor herein; that ___________________________ who signed this Agreement on behalf of the Contractor,

was then ___________________________ of said corporation; that said Agreement was duly signed for and in

behalf of said corporation by authority of its governing body, and is within the scope of its corporate powers.

Corporate ________________________________ Seal (Corporate Secretary)

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CERTIFICATION OF BIDDER REGARDING EQUAL EMPLOYMENT OPPORTUNITY U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

NOTICE: Must be completed and submitted WITH the construction bid proposal

INSTRUCTIONS

This certification is required pursuant to Executive Order 11246 (30 F.R. 12319-25). The implementing rules and regulations provide that any bidder or prospective contractor, or any of their proposed subcontractors, shall state as an initial part of the bid or negotiations of the contract whether it has participated in any previous contract or subcontract subject to the equal opportunity clause; and, if so, whether it has filed all compliance reports due under applicable instructions. Where the certification indicates that the bidder has not filed a compliance report due under applicable instructions, such bidder shall be required to submit a compliance report within seven (7) days after bid opening. No contract shall be awarded unless such report is submitted. _____________________________________________________________________________________________

CERTIFICATION BY BIDDER

_____________________________________________________________________________________________ NAME AND ADDRESS OF BIDDER (Include ZIP Code)

1. Bidder has participated in a previous contract or subcontract subject to the Equal Opportunity Clause. Yes No _____________________________________________________________________________________________

2. Compliance reports were required to be filed in connection with such contract or subcontract. Yes No _____________________________________________________________________________________________

3. Bidder has filed all compliance reports due under applicable instructions.

Yes No None Required _____________________________________________________________________________________________

4. Have you ever been or are you being considered for sanction due to violation of Executive Order 11246, as amended?

Yes No _____________________________________________________________________________________________ Name and Title of Signer (Please type) _____________________________________________________________________________________________ Signature Date

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CERTIFICATION OF BIDDER REGARDING FEDERAL LABOR STANDARS AND DAVIS-BACON ACT

NOTICE: Must be completed and submitted WITH the construction bid proposal

Name of Prime Contractor Project Name and Number

Bidder: This certification is required to insure that the proposed Bidder understands that the Project or program to which the construction work covered by any construction greater than $2,000, is being assigned by the United States of America and that the various Federal Labor Standards Provisions, summarized in the Form HUD-4010, “Federal Labor Standards Provisions” are included in any such contract, pursuant to the provisions applicable to such Federal assistance. Nothing, however, shall prohibit the payment of more than the prevailing wage rate to any construction worker employed on the construction project. Wage Determination: Federal prevailing wage rates for construction labor can be obtained from the Wage Determination Online system:

http://www.wdol.gov/ Wage Determination Posting: Contractors and sub-contractors shall post the prevailing wage rates for each craft and classification in a prominent and easily place at the site of the work, or at such places as are used by them to pay workers. The undersigned is required to ensure that all specifications and/or contracts include all applicable Federal wage rate determination and the required labor standards provisions summarized by Form HUD-4010, “Federal Labor Standards Provisions.” Weekly Certified Payrolls: It is the responsibility of each contractor and sub-contractor to submit weekly certified payrolls for project work (http://www.dol.gov/whd/forms/wh347.pdf) _____________________________________________________________________________________________ Name and Address of Bidder (include ZIP code): . Name and Title of Signer (Print or Type)

Signature Date

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CERTIFICATION OF CONTRACTOR/SUBCONTRACTOR REGARDING SECTION 3 AND SEGREGATED FACILITIES

NOTICE: Must be completed and submitted WITH the construction bid proposal

Name of Contractor or Sub-Contractor Project Name and IFB Number The undersigned hereby certifies that:

(a) Section 3 provisions are included in the Contract if this is a Section 3 project.

(b) The above state company is a signatory to the Contractor’s Section 3 Plan.

(c) No segregated facilities will be maintained as required by Title VI of the Civil Rights Act of 1964. ______________________________________ Name and Title of Signer (Type of Print) Signature Date

CERTIFICATIONS OF BIDDER REGARDING CIVIL RIGHTS NOTICE: Must be completed and submitted WITH the construction bid proposal

The undersigned is fully aware that this contract is wholly or partially federally funded, and further, agrees to abide by the:

Civil Rights Act of 1964, Title VI, as amended, that provides no person on the basis of Race, Color, or National Origin shall be excluded from participation, denied program benefits, or subjected to discrimination. And, Civil Rights Act of 1968, Title VIII, as amended, will not discriminate in housing on the basis of Race, Color, Religion, Sex, or National Origin. And, Rehabilitation Act of 1973, Section 504, as amended, that no otherwise qualified individual shall solely by reason of his or her handicap be excluded from participation and/or employment, denied program benefits, subjected to discrimination under any program receiving federal funds; And, Housing and Community Development Act of 1974, Section 109, as amended, that no person shall be excluded from participation (including employment), denied program benefits, or subjected to discrimination on the basis of Race, Color, National Origin, Sex, Age, and Handicap under any program or activity funded in whole or part under Title I (CDBG) of the Act. And, Age Discrimination Act of 1975, as amended, that no person shall be excluded from participation, denied program benefits, or subjected to discrimination on the basis of age under any program or activity receiving federal funds.

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And, Americans with Disabilities Act of 1990, as amended, that there shall be no employment discrimination against "qualified individuals with disabilities." And, Executive Order 11063, that no person shall, on the basis of race, color, religion, sex, or national origin, be discriminated against in housing and related facilities provided with federal assistance, or lending practices with respect to residential property when such practices are connected with loans insured or guaranteed by the federal government. And, Executive Order 11246, as amended, that no person shall be discriminated against, on the basis of race, color, religion, sex, or national origin, in any phase of employment during the performance of federal or federally assisted construction contracts in excess of $10,000.

EQUAL EMPLOYMENT OPPORTUNITY During the performance of the contract, the CONTRACTOR agrees as follows:

1. The CONTRACTOR will not discriminate against any employee or applicant for employment because of race, creed, sex, color,

national origin, familial status, religious affiliation or handicap. The CONTRACTOR will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, creed, sex, color, national origin, familial status, religious affiliation or handicap. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The CONTRACTOR agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the GRANTEE setting forth the provisions of this non-discrimination clause.

2. The CONTRACTOR will, in all solicitation or advertisements for employees placed by or on behalf of the CONTRACTOR for the GRANTEE, state that all qualified applicants will receive consideration for employment without regard to race, creed, sex, color, national origin, familial status, religious affiliation or handicap. 3. The CONTRACTOR will cause the foregoing provisions to be inserted in all subcontracts for any work covered by this contract so that such provisions will be binding upon each subcontractor, provided that the foregoing provisions shall not apply to contracts or subcontracts for standard commercial supplies or raw materials.

3. The CONTRACTOR will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by the rules, regulations and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the GRANTEE’s Department of Housing and/or Community Development and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations and orders.

4 In the event of the CONTRACTOR’s non-compliance with any provision of this contract or with any of such rules, regulations or

orders, this Agreement may be canceled, terminated, or suspended in whole or in part and the CONTRACTOR may be declared ineligible for further Government contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.

5. The CONTRACTOR will include the provisions of the subparagraphs 12 (a) through (f) in every subcontract or purchase order

unless exempted by rules, regulations or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provision will be binding upon each subcontractor or vendor. The CONTRACTOR will take such action with respect to any subcontract or purchase order as the GRANTEE’s Department of Housing and/or Community Development may direct as a means of enforcing such provisions including sanctions for non-compliance: Provided, however, that in the event the CONTRACTOR becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the GRANTEE’s Department of Housing and/or Community Development, the CONTRACTOR may request the United States to enter into such litigation to protect the interests of the United States.

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AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS SECTION 503

(If contract $25,000 or over) 1. The CONTRACTOR will not discriminate against any employee or applicant for employment because of physical or mental

handicap in regard to any position for which the employee or applicant for employment is qualified. The CONTRACTOR agrees to take affirmative action to employ, advance in employment and otherwise treat qualified handicapped individuals without discrimination based upon their physical or mental handicap in all employment practices such as the following: employment, upgrading, demotion or transfer, recruitment, advertising, layoff or termination, rates of pay or other forms of compensation, and selection for training, including apprenticeship.

2. The CONTRACTOR agrees to comply with the rules, regulations, and relevant orders of the Secretary of Labor issued pursuant

to the Act. 3. In the event of the CONTRACTOR’s non-compliance with the requirements of this clause, actions for non-compliance may be taken in accordance with the rules, regulations, and relevant orders of the Secretary of Labor issued pursuant to the Act.

4. The CONTRACTOR agrees to post in conspicuous places, available to employees and applicants for employment, notices in a

form to be prescribed by the Director, provided by or through the contracting officer. Such notices shall state the CONTRACTOR’s obligation under the law to take affirmative action to employ and advance in employment qualified handicapped employees and applicants for employment, and the rights of applicants and employees.

5. The CONTRACTOR will notify each labor union or representative of workers with which it has a collective bargaining agreement

or other contract understanding, that the CONTRACTOR is bound by the terms of Section 503 of Rehabilitation Act of 1973, and is committed to take affirmative action to employ and advance in employment physically and mentally handicapped individuals.

6. The CONTRACTOR will include the provisions of this clause in every subcontract or purchase order of $2,500 or more unless

exempted by rules, regulations, or orders of the Secretary issued pursuant to Section 503 of the Act, so that such provisions will be binding upon each subcontractor with respect to any subcontract or purchase order as the Director of the Office of Federal contract Compliance Programs may direct to enforce such provisions, including action for non-compliance.

ACCESS TO RECORDS AND RECORDS RETENTION

The undersigned certifies, to the best of his or her knowledge and belief that: 1. The individual, sole proprietor, partnership, corporation, and/or association agrees to permit Boulder County Collaborative,

State of Colorado, U. S. Department of Housing and Urban Development (HUD), and the Office of the Inspector General and/or their designated representatives to have access to all records for review, monitoring, and audit during normal working hours.

2. The individual, sole proprietor, partnership, corporation, and/or association agrees to retain all records for at least five years following the closeout date or the resolution of all audit findings, whichever is later.

CONFLICT OF INTEREST

The undersigned is fully aware that this contract is wholly or partially federally funded, and further, by submission of the bid or proposal that the individual or firm, certifies that:

1. There is no substantial interest, as defined by Colorado Statutes, with any public official, employee, agency, commission, or

committee with the Boulder County Collaborative.

2. Any substantial interest, as defined by Colorado Statutes, with any public official, employee, agency, commission, or committee (including members of their immediate family) with Boulder County Collaborative that develops at any time during this contract will be immediately disclosed to Boulder County Collaborative.

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ANTI-LOBBYING CERTIFICATION The undersigned certifies, to the best of his or her knowledge and belief that: 1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for

influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.

2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.

3. The undersigned shall require that the language of this Certification be included in the award documents for all sub-awards to

all tiers (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly.

CERTIFICATIONS SIGNATURE FORM

Return this page with proposal. These Certifications (Civil Rights, Equal Employment Opportunity, Affirmative Action for Handicapped Workers -Section 503, Access to Records and Records Retention, Conflict of Interest, Lobbying) are a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of these Certifications is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. ______________________________________________________________________________________________________________ (Typed name of official) (Signature of official) ______________________________________________________________________________________________________________ (Typed name of entity) (Date)

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NON-COLLUSION AFFIDAVIT OF PRIME BIDDER NOTICE: Must be completed and submitted WITH the construction bid proposal

State of _______________________)

County of ______________________) ss.

__________________________, being first duly sworn, deposes and says that: 1. He is ______________________ of ________________________, the Bidder that has submitted the attached Bid;

2. He is fully informed respecting the preparation and contents of the attached Bid and of all pertinent circumstances respecting

such Bid;

3. Such Bid is genuine and is not a collusive or sham Bid;

4. Neither the said Bidder nor any of its officers, partners, owners, agents, representatives, employees or parties in interest,

including this affiant, has in any way colluded, conspired, connived or agreed, directly or indirectly with any other Bidder, firm

or person to submit a collusive or sham Bid in connection with the Contract for which the attached Bid has been submitted or

to refrain from bidding in connection with such Contract, or has in any manner, directly or indirectly, sought by agreement or

collusion or communication or conference with any other Bidder, firm or person to fix the price or prices in the attached Bid or

of any other Bidder, or to fix any overhead, profit or cost element of the Bid price or the Bid price of any other Bidder, or to

secure through any collusion, conspiracy, connivance or unlawful agreement any advantage against the (Grantee/Local Public

Agency) or any person interested in the proposed Contract; and

5. The price or prices quoted in the attached Bid are fair and proper and are not tainted by any collusion, conspiracy, connivance

or unlawful agreement on the part of the Bidder or any of its agents, representatives, owners, employees, or parties in interest,

including this affiant.

____________________________________________ (Signed)

____________________________________________ (Name & Title)

Subscribed and sworn to before me this ___________________ day of ________________, _______

_________________________________

_________________________________ (Notary Public) My commission expires _____________________.

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SECTION 3 REQUIREMENTS NOTICE: Must be completed and submitted WITH the construction bid proposal

Boulder County Collaborative is committed to comply with Section 3 of the Housing and Urban Development Act of 1968. This Act encourages the use of Section 3 businesses and the hiring of low income residents of the community for projects or programs using or assisted with HUD funding, as applicable.

HUD Funded Contracts in excess of $100,000

All applicable bid proposals and contracts shall include the following Section 3 language.

a. The work to be performed under this contract is on a project assisted under a program providing direct federal

financial assistance from the Department of Housing and Urban Development and is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 170lu. Section 3 requires that the greatest extent feasible, opportunities for training and employment be given lower income residents of the project areas, and contracts for work in connection with the project be awarded to business concerns residing in the project area.

b. The parties to this contract will comply with the provision of said Section 3 and the regulations issued pursuant thereto by the Secretary of Housing and Urban Development set forth in 24 CFR and all applicable rules and orders of the Department issued there−under prior to the execution of this contract. The parties to this contract certify and agree that they are under no contractual or other disability which would prevent them from complying with these requirements.

c. The contractor will send to each labor organization or representative of workers with which he has a collective bargaining agreement or other contract or understanding, if any, a notice advising the said labor organization or workers' representative of his commitments under the Section 3 clause, and shall post copies of the notice in conspicuous places available to employees and applicants for employment or training.

d. The contractor will include this Section 3 clause in every subcontract for work in connection with the project and will, at the direction of the applicant for, or recipient of federal financial assistance, take appropriate action pursuant to the subcontract upon a finding that the subcontractor is in violation of regulations issued by the Secretary of Housing and Urban Development, 24 CFR 135. The contractor will not subcontract with any subcontractor where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR 135, and will not let any subcontract unless the subcontractor has first provided it with the requirements of these regulations.

e. Compliance with the provisions of Section 3, the regulations set forth in 24 CFR 135, and all applicable rules and orders of the Department, issued thereunder prior to the execution of the contract, shall be a condition of the federal financial assistance provided to the project, binding upon the applicant or recipient for such assistance, its successors and assigns. Failure to fulfill these requirements shall subject the applicant or recipient, its contractors and subcontractors, its successors and assigns to those sanctions specified by the grant or loan agreement or contract through which federal assistance is provided, and to such sanctions as are specified by 24 CFR 135.

Boulder County Collaborative shall require each contractor on all HUD funded public or residential construction jobs exceeding $100,000, to prepare a written Section 3 plan as a part of their bids. All Section 3 plans shall be reviewed and approved by Boulder County Collaborative and retained according to the Records Retention Plan.

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CONTRACTOR/SUBCONTRACTOR’S SECTION 3 PLAN (Required if either contract exceeds $100,000)

NOTICE: Must be completed and submitted WITH the construction bid proposal

agrees to implement the following specific affirmative action steps

(Name of contractor/Subcontractor)

directed at increasing the utilization of lower income residents and businesses within the City/Town of ____________________. A. The boundaries of the Section 3 covered project area is Boulder County, Colorado and where advantageous, seek the assistance

of local officials in preparing and implementing the affirmative action plan.

B. To attempt to recruit from within the County the necessary number of lower income residents through: local advertising media, signs placed at the proposed site for the project, and community organizations and public or private institutions operating within or serving the project area such as State Employment Service and or Workforce Boulder County.

C. To maintain a list of all lower income residents who have applied either on their own or on referral from any source, and to employ such persons, if otherwise eligible and if a vacancy exists.

D. To insert this Section 3 Plan in all bid documents, and to require all bidders on subcontracts to submit a Section 3 Plan including utilization goals and the specific steps planned to accomplish these goals.

E. To ensure that subcontracts, which are typically let on a negotiated rather than a bid basis, in areas other than Section 3 covered project areas, are also let on a negotiated basis whenever feasible, if let in a Section 3 covered project area.

F. To formally contact unions, subcontractors, and trade associations to secure their cooperation for this program.

G. To ensure that all appropriate project area business concerns are notified of pending subcontractual opportunities.

H. To maintain records, including copies of correspondence, memoranda, etc. which document that all of the above affirmative action steps have been taken.

I. To appoint or recruit an executive official of the company or agency as Equal Opportunity Officer to coordinate the implementation of this Section 3 Plan.

J. To list on Table A information related to subcontracts to be awarded.

K. To list on Table B all projected workforce needs for all phases of this project by occupation, trade, skill level, and number of positions.

As officers and representatives of , we the undersigned have read (Name of Contractor/Subcontractor) and fully agree to this Section 3 Plan, and become a party to the full implementation of this program.

Signature

Title Date

Signature

Title Date

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CONTRACTOR/SUBCONTRACTOR’S SECTION 3 TABLES A & B

TABLE A

PROPOSED SUBCONTRACTS BREAKDOWN NOTICE: Must be completed and submitted WITH the construction bid proposal

FOR THE PERIOD COVERING_____________ 20______ THROUGH ____________, 20______ (Duration of the CDBG−Assisted Project)

*The Project Area is coextensive with the City/Town of: _____________ boundaries.

Company

Project Name Project/IFB Number

EEO Officer (Signature) Date

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5

Type Of Contract (Business or Profession)

Total Number of

Contracts

Total Approximate

Dollar Amount

Estimated Number Of Contracts to Project Area Businesses*

Estimated Dollar Amount to Project Area Businesses*

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TABLE B ESTIMATED PROJECT WORKFORCE BREAKDOWN

NOTICE: Must be complete and submit WITH the construction bid proposal

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5

Job Category

Total

Estimated Positions

No. Positions Currently Occupied

By Permanent Employees

No. Positions Not Currently

Occupied

No. Positions To

Be Filled w/LIPAR*

Officers/Supervisors

Professionals

Technicians

Housing Sales/Rental/Mgmt.

Office Clerical

Service Workers

Others

TRADE: Journeymen

Apprentices

Maximum No. Trainees

Others

TRADE:

Journeymen

Apprentices

Maximum No. Trainees

Others

*Lower Income Project Area Residents. A Section 3 qualifying person is one whose household resides in the City of Longmont and whose income does not exceed the income limit for the size of household as per the Section 8 Income Limits for Boulder County.

Company

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IX. REQUIRED CONTRACTOR DOCUMENTS / FORMS NOTE: Due by Contractor PRIOR TO Contract Execution

1. Certification of Bidder Regarding Section 3

2. Section 3 Certification for Business

3. Report of Additional Classification and Rate (HUD 4230-A form)

4. Contractor’s Performance and Payment Bond

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CERTIFICATION OF BIDDER REGARDING SECTION 3 NOTE: Due by Contractor PRIOR TO Contract Execution

Name of Prime Contractor Project Name and Number

The undersigned hereby certifies that:

A. The positions listed under part B that have been filled by since Name of Prime Contractor being notified of contract selection on were not filled to circumvent the Date contractor’s obligation to provide employment opportunities; including training positions, for Section 3 residents, as required by Section 3 of the Housing and Urban Development Act of 1968 and the implementing regulations, 24 CFR Part 135.

B. Employment Positions filled since .

Date of Selection

C. No employment positions have been filled since .

Date of Selection

Name & Title of Signer (Print or Type)

Signature Date

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SECTION 3 CERTIFICATION FOR BUSINESS NOTE: Due by Contractor PRIOR TO Contract Execution

Project Name: ________________________________ Contract Number: ______________________

Contractor Name: ___________________________________________________________________

It is the policy of the Congress and the purpose of the federal Section 3 policy to ensure that the employment and other economic opportunities generated by federal financial assistance for housing, economic and community development programs shall, to the greatest extent feasible, be directed toward low and very low income persons, particularly those who are the recipients of government assistance for housing. Does your business qualify as a Section 3 business? ________ Yes ________ No To qualify as a Section 3 business, you must meet one or more of the following three criteria (please check all that apply as per 24 CFR, Subchapter B, Part 135.5): _____ Is owned (51% or more) by Section 3 residents (defined below *) _____ Employs in permanent, full-time positions, at least 30% persons whom are currently Section 3 residents OR

whom were Section 3 residents within three years of the date of first employment with the business _____ Provides evidence of a commitment to subcontract in excess of 25% of the dollar award of all subcontracts to

be awarded to businesses that meet one of the above definitions. * Section 3 residents are persons who either live in public housing or are at or below the following income

qualifications: https://www.hudexchange.info/resource/reportmanagement/published/HOME_IncomeLmts_State_CO_2015.pdf

I certify that the above information is accurate, and agree to provide records upon request for verification of my eligibility as a Section 3 business. ______________________________________________ ______________________________ Signature Title

______________________________________________ ______________________________

Name (printed) Date

COUNTY Type of Household

1 Person

2 Person

3 Person

4 Person

5 Person

6 Person

7 Person

8 Person

BOULDER Moderate Income $46,100 $52,650 $59,250 $65,800 $71,100 $76,350 $81,600 $86,900

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NOTE: Due by Contractor PRIOR TO Contract Execution (only if applicable)

U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT REPORT OF ADDITIONAL CLASSIFICATION AND RATE

HUD FORM 4230A OMB Approval Number 2501-0011

(Exp. 01/31/2010)

1. FROM (name and address of requesting agency)

Colorado Department of Local Affairs 2. PROJECT NAME AND NUMBER 3. LOCATION OF PROJECT (City, County and State)

4. BRIEF DESCRIPTION OF PROJECT

5. CHARACTER OF CONSTRUCTION

Building Heavy Highway

Residential Other (specify)

6. WAGE DECISION NO. (include modification number, if any)

COPY ATTACHED

7. WAGE DECISION EFFECTIVE DATE

8. WORK CLASSIFICATION(S) HOURLY WAGE RATES

BASIC WAGE FRINGE BENEFIT(S) (if any)

9. PRIME CONTRACTOR (name, address)

10. SUBCONTRACTOR/EMPLOYER, IF APPLICABLE (name, address)

Check All That Apply: The work to be performed by the additional classification(s) is not performed by a classification in the applicable wage decision. The proposed classification is utilized in the area by the construction industry. The proposed wage rate(s), including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in

the wage decision. The interested parties, including the employees or their authorized representatives, agree on the classification(s) and wage rate(s). Supporting documentation attached, including applicable wage decision.

Check One: Approved, meets all criteria. DOL confirmation requested. One or more classifications fail to meet all criteria as explained in agency referral. DOL decision requested.

FOR HUD USE ONLY LR2000:

Agency Representative (Typed name and signature)

Date Log in:

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Log out:

Phone Number HUD-4230A (8-03) PREVIOUS EDITION IS OBSOLETE

Report of Additional Classification and Wage Rate U.S. Department of Housing and Urban Development Office of Labor Relations OMB Approval No. 2501-0011

(Exp. 09/30/2006) Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining data needed, and completing and reviewing the collection of information. The information is considered non-sensitive and does not require special protection. This information is required to obtain benefits. This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB control number. Employers engaged on HUD-assisted construction projects subject to Davis-Bacon wage requirements must pay no less than the wages determined to be prevailing by the Secretary of Labor to all laborers and mechanics engaged on the construction work. On occasion, the applicable Davis-Bacon wage decision does not contain all of the work classifications and wage rates needed to complete the construction work. This information collection facilitates the addition of needed work classifications and wage rates for the construction work involved. This form is used by HUD and local agencies administering HUD programs to report employer request(s) for additional classification and wage rates so that an appropriate wage rate can be approved by the Department of Labor for the construction work. This information collection is required by Department of Labor regulations at 29 CFR 5.5. While no assurances of confidentiality are pledged to respondents, HUD generally discloses these data only in response to a Freedom of Information request. Instructions General: Contractors/Employers: Do not need to complete this form. Submit a written, signed request to the responsible contracting agency naming the work classifications and the wage rates, including any fringe benefits, that are proposed. Local Agency Staff: Complete items 2 through 10. Submit one copy of this form to the DOLA CDBG Program Coordinator with a copy of the applicable Davis-Bacon wage decision and the written request from the employer naming the work classifications and wage rates that are proposed. (The employer’s request must be made in writing and must be signed.) 1. For HUD or State CDBG Office use. Enter the name and address of HUD Office (or State CDBG office) submitting the report and to which the DOL reply should be sent. 2. Enter the name and number of the project or contract involved. 3. Enter the location of the project involved: city, county and state. 4. Describe the construction involved, e.g., new construction or rehabilitation, number and type of buildings, number of stories, number of units (as applicable). For example, New construction: 3 – 4-story buildings; 120 units. 5. Enter the character of construction as defined by DOL for Davis-Bacon prevailing wage rate purposes. 6. Enter the number of the Davis-Bacon wage decision applicable to the construction work. Include the number of wage decision modifications (if any) applicable to the work. 7. Enter the effective date of the wage decision for the project. (See DOL regulations at 29 CFR 1.6.) 8. Enter the work classifications and corresponding hourly basic wage rates and fringe benefit rates (if any) requested. 9. Self-explanatory. 10. If the requesting employer is not the prime contractor, enter the name and address of the subcontractor/employer making the request. Remainder of Form: HUD Labor Relations/State CDBG use. HUD Labor Relations/State CDBG Staff: Evaluate the employer’s request against the criteria for approval (see DOL Regulations, 29 CFR Part 5, and related contract labor standards provisions). The criteria are reflected in “checklist” form to ensure that each factor is considered and to ensure that supporting documentation, including a copy of the applicable wage decision, is attached. Check the box next to each criterion that is met; do not check the box next to any criterion that is not met. If the request meets all criteria, check the appropriate box, enter the name and telephone number of the HUD/State CDBG

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agency representative, and sign and date the form. Submit one copy of the completed form to the DOL with a copy of the applicable Davis-Bacon wage decision and the written request from the employer involved. If the request fails to pass all criteria, check the appropriate box, enter agency contact information, and sign and date the form. Submit one copy of the completed form to the DOL with a copy of the applicable Davis-Bacon wage decision, the written request from the employer involved, and a cover letter explaining how the employer’s request failed to meet one or more of the criteria. Submission of Report Completed forms shall be sent to: Branch of Construction

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PERFORMANCE AND PAYMENT BONDING REQUIREMENTS NOTE: Due by Contractor PRIOR TO Contract Execution

City/State of _______________ regulations require a Grantee and/or its contractor (or subcontractors) performing the work to secure the following:

PAYMENT BOND. A "payment bond" is one executed in connection with a contractor to assure payment, as required by law, of all persons supplying labor and material in the execution of the work provided for in the contract. A Payment Bond is required on the part of the contractor for one-hundred percent (100%) of the contract price. The bond shall be obtained from a company holding a certificate of authority as an acceptable surety. A certified or cashier's check or a bank money order may be accepted in lieu of a bond.

PERFORMANCE BOND. A "performance bond" is one executed in connection with a contract to secure fulfillment of all the contractor's obligations under such contract. A Performance Bond is required on the part of the contractor for one-hundred percent (100%) of the contract price. The bond shall be obtained from a company holding a certificate of authority as an acceptable surety. A certified or cashier's check or a bank money order may be accepted in lieu of a bond.

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PERFORMANCE BOND

NOTE: Due by Contractor PRIOR TO Contract Execution

____ ____________ KNOW ALL PEOPLE BY THESE PRESENTS: that _______________

(Name of Contractor or Company) ________

(Address) A ____________ hereinafter called Principal, and _________ (Corporation/Partnership) (Name of Surety Company)

(Address) hereinafter called SURETY, are held and firmly bound unto ________

(Name of Recipient) ________

(Recipient's Address) Hereinafter called OWNER, in the penal sum of $ Dollars in lawful money of the United States, for the payment of which sum well and truly to be made we bind ourselves, successors, and assigns, jointly and severally, firmly in these presents. THE CONDITION OF THIS OBLIGATION is such that whereas, the Principal entered into a certain contract with the OWNER dated the day of 20 , a copy of which is hereto attached and made a part hereof for the construction of: PROJECT NAME: _______________ _______________ NOW THEREFORE, if the Principal shall well, truly and faithfully perform its duties in all the undertakings, covenants, terms, conditions, and agreements of said contract during the original term thereof, and any extensions thereof which may be granted by the OWNER, with or without notice to the Surety and during the one year guaranty period, and if he shall satisfy all claims and demands incurred under such contract, and shall fully indemnify and save harmless the OWNER from all costs and damages which it may suffer by reason of failure to do so, and shall reimburse and repay the OWNER all outlay and expense which the OWNER may incur in making good any default, then this obligation shall be void, otherwise to remain in full force and effect. PROVIDED FURTHER, that the said Surety, for value received hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract or to WORK to be performed thereunder or the SPECIFICATIONS accompanying the same shall in any way affect its obligation on this BOND, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the WORK or to the SPECIFICATIONS.

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PROVIDED, FURTHER, that no final settlement between the OWNER and the CONTRACTOR shall abridge the right of any beneficiary hereunder, whose claim may be unsatisfied. IN WITNESS WHEREOF, this instrument is executed in _______ counterparts, each one of which shall be deemed an original, and this the ______ day of ________________ 20______. ATTEST: Principal By _______ Principal Secretary (SEAL) _______________ Witness as to Principal Address Address ATTEST: _ Surety By _______________ Witness as to Surety Attorney in Fact ________ Address Address NOTE: Date of BOND must not be prior to date of Contract. If CONTRACTOR is Partnership, all partners should execute BOND. IMPORTANT: Surety companies executing BONDS must appear on the Treasury Department's most current list (Circular 570

as amended) and be authorized to transact business in the State where the PROJECT is located.

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PAYMENT BOND NOTE: Due by Contractor PRIOR TO Contract Execution

________ KNOW ALL PEOPLE BY THESE PRESENTS: that

(Name of Contractor or Company)

(Address) A _______ hereinafter called Principal, and _____________ (Corporation/Partnership) (Name of Surety Company) ______________

(Address) Hereinafter called SURETY, are held and firmly bound unto _______

(Name of Recipient) _______

(Recipient's Address) Hereinafter called OWNER, in the penal sum of $ Dollars in lawful money of the United States, for the payment of which sum well and truly to be made we bind ourselves, successors, and assigns, jointly and severally, firmly in these presents. THE CONDITION OF THIS OBLIGATION is such that whereas, the Principal entered into a certain contract with the OWNER dated the day of 20 , a copy of which is hereto attached and made a part hereof for the construction of: PROJECT NAME: _______________ _______________ NOW THEREFORE, if the Principal shall promptly make payment to all persons, firms, SUB-CONTRACTORS, and corporations furnishing materials for or performing labor in the prosecution of the WORK provided for in such Contract, and any authorized extension or modification thereof, including all amounts due for materials, lubricants, oil, gasoline, coal and coke, repairs on machinery, equipment and tools, consumed or used in connection with the construction of such WORK, and all insurance premiums on said WORK whether by SUB-CONTRACTOR or otherwise, then this obligation shall be void; otherwise to remain in full force and effect. PROVIDED FURTHER, that the said Surety, for value received hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract or to WORK to be performed thereunder or the SPECIFICATIONS accompanying the same shall in any way affect its obligation on this BOND, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the WORK or to the SPECIFICATIONS.

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PROVIDED, FURTHER, that no final settlement between the OWNER and the CONTRACTOR shall abridge the right of any beneficiary hereunder, whose claim may be unsatisfied. IN WITNESS WHEREOF, this instrument is executed in _______ counterparts, each one of which shall be deemed an original, and this the ______ day of ________________ 19______. ATTEST: Principal By _______ Principal Secretary (SEAL) ______________ Witness as to Principal Address Address ATTEST: Surety By _____________ Witness as to Surety Attorney in Fact _____________ Address Address NOTE: Date of BOND must not be prior to date of Contract. If CONTRACTOR is Partnership, all partners should execute BOND. IMPORTANT: Surety companies executing BONDS must appear on the Treasury Department's most current list (Circular 570

as amended) and be authorized to transact business in the State where the PROJECT is located.

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XI. ADDITIONAL FORMS

NOTE: Additional Labor Standards Requirements will be presented at the Pre-construction conference.

1. Certified Payroll Form (WH 347) To be turned in for each week of job from each contractor/subcontractor with each pay request. Can use your own payroll documents as long as all information required on this form is included on your own payroll forms. You are required to include page 2 certification statement. If you are using your own payroll format you may attach the certification form the back of the WH-347.

If additional wage classifications are needed for this job and are not shown on the applicable wage decision, call the contract administrator for help with requesting an additional classification to be added/approved.

2. Payroll Deduction Authorization for “other deductions” on Certified Payroll (Only if applicable)

3. Section 3 Monthly Report for Contractor and Subcontractor • Contractor and subcontractor are required to submit a Monthly Compliance Form and an

Employee Data and Certification form for all new hires. • Contractor and Subcontractor are required to submit a Notice of termination and job

problems related to Section 3 eligible workers. • Contractor payment requests may be held until all reporting requirements have been met.

4. Section 3 Employee Data Certification

5. Section 3 Posted Notice to Project Resident

6. Section 3 Annual Summary Report (HUD 6-0002 form) Boulder County Collaborative Section 3 Coordinator will report to HUD/State/or local Government, annual accomplishments regarding employment and other economic opportunities provided to low and very low income persons under Section 3. Form HUD-60002 is currently being utilized for reporting accomplishments. This form may be changed and updated from time to time as required by HUD and 24 CFR 135.

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U.S. Department of Labor PAYROLL Wage and Hour Division (For Contractor's Optional Use; See Instructions at www.dol.gov/whd/forms/wh347instr.htm)

Persons are not required to respond to the collection of information unless it displays a currently valid OMB control number.

Rev. Dec. 2008

8

(2)

While completion of Form WH-347 is optional, it is mandatory for covered contractors and subcontractors performing work on Federally financed or assisted construction contracts to respond to the information collection contained in 29 C.F.R. §§ 3.3, 5.5(a). The Copeland Act (40 U.S.C. § 3145) contractors and subcontractors performing work on Federally financed or assisted construction contracts to "furnish weekly a statement with respect to the wages paid each employee during the preceding week." U.S. Department of Labor (DOL) regulations at 29 C.F.R. § 5.5(a)(3)(ii) require contractors to submit weekly a copy of all payrolls to the Federal agency contracting for or financing the construction project, accompanied by a signed "Statement of Compliance" indicating that the payrolls are correct and complete and that each laborer

NAME OF CONTRACTOR OR SUBCONTRACTOR ADDRESS OMB No.: 1235-000 Expires: 01/31/2015

PAYROLL NO. FOR WEEK ENDING PROJECT AND LOCATION PROJECT OR CONTRACT NO.

(1)

NAME AND INDIVIDUAL IDENTIFYING NUMBER (e.g., LAST FOUR DIGITS OF SOCIAL SECURITY

NUMBER) OF WORKER NO

. OF

WIT

HH

OLD

iNG

EX

EMPT

ION

S

(3)

WORK CLASSIFICATION

OT.

OR

ST.

(4) DAY AND DATE (5) TOTAL HOURS

(6)

RATE OF PAY

(7)

GROSS AMOUNT EARNED

(8)

DEDUCTIONS

(9)

NET WAGES

PAID FOR WEEK

FICA

WITH- HOLDING

TAX

OTHER

TOTAL

DEDUCTIONS HOURS WORKED EACH DAY

O

S

O

S

O

S

O

S

O

S

O

S

O

S

O

S

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or mechanic has been paid not less than the proper Davis-Bacon prevailing wage rate for the work performed. DOL and federal contracting agencies receiving this information review the information to determine that employees have received legally required wages and fringe benefits.

Public Burden Statement

We estimate that is will take an average of 55 minutes to complete this collection, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. If you have any comments regarding these estimates or any other aspect of this collection, including suggestions for reducing this burden, send them to the Administrator, Wage and Hour Division, U.S. Department of Labor, Room S3502, 200 Constitution Avenue, N.W. Washington, D.C. 20210

(over)

Date

I,

(Name of Signatory Party) (Title)

(b) WHERE FRINGE BENEFITS ARE PAID IN CASH

− Each laborer or mechanic listed in the above referenced payroll has been paid,

as indicated on the payroll, an amount not less than the sum of the applicable

do hereby state:

(1) That I pay or supervise the payment of the persons employed by

on the (Contractor or Subcontractor)

; that during the payroll period commencing on the (Building or Work)

day of , , and ending the day of , , all persons employed on said project have been paid the full weekly wages earned, that no rebates have been or will be made either directly or indirectly to or on behalf of said

from the full (Contractor or Subcontractor)

weekly wages earned by any person and that no deductions have been made either directly or indirectly from the full wages earned by any person, other than permissible deductions as defined in Regulations, Part 3 (29 C.F.R. Subtitle A), issued by the Secretary of Labor under the Copeland Act, as amended (48 Stat. 948, 63 Start. 108, 72 Stat. 967; 76 Stat. 357; 40 U.S.C. § 3145), and described below:

(2) That any payrolls otherwise under this contract required to be submitted for t he above period are

correct and complete; that the wage rates for laborers or mechanics contained therein are not less than the applicable wage rates contained in any wage determination incorporated into the contract; that the classifications set forth therein for each laborer or mechanic conform with the work he performed.

(3) That any apprentices employed in the above period are duly registered in a bona fide apprenticeship

program registered with a State apprenticeship agency recognized by the Bureau of Apprenticeship and Training, United States Department of Labor, or if no such recognized agency exists in a State, are registered with the Bureau of Apprenticeship and Training, United States Department of Labor.

(4) That: (5) WHERE

FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS, OR PROGRAMS

− i

n addi tion to the ba sic hourly wage r

a tes paid to ea ch laborer or mechanic listed in the above referenced payroll, payments of fringe bene fits as listed in the contract have been or will be made to appropriate programs for the benefit of such employees, except as noted in section 4(c) below.

(c) EXCEPTIONS

EXCEPTION (CRAFT)

EXPLANATION

REMARKS:

NAME AND TITLE SIGNATURE

THE WILLFUL FALSIFICATION OF ANY OF THE ABOVE STATEMENTS MAY SUBJECT THE CONTRACTOR OR SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION. SEE SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE 31 OF THE UNITED STATES CODE.

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Company Letterhead

Payroll Deduction Authorization for “Other Deductions” on Certified Payroll

Project Name:

Employee’s Name:

I, ________________ , hereby authorize __ to (Employee Name) (Name of Employer/Company) deduct $ from my paycheck.

This deduction is for:

Loan Repayment Retirement Profit Sharing Advance

Charitable Donations Savings Bonds Insurance Premiums

Other:

This deduction is to be made:

One time only Weekly Monthly times over weeks

Other:

Employee’s Signature: Date:

You may make payroll deductions as permitted by DOL regulations 29 CFR Part 3. These regulations prohibit the employer from requiring employees to “kick-back” (i.e. give up or return to the employer) any of their earnings other than those identified.

You need to submit this documentation only one time per employee, unless changes in deductions or durations take place.

*If deductions are being made for child support, a copy of the court ordered withholding must be included.

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SECTION 3 MONTHLY COMPLIANCE REPORT

Project Name: ________________________________ Contract Number: ________________________

Contractor Name: _____________________________ For the Month of: ________________________

A. Hiring - Select one:

I have not hired any new employees during the month specified.

I have hired ___ Section 3 employees, and/or ____ non-Section 3 employees during the month. B. Recruitment

I have taken one or more of the following recruitment steps to hire a Section 3 resident with the highest training and employment priority ranking: (check all that apply)

I have made the Regional Workforce Solutions Center, and/or the Regional Workforce website the initial contact for all new hires.

I have advertised to fill vacancy (ies) at the site(s), where work is taking place, in connection with this project. Below, I have checked the steps I have taken to find Section 3 low-income residents, from the targeted groups and neighborhoods, to fill any vacancies.

Placed signs or posters in prominent places at project site(s).

Taken photographs of the above item to document that the above step was carried out.

Distributed employment flyers to the administrative office of the local Public Housing Authority.

Contacted employment referrals or Youthbuild Program referrals.

Kept a log of all applicants and indicated the reasons why Section 3 residents who applied were not hired.

Retained copies of any employment applications completed by Public Housing Authority, Section 8 certificate or voucher holders or other Section 3 residents.

Sent a notice about Section 3 training and employment requirements and opportunities to labor organizations or to worker representatives with whom our firm has a collective bargaining or other agreement.

C. Verification

I have attached proof of all checked items.

I hereby certify that the above information is a true and correct.

_______________________________________________________ __________________________ Signature of Authorized Representative of Contractor/Subcontractor Title ______________________________________________________ __________________________ Name Date

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EMPLOYEE DATA AND CERTIFICATION FORM

The U.S. Department of Housing and Urban Development (HUD) requires that Boulder County Collaborative document the income of newly hired persons working on federally-funded construction projects. This form may also be utilized as supportive documentation for Section 3 Certifications for Business form and is intended to comply with HUD Community Development Block Grant requirements. Section I Applicant's Name: Job Title:

Address: Phone:

What is your race? (Circle one)

WHITE

BLACK/AFRICAN AMERICAN

ASIAN

AMERICAN INDIAN/ ALASKAN NATIVE

NATIVE HAWAIIAN/OTHER PACIFIC ISLANDER ASIAN & WHITE

BLACK & WHITE

AM. INDIAN/ALASKAN NATIVE & BLACK OTHER

MULTIRACIAL

Is your family of Hispanic origin? (Circle one) YES NO

Do you currently reside in Public Housing? If yes, you do not need to fill out the rest of this form. (Circle one) YES NO

Have you been unemployed in the last 3 years? If yes, you do not need to fill out the rest of this form. (Circle one) YES NO

Section II How many people are in your family? (Circle one) 1 2 3 4 5 6 7 8+ What is your family's gross annual income (before taxes)?

I certify that all of the above information is true and correct to the best of my knowledge.

Employee's Signature Date

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SECTION 3 POSTED NOTICE TO PROJECT RESIDENTS The project ________________________ is being funded by the U.S. Department of Housing and Urban Development under the - Disaster Recovery Funding Program. This notice complies with the Boulder County Collaborative Section 3 Plan and is intended to inform the public, in particular project residents, of the economic opportunities (jobs) created through the use of the federal award.

Contractor/subcontractor intends to hire for the following positions:

Number of jobs

Title

Description of Qualifications/Licensure /Certification

Section 3 preferences:

1. Persons residing in the project area and who are of low- to very-low- income 2. Participants in HUD Youthbuild 3. Homeless Persons 4. Residents of the local Public Housing Authority 5. Residents of the local Section 8 Housing Assistance Program units

For more information including job applications, apprenticeships, training positions, and qualifications, contact:

Name of Contractor: _____________________________________________ Contact Person: _________________________________________________ Address: _______________________________________________________ City, State, Zip: Phone: ____________________________________________ Estimated construction start date: __________________________________

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HUD Field Office:

Section 3 Summary Report Economic Opportunities for

U.S. Department of Housing and Urban Development

OMB Approval No: 2529-0043 (exp. 11/30/2010)

Low – and Very Low-Income Persons Office of Fair Housing And Equal Opportunity

Section back of page for Public Reporting Burden statement

1. Recipient Name & Address: (street, city, state, zip) 2. Federal Identification: (grant no.) 3. Total Amount of Award:

4. Contact Person 5. Phone: (Include area code)

6. Length of Grant: 7. Reporting Period:

8. Date Report Submitted: 9. Program Code: (Use separate sheet for each program code)

10. Program Name:

Part I: Employment and Training (** Columns B, C and F are mandatory fields. Include New Hires in E &F) A

Job Category

B Number of New Hires

C Number of New Hires that are Sec. 3 Residents

D % of Aggregate Number of Staff Hours of New Hires that are Sec. 3 Residents

E % of Total Staff Hours for Section 3 Employees

and Trainees

F Number of Section 3

Trainees

Professionals

Technicians

Office/Clerical

Construction by Trade (List) Trade

Trade

Trade

Trade

Trade

Other (List)

Total

* Program Codes 3 = Public/Indian Housing 4 = Homeless Assistance 8 = CDBG State Administered 1 = Flexible Subsidy A = Development, 5 = HOME 9 = Other CD Programs 2 = Section 202/811 B = Operation 6 = HOME State Administered 10 = Other Housing Programs

C = Modernization 7 = CDBG Entitlement

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Part II: Contracts Awarded

1. Construction Contracts:

A. Total dollar amount of all contracts awarded on the project $

B. Total dollar amount of contracts awarded to Section 3 businesses

$

C. Percentage of the total dollar amount that was awarded to Section 3 businesses

%

D. Total number of Section 3 businesses receiving contracts

2. Non-Construction Contracts:

A. Total dollar amount all non-construction contracts awarded on the project/activity $

B. Total dollar amount of non-construction contracts awarded to Section 3 businesses

$

C. Percentage of the total dollar amount that was awarded to Section 3 businesses

%

D. Total number of Section 3 businesses receiving non-construction contracts

Part III: Summary

Indicate the efforts made to direct the employment and other economic opportunities generated by HUD financial assistance for housing and community development programs, to the greatest extent feasible, toward low-and very low-income persons, particularly those who are recipients of government assistance for housing. (Check all that apply.) Attempted to recruit low-income residents through: local advertising media, signs prominently displayed at the project site,

contracts with the community organizations and public or private agencies operating within the metropolitan area (or nonmetropolitan county) in which the Section 3 covered program or project is located, or similar methods.

Participated in a HUD program or other program which promotes the training or employment of Section 3 residents. Participated in a HUD program or other program which promotes the award of contracts to business concerns which meet the

definition of Section 3 business concerns. Coordinated with Youth build Programs administered in the metropolitan area in which the Section 3 covered project is located. Other; describe below.

Public reporting for this collection of information is estimated to average 2 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid OMB number.

Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u, mandates that the Department ensures that employment and other economic opportunities generated by its housing and community development assistance programs are directed toward low- and very-low income persons, particularly those who are recipients of government assistance housing. The regulations are found at 24 CFR Part 135. The information will be used by the Department to monitor program recipients’ compliance with Section 3, to assess the results of the Department’s efforts to meet the statutory objectives of Section 3, to prepare reports to Congress, and by recipients as self-monitoring tool. The data is entered into a database and will be analyzed and distributed. The collection of information involves recipients receiving Federal financial assistance for housing and community development programs covered by Section 3. The information will be collected annually to assist HUD in meeting its reporting requirements under Section 808(e)(6) of the Fair Housing Act and Section 916 of the HCDA of 1992. An assurance of confidentiality is not applicable to this form. The Privacy Act of 1974 and OMB Circular A-108 are not applicable. The reporting requirements do not contain sensitive questions. Data is cumulative; personal identifying information is not included.

Page 2 of 2 form HUD 60002 (11/2010)

Ref 24 CFR 135

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Form HUD-60002, Section 3 Summary Report, Economic Opportunities for Low- and Very Low-Income Persons.

Instructions: This form is to be used to report annual accomplishments regarding employment and other economic opportunities provided to low- and very low-income persons under Section 3 of the Housing and Urban Development Act of 1968. The Section 3 regulations apply to any public and Indian housing programs that receive: (1) development assistance pursuant to Section 5 of the U.S. Housing Act of 1937; (2) operating assistance pursuant to Section 9 of the U.S. Housing Act of 1937; or (3) modernization grants pursuant to Section 14 of the U.S. Housing Act of 1937 and to recipients of housing and community development assistance in excess of $200,000 expended for: (1) housing rehabilitation (including reduction and abatement of lead-based paint hazards); (2) housing construction; or (3) other public construction projects; and to contracts and subcontracts in excess of $100,000 awarded in connection with the Section-3-covered activity.

Form HUD-60002 has three parts, which are to be completed for all programs covered by Section 3. Part I relates to employment and training. The recipient has the option to determine numerical employment/training goals either on the basis of the number of hours worked by new hires (columns B, D, E and F). Part II of the form relates to contracting, and Part III summarizes recipients’ efforts to comply with Section 3.

Recipients or contractors subject to Section 3 requirements must maintain appropriate documentation to establish that HUD financial assistance for housing and community development programs were directed toward low- and very low-income persons.* A recipient of Section 3 covered assistance shall submit one copy of this report to HUD Headquarters, Office of Fair Housing and Equal Opportunity. Where the program providing assistance requires an annual performance report, this Section 3 report is to be submitted at the same time the program performance report is submitted. Where an annual performance report is not required, this Section 3 report is to be submitted by January 10 and, if the project ends before December 31, within 10 days of project completion. Only Prime Recipients are required to report to HUD. The report must include accomplishments of all recipients and their Section 3 covered contractors and subcontractors.

HUD Field Office: Enter the Field Office name . 1. Recipient: Enter the name and address of the recipient

submitting this report. 2. Federal Identification: Enter the number that appears on the

award form (with dashes). The award may be a grant, cooperative agreement or contract.

3. Dollar Amount of Award: Enter the dollar amount, rounded to the nearest dollar, received by the recipient.

4 & 5. Contact Person/Phone: Enter the name and telephone number of the person with knowledge of the award and the recipient’s implementation of Section 3.

6. Reporting Period: Indicate the time period (months and year) this report covers.

7. Date Report Submitted: Enter the appropriate date.

Submit one (1) copy of this report to the HUD Headquarters Office of Fair Housing and Equal Opportunity, at the same time the performance report is submitted to the program office. The Section 3 report is submitted by January 10. Include only contracts executed during the period specified in item 8. PHAs/IHAs are to report all contracts/subcontracts.

* The terms “low-income persons” and very low-income persons” have the same meanings given the terms in section 3 (b) (2) of the United States Housing Act of 1937. Low-income persons mean families (including single persons) whose incomes do not exceed 80 percent of the median income for the area, as determined by the Secretary, with adjustments for smaller and larger families, except that

8. Program Code: Enter the appropriate program code as listed at the bottom of the page.

9. Program Name: Enter the name of HUD Program corresponding with the “Program Code” in number 8.

Part I: Employment and Training Opportunities Column A: Contains various job categories. Professionals are defined as people who have special knowledge of an occupation (i.e. supervisors, architects, surveyors, planners, and computer programmers). For construction positions, list each trade and provide data in columns B through F for each trade where persons were employed. The category of “Other” includes occupations such as service workers. Column B: (Mandatory Field) Enter the number of new hires for each category of workers identified in Column A in connection with this award. New hire refers to a person who is not on the contractor’s or recipient’s payroll for employment at the time of selection for the Section 3 covered award or at the time of receipt of Section 3 covered assistance. Column C: (Mandatory Field) Enter the number of Section 3 new hires for each category of workers identified in Column A in connection with this award. Section 3 new hire refers to a Section 3 resident who is not on the contractor’s or recipient’s payroll for employment at the time of selection for the Section 3 covered award or at the time of receipt of Section 3 covered assistance. Column D: Enter the percentage of all the staff hours of new hires (Section 3 residents) in connection with this award. Column E: Enter the percentage of the total staff hours worked for Section 3 employees and trainees (including new hires) connected with this award. Include staff hours for part-time and full-time positions. Column F: (Mandatory Field) Enter the number of Section 3 residents that were trained in connection with this award. Part II: Contract Opportunities Block 1: Construction Contracts Item A: Enter the total dollar amount of all contracts awarded on the project/program. Item B: Enter the total dollar amount of contracts connected with this project/program that were awarded to Section 3 businesses. Item C: Enter the percentage of the total dollar amount of contracts connected with this project/program awarded to Section 3 businesses. Item D: Enter the number of Section 3 businesses receiving awards. Block 2: Non-Construction Contracts Item A: Enter the total dollar amount of all contracts awarded on the project/program. Item B: Enter the total dollar amount of contracts connected with this project awarded to Section 3 businesses. Item C: Enter the percentage of the total dollar amount of contracts connected with this project/program awarded to Section 3 businesses. Item D: Enter the number of Section 3 businesses receiving awards. Part III: Summary of Efforts – Self -explanatory

The Secretary may establish income ceilings higher or lower than 80 percent of the median for the area on the basis of the Secretary’s findings such that variations are necessary because of prevailing levels of construction costs or unusually high- or low-income families. Very low-income persons mean low-income families (including single persons) whose incomes do not exceed 50 percent of the median family income area, as determined by the Secretary with adjustments or smaller and larger families, except that the Secretary may establish income ceilings higher or lower than 50 percent of the median for the area on the basis of the Secretary’s findings that such variations are necessary because of unusually high or low family incomes.

Page i form HUD 60002 (11/2010)

Ref 24 C

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XII. DAVIS BACON LABOR STANDARDS

A Contractor’s Guide to Prevailing Wage Requirements

(Insert Contractor’s Guide Here)

Page 317: Community Development Block Grant Disaster Recovery · 2019-11-06 · 1 BOULDER COUNTY COLLABORATIVE _____ Community Development Block Grant Disaster Recovery POLICIES AND PROCEDURES

50

ATTACHMENT I

BCC Organization and Responsibility Chart

Page 318: Community Development Block Grant Disaster Recovery · 2019-11-06 · 1 BOULDER COUNTY COLLABORATIVE _____ Community Development Block Grant Disaster Recovery POLICIES AND PROCEDURES

State of Colorado

Department of

Local Affairs (DOLA)

City of Longmont –

Housing and

Community

Investment Divison

Hagerty Consulting

City of Lafayette City of Longmont City of Louisville Town of LyonsTown of JamestownCity of BoulderBoulder County Town of Nederland

Special and Water

Conservancy

Districts

4/8/2016

Boulder County Collaborative (BCC)

Organizational Structure

Page 319: Community Development Block Grant Disaster Recovery · 2019-11-06 · 1 BOULDER COUNTY COLLABORATIVE _____ Community Development Block Grant Disaster Recovery POLICIES AND PROCEDURES

Kathy Fedler

CDBG-DR Program

Manager

Purchasing

Department

Program Staff

Tracy Defrancesco

Housing – Rehab/

Replacement

Public Works

Department

City of Longmont

Housing and

Community

Investment Dept.

Boulder County Collaborative (BCC)Collaborative Administrative Team

4/8/2016

Leslie Irwin

(County of Boulder)

CDBG-DR

Coordinator

Steve Seefeld

Housing

Construction

Inspections

Fiscal Staff &

Support Staff

Kyndra Daniels

Accountant

Sally Raney

Website and

Administrative

Support

Molly Luettgerodt

Resiliency &

Environmental

Planner, CDBG-DR

Infrastructure

Coordinator

Molly McElroy

Applicant Intake,

Down Payment

Assistance

(Countywide)

Maribel Salomon

Intake, HQS

Spanish

Translations

Hagerty Consulting

Angela Norman

CDBG-DR Specialist

Deborah Siefert

CDBG-DR Program

Manager

Angela Dahlgren

CDBG-DR

Environmental

Specialist

Chris David

CDBG-DR Data

Management

Specialist

Yolanda Abram

Remote QC

Buyout(Countywide excluding

Jamestown and Lyons)

Housing Rehab and

Replacement(Countywide excluding

Longmont)

Home Access

Clearance and

Demo

Temporary Rental

Assistance

(Countywide Programs)