HomeMy WebLinkAboutAgenda Packet - EVWD Board of Directors - 12/12/2018REG ULA R BO A RD MEET IN G
December 12, 2018 - 5:30 PM
31111 Greenspot Road, Highland, C A 92346
AGE N D A
"In order to comply with legal requirements for posting of agenda, only those items filed
with the District Clerk by 12:00 p.m. on Wednesday prior to the following Wednesday
meeting not requiring departmental investigation, will be considered by the Board of
Directors".
C A LL TO O RD ER
PLED G E O F A LLEG IA N C E
RO LL C A LL O F BO A RD MEMBERS
PRESEN TAT IO N S A N D C EREMO N IA L IT EMS
Administer the Oath of Office to Elected Directors
Beattie Middle School Holiday Performance
P U B L I C C OMME N T S
Any person wishing to speak to the Board of Directors is asked to complete a Speaker
Card and submit it to the D istrict C lerk prior to the start of the meeting. Each speaker is
limited to three (3) minutes, unless waived by the Chairman of the Board. Under the State
of C alifornia Brown Act, the Board of Directors is prohibited from discussing or taking
action on any item not listed on the posted agenda. T he matter will automatically be
referred to staff for an appropriate response or action and may appear on the agenda at a
future meeting.
AGE N D A - T his agenda contains a brief general description of each item to be
considered. Except as otherwise provided by law, no action shall be taken on any item not
appearing on the following agenda unless the Board of Directors makes a determination
that an emergency exists or that a need to take immediate action on the item came to the
attention of the District subsequent to the posting of the agenda.
1.Approval of Agenda
2.AP P RO VAL O F C ON SE N T C AL E N D AR
All matters listed under the C onsent C alendar are considered by the Board of
Directors to be routine and will be enacted in one motion. T here will be no
discussion of these items prior to the time the board considers the motion unless
members of the board, the administrative staff, or the public request specific items to
be discussed and/or removed from the Consent Calendar.
a.October 24, 2018 regular board meeting minutes
b.Directors' fees and expenses for November 2018
c.October 2018 Disbursements: Accounts payable disbursements for the period
include check numbers 253075 through 253222, bank drafts, and A C H
Payments in the amount of $1,838,382.26 and $373,267.82 for payroll.
d.Financial Statements for October 2018
D I SC U SSI ON AN D P O SSI B L E AC T I O N I T E MS
3.Approve Board Reorganization
a. Elect official officers for the positions of Board President, Vice President
b. Appointment of General Manager/C EO, C hief Financial Officer and Board
Secretary
c. Set the time, day and place for holding meetings
4.Review and Approve Draft Popular Annual Report for Year Ended J une 30, 2018
5.Adopt Resolution 2018.16 Establishing Labor C ompliance Program for Public
Works Projects
6.C onsider Wastewater Main Rehabilitation Construction C ontract
7.C onsider Program Management Services C ontract for the Sterling Natural
Resources C enter (SN RC)
RE P O RT S
8.Board of Directors' Reports
9.General Manager/C EO Report
10.Legal Counsel Report
11.Board of Directors' Comments
AD J O U RN
P LEAS E NO T E:
Materials related to an item on this agenda s ubmitted to the Board after dis tribution of the agenda packet
are availab le fo r pub lic ins p ectio n in the District's o ffic e lo cated at 31111 G reens p o t R d., Highland , during
normal bus ines s ho urs. Also, s uc h d o cuments are available on the District's website at www.eastvalley.org
subject to staff's ability to pos t the doc uments before the meeting.
P urs uant to G overnment C o d e S ec tio n 54954.2(a), any reques t for a d is ab ility-related modific ation or
ac commodation, inc luding auxiliary aid s o r s ervic es , that is s o ught in order to p artic ip ate in the above-
agendized p ublic meeting s ho uld be d irected to the District C lerk at (909) 885-4900 at leas t 72 ho urs prior
to said meeting.
1
Minutes 10/24/2018 etb
Draft pending approval
EAST VALLEY WATER DISTRICT October 24, 2018
REGULAR BOARD MEETING
MINUTES
The Chairman of the Board called the meeting to order at 5:30 p.m. Mr. Tompkins led
the flag salute.
PRESENT: Directors: Carrillo, Coats, Goodrich, Morales, Smith
ABSENT: None
STAFF: Brian Tompkins, Chief Financial Officer; Jeff Noelte, Director of
Engineering and Operations; Kelly Malloy, Director of Strategic
Services; Eileen Bateman, Senior Administrative Assistant
LEGAL COUNSEL: Marty Cihigoyenetche
GUEST(s): Members of the public
INTRODUCTION OF NEWLY HIRED EMPLOYEE
The General Manager/CEO introduced new employee Kevin Smith, Facilities
Maintenance Worker to the Board.
Information only.
PUBLIC COMMENTS
Chairman Carrillo declared the public participation section of the meeting open at 5:36
p.m.
Mr. Wayne Brown commended the District for a fantastic Sterling Natural Resource
Center Groundbreaking event.
There being no written or verbal comments, the public participation section was closed
at 5:38.
APPROVAL OF AGENDA
M/S/C (Coats-Goodrich) that the October 24, 2018 agenda be approved as
submitted.
2
Minutes 10/24/2018 etb
APPROVE THE OCTOBER 10, 2018 REGULAR BOARD MEETING MINUTES
M/S/C (Smith-Coats) that the Board approve the October 10, 2018 regular board
meeting minutes as submitted.
DISBURSEMENTS
M/S/C (Smith-Coats) that the General Fund Disbursements #252907 through
#253074 which were distributed during the period of September 1, 2018 through
September 30, 2018, bank drafts, and ACH Payments in the amount of $7,848,145.65
and $326,830.73 for payroll and benefit contributions, totaling $8,174,976.38 be
approved.
APPROVE THE FINANCIAL STATEMENTS FOR SEPTEMBER 2018
M/S/C (Smith-Coats) that the Board approve the financial statements for
September 2018 as submitted.
ACCEPT AND FILE THE INVESTMENT REPORT FOR THE QUARTER ENDED SEPTEMBER
30, 2018
M/S/C (Smith-Coats) that the Board accept and file the investment report for
the quarter ended September 30, 2018.
CONSIDER LOCAL RESOURCES INVESTMENT PROGRAM AGREEMENT (LRIP)
The Director of Engineering and Operations gave a brief overview of the San Bernardino
Valley Municipal Water District (Valley District) Local Resources Investment Program
(LRIP). The program provides a financial incentive to agencies in the Valley District
service area that construct projects which provide additional sources of supplemental
water in the region. He stated that the District is the first agency to receive approval
from Valley District for the LRIP.
M/S/C (Morales-Goodrich) that the Board authorize the General Manager/CEO to
execute the Local Resources Investment Program Agreement with Valley District.
BOARD OF DIRECTORS’ REPORTS
Director Coats reported on the following: October 15 he attended Association San
Bernardino County Special Districts Association meeting; on October 16 he attended San
Bernardino Valley Municipal Water District Board meeting; October 20 he attended the
Sterling Natural Resource Groundbreaking event.
3
Minutes 10/24/2018 etb
Director Goodrich reported on the following: October 15 he attended Association San
Bernardino County Special Districts Association meeting; October 20 he attended the
Sterling Natural Resource Groundbreaking event.
Director Morales reported that October 11 he attended the District’s Facilities Tour;
October 12 he attended a meeting with the General Manager/CEO regarding the
District’s operational update; October 20 he attended the Sterling Natural Resource
Groundbreaking event; October 23 he attended the San Bernardino Valley Water Board
meeting where they discussed the CPI meter charge increase, which was not passed at
this time.
Vice Chairman Smith reported on the following: October 18 he met with the General
Manager/CEO regarding the Agenda review; October 20 he attended the Sterling Natural
Resource Groundbreaking event; October 23 he attended the Highland Chamber Lunch
Chairman Carrillo reported on the following: October 18 he met with the General
Manager/CEO regarding the agenda review; October 20 he attended the Sterling Natural
Resource Groundbreaking event.
Information only.
GENERAL MANAGER/CEO REPORT
The General Manager/CEO reported that he attended the San Bernardino Unified School
District’s Career Pathway event where several dignitaries were in attendance to discuss
an educational program that will prepare students entering the workforce. He stated
that the District hosted the Sterling Natural Resource Center groundbreaking event on
Saturday; the event was a huge success and he thanked staff for the success of the
event.
The General Manager/CEO informed the Board of upcoming meetings and events:
October 25 – Employee Events Association will be hosting the Jacket Drive and
Chili Cook-off for Hunt Elementary School students
October 31 at 1:30 p.m. - Finance and Human Resources Committee will be
meeting
November 2, at 1:00pm. - The Legislative and Public Outreach Committee will
be meeting
November 6 - Election day
November 12 - The District will be closed in observance of Veteran’s Day.
Information only.
LEGAL COUNSEL REPORT
No report at this time.
4
Minutes 10/24/2018 etb
BOARD OF DIRECTORS’ COMMENTS
Director Coats made the following statement: “It’s everyone’s part to conserve water,
make sure you are doing your part to save this most precious resource.”
Director Morales thanked staff for providing an excellent video regarding the Sterling
Natural Resource project.
Vice Chairman Smith commended the District for a wonderful event at the Sterling
Natural Resource groundbreaking ceremony.
Chairman Carrillo offered his appreciation to the General Manager/CEO and staff on a
successful groundbreaking ceremony and looks forward to the positive energy that the
Sterling Natural Resource will continue to bring to the community.
Information only.
ADJOURN
The meeting adjourned at 6:03 p.m.
___________________________
Chris Carrillo, Board President
__________________________
John Mura, Secretary
R ecommended b y:
Jo hn Mura
G eneral Manager/C EO
R espec tfully sub mitted:
Jus tine Hendric ksen
District C lerk
B O AR D AGE N D A S TAF F R E P ORT
Agenda Item #2.b .
Meeting Date: Dec emb er 12, 2018
C ons ent Item
To: G o verning Board Memb ers
F rom: G eneral Manager/C EO
Subject: Direc tors ' fees and exp enses fo r No vember 2018
R E C O MME N D AT IO N:
Approve the G o verning Board Memb ers ’ fees and exp ens es for Novemb er 2018.
B AC KGR O UN D / AN ALYS IS :
T he Board has ins truc ted s taff to lis t all d irecto r fees and expenses as a s ep arate agenda item to s how full fis c al
trans p arency. O nly after Board review and approval will the c o mp ens ation and expens es be paid.
AG E N C Y G O ALS AN D OB J E C T IVE S :
G o al and O bjec tives I I - Maintain a C ommitment to S us tainab ility, Transparenc y, and Ac c o untability
a) P rac tice Trans parent and Ac countab le F is cal Management
R E VIE W B Y O T HE R S :
T his agenda items has been reviewed by the Ad minis tratio n d ep artment.
F IS C AL IMPAC T
T he fis c al impac t as soc iated with this agenda item is $7,438.54 whic h is includ ed in the c urrent fis c al b udget.
ATTACH M E N TS:
Description Type
Directors' Expense Reports No vember 201 8 Backup Material
B O AR D AGE N D A S TAF F R E P ORT
Agend a Item #2.c .
Meeting Date: Dec emb er 12, 2018
C ons ent Item
To: G o verning Board Memb ers
F rom: G eneral Manager/C EO
Subject: O cto b er 2018 Dis bursements : Acc o unts p ayab le dis bursements fo r the period includ e c heck
numbers 253075 through 253222, b ank drafts, and AC H P ayments in the amo unt of $1,838,382.26
and $373,267.82 fo r p ayroll.
R E C O MME N D AT IO N:
S taff recommends that the Board of Direc tors (Bo ard ) review and appro ve the District’s expens e
disburs ements fo r the period O cto b er 1, 2018 thro ugh O cto b er 31, 2018 in the amount of $2,211,650.08.
B AC KGR O UN D / AN ALYS IS :
In the continued effo rt to b e fis cally trans p arent, the p ayment register fo r s upplies , materials , services , and
p ayroll for O c tober 2018 is attached fo r review and ap p ro val. T his process p ro vid es the Bo ard and the pub lic
an opportunity to review the exp ens es o f the District. Acc o unts P ayable is p ro ces s ed weekly, while p ayroll is
p ro ces s ed bi-weekly. Info rmation to justify eac h expenditure is available thro ugh the F inanc e Department.
Acc o unts payab le d is b urs ements for the p erio d inc lude c hec k numbers 253075 thro ugh 253222, bank drafts ,
and AC H P ayments in the amount of $1,838,382.26 and $373,267.82 for payroll. S ignific ant expenses greater
than o r equal to $50,000 are further exp lained below:
AG E N C Y G O ALS AN D OB J E C T IVE S :
G o al and O bjec tives I I - Maintain a C ommitment to S us tainab ility, Transparenc y, and Ac c o untability
a) P rac tice Trans parent and Ac countab le F is cal Management
R ecommended b y:
Jo hn Mura
G eneral Manager/C EO
R espec tfully sub mitted:
Brian Tomp kins
C hief F inancial O ffic er
R E VIE W B Y O T HE R S :
T his agenda item has been reviewed by the F inanc e Dep artment.
F IS C AL IMPAC T
S ufficient funds have b een b udgeted in the adopted F Y 2018-19 Bud get.
ATTACH M E N TS:
Description Type
Octo ber 2018 P ayme nt Register Backup Material
PAYMENT REGISTER
OCTOBER 1, 2018 - OCTOBER 31, 2018
PAYMENT DATE NUMBER VENDOR NAME AMOUNT
10/3/2018 253075 HOMEOWNERS EQUITY CORPORATION 137.25
10/3/2018 253076 ALFREDO GARCIA ESPINDOLA 71.76
10/3/2018 253077 WATER STREET LAND LLC 140.22
10/3/2018 253078 Cecilia Gonzalez 600.00
10/3/2018 253079 AMAZON.COM, LLC 2,400.75
10/3/2018 253080 APPLEONE EMPLOYMENT SERVICE 980.80
10/3/2018 253081 ASBCSD 70.00
10/3/2018 253082 AUTO UPHOLSTERY INC. 458.25
10/3/2018 253083 AUTO ZONE 37.70
10/3/2018 253084 CHEM-TECH INTERNATIONAL INC 25,808.14
10/3/2018 253085 COLONIAL LIFE, PREMIUM 726.78
10/3/2018 253086 DENTAL HEALTH SERVICES 393.50
10/3/2018 253087 DIB'S SAFE & LOCK SERVICE 371.70
10/3/2018 253088 DIRECTV 250.97
10/3/2018 253089 EXPERIAN 209.20
10/3/2018 253090 EYE MED VISION CARE 1,284.96
10/3/2018 253091 GARY YOUNG 480.29
10/3/2018 253092 JON'S FLAGS & POLES, INC 415.38
10/3/2018 253093 MICHAEL REARDON 526.69
10/3/2018 253094 ORION SYSTEMS INTEGRATORS, LLC 6,000.00
10/3/2018 253095 PHOENIX LIFE INSURANCE COMPANY 66.74
10/3/2018 253096 SO CAL GAS 59.06
10/3/2018 253097 UNITED PARCEL SERVICE, INC. 15.60
10/3/2018 253098 UTILITY SERVICES ASSOCIATES, LLC 6,971.00
10/3/2018 253099 WATER SYSTEMS OPTIMIZATION INC. 2,500.00
10/10/2018 253100 CAROLYN GALVEZ 52.80
10/10/2018 253101 JACOB BRESZOFSKI 116.53
10/10/2018 253102 ELITE PREMIER INVESTMENTS 111.80
10/10/2018 253103 LOS ANGELES ENGINEERING 1,511.68
10/10/2018 253104 CALIFORNIA PROFESSIONAL ENG INC 1,727.89
10/10/2018 253105 DEACON CONSTRUCTION, LLC 641.49
10/10/2018 253106 NVA, LLC 69.07
10/10/2018 253107 NVA, LLC 3,191.89
10/10/2018 253108 NVA, LLC 2,263.03
10/10/2018 253109 JOSE BELTRAN 92.22
10/10/2018 253110 PACIFIC WEST COMPANY 149.44
10/10/2018 253111 ALYSSA RAMIREZ 34.78
10/10/2018 253112 ADP SCREENING 160.01
10/10/2018 253113 BURRTEC WASTE (GROUP) INDUSTRIES, INC. 346.85
10/10/2018 253114 CITY OF SAN BERNARDINO, PUBLIC WORKS DEPT 4,422.56
10/10/2018 253115 COAST FITNESS REPAIR SHOP 250.00
10/10/2018 253116 CONSOLIDATED ELECTRICAL DIST 160.27
10/10/2018 253117 COUNTY OF SAN BERNARDINO/TAX COLLECTOR 555.26
10/10/2018 253118 CSR AIR CONDITIONING & HEATING 1,400.00
PAYMENT REGISTER
OCTOBER 1, 2018 - OCTOBER 31, 2018 Page 1 of 6
PAYMENT DATE NUMBER VENDOR NAME AMOUNT
10/10/2018 253119 CULLIGAN OF ONTARIO 97.00
10/10/2018 253120 INLAND WATER WORKS SUPPLY CO 1,614.83
10/10/2018 253121 K & L HARDWARE 377.81
10/10/2018 253122 SOUTHERN CALIF OCCUPATIONAL HEALTH SERVICES 320.00
10/10/2018 253123 STAPLES BUSINESS ADVANTAGE 326.50
10/10/2018 253124 UNITED PARCEL SERVICE, INC. 14.66
10/10/2018 253125 VALERO MARKETING & SUPPLY COMP 9,385.95
10/10/2018 253126 L2 GROUP LLC 747.67
10/11/2018 253127 ROAMING HUNGER INC 5,266.28
10/18/2018 253128 PARTY PLUS RENTALS 23,395.32
10/18/2018 253129 LANDMARK CAPITAL INVESTMENTS INC 21.49
10/18/2018 253130 LANDMARK CAPITAL INVESTMENTS 91.21
10/18/2018 253131 LANDMARK CAPITAL INVESTMENTS INC 141.70
10/18/2018 253132 LANDMARK CAPITAL INVESTMENTS 32.43
10/18/2018 253133 LANDMARK CAPITAL INVESTMENTS I 36.82
10/18/2018 253134 KARLA CASCANTE 137.25
10/18/2018 253135 OSCAR I GUTIREZ 6.32
10/18/2018 253136 WALTER HERNANDEZ 25.78
10/18/2018 253137 MANUEL DIAZ & YOLONDA DUARTE 36.32
10/18/2018 253138 PAMELA SMITH 64.62
10/18/2018 253139 ALTERNATIVE HOSE INC 384.50
10/18/2018 253140 ANTHESIS (FORMERLY POMONA VALLEY WORKSHOP) 3,645.00
10/18/2018 253141 APPLEONE EMPLOYMENT SERVICE 1,176.96
10/18/2018 253142 BURGESS MOVING & STORAGE 1,500.30
10/18/2018 253143 BURRTEC WASTE (GROUP) INDUSTRIES, INC. 5.01
10/18/2018 253144 BURRTEC WASTE (GROUP) INDUSTRIES, INC. 5.01
10/18/2018 253145 CHEM-TECH INTERNATIONAL INC 3,731.88
10/18/2018 253146 COMMERCIAL DOOR METAL SYSTEMS 6,408.00
10/18/2018 253147 COUNTY OF SAN BERNARDINO, DEPT OF PUBLIC WORKS 634.00
10/18/2018 253148 CSR AIR CONDITIONING & HEATING 380.76
10/18/2018 253149 D&H WATER SYSTEMS 862.00
10/18/2018 253150 DIB'S SAFE & LOCK SERVICE 5,654.63
10/18/2018 253151 DTSC 457.50
10/18/2018 253152 ELROD FENCE COMPANY 1,230.00
10/18/2018 253153 FEDERAL LICENSING, INC- NSI-ALPHA CORPORATION 119.00
10/18/2018 253154 HIGHLAND COMMUNITY NEWS 1,900.00
10/18/2018 253155 HONEYWELL BUILDING SOLUTIONS 17,068.40
10/18/2018 253156 INLAND WATER WORKS SUPPLY CO 2,431.47
10/18/2018 253157 K & L HARDWARE 208.31
10/18/2018 253158 KELLY ASSOCIATES MANAGEMENT GROUP LLC 6,382.50
10/18/2018 253159 KONICA MINOLTA 844.50
10/18/2018 253160 LOWE'S 477.42
10/18/2018 253161 SAN BERNARDINO MUNICIPAL WATER DEPARTMENT 715,528.72
10/18/2018 253162 SAN BERNARDINO MUNICIPAL WATER DEPARTMENT 16,283.52
10/18/2018 253163 SOUTHERN CALIFORNIA EDISON COMPANY 165,897.85
10/18/2018 253164 STAPLES BUSINESS ADVANTAGE 116.86
10/18/2018 253165 U.S. BANCORP SERVICE CENTER 20,664.19
10/18/2018 253170 UNITED OF OMAHA LIFE INSURANCE COMPANY 6,040.01
10/18/2018 253171 VERIZON 1,610.89
10/18/2018 253172 William Ahlborn 150.00
10/24/2018 253173 JOHN T JASON JR 381.36
10/24/2018 253174 STRUCTURED CAPITAL INC. 109.43
10/24/2018 253175 THOMAS CARRETTA 198.04
PAYMENT REGISTER
OCTOBER 1, 2018 - OCTOBER 31, 2018 Page 2 of 6
PAYMENT DATE NUMBER VENDOR NAME AMOUNT
10/25/2018 253176 AT&T 49.68
10/25/2018 253177 CITY OF HIGHLAND 5,940.00
10/25/2018 253178 CITY OF SAN BERNARDINO, PUBLIC WORKS DEPT 2,243.92
10/25/2018 253179 ECOTECH SERVICES, INC 59,985.10
10/25/2018 253180 FAIRVIEW FORD SALES,INC 21.60
10/25/2018 253181 FEDERAL EXPRESS CORPORATION 44.79
10/25/2018 253182 FULL TRAFFIC MAINTENANCE, INC 1,324.84
10/25/2018 253183 HIGHLAND EQUIPMENT RENTAL 320.40
10/25/2018 253184 INLAND WATER WORKS SUPPLY CO 271.53
10/25/2018 253185 K & L HARDWARE 16.13
10/25/2018 253186 METROPOLITAN LIFE INS CO 138.96
10/25/2018 253187 ROSEMOUNT , INC 8,565.03
10/25/2018 253188 SAN BERNARDINO COUNTY FIRE PROTECTION DISTRICT 874.00
10/25/2018 253189 STAPLES BUSINESS ADVANTAGE 714.57
10/25/2018 253190 SUMMIT EVENT PRODUCTIONS INC. 1,796.20
10/25/2018 253191 SWRCB 1,324.00
10/25/2018 253192 TYLER TECHNOLGIES 440.00
10/25/2018 253193 THE PENNY PRESS MACHINE CO. LLC 5,955.00
10/25/2018 253194 Vanessa Hernardez 2,166.75
10/30/2018 253221 COMMUNITY CIRCUS ARTS CORPORATION 850.00
10/30/2018 253222 Amber Raines 600.00
10/31/2018 253195 PETRA G GUZMAN 9.09
10/31/2018 253196 ANTHONY JACKSON 129.12
10/31/2018 253197 JESUS COVARRUBIAS 238.43
10/31/2018 253198 WATER STREET LAND LLC 56.31
10/31/2018 253199 WATER STREET LAND LLC 116.36
10/31/2018 253200 WATER STREET LAND LLC 117.78
10/31/2018 253201 WATER STREET LAND LLC 115.32
10/31/2018 253202 WATER STREET LAND LLC 25.03
10/31/2018 253203 CINDY OVALLE 150.00
10/31/2018 253204 ERIC YOSHIMITSU 150.00
10/31/2018 253205 GERALD SIEVERS 150.00
10/31/2018 253206 GLORIA DAVALOS 284.97
10/31/2018 253207 GLORIA DAVALOS 189.98
10/31/2018 253208 GLORIA DAVALOS 379.96
10/31/2018 253209 KATHLEEN ASHTON 200.00
10/31/2018 253210 MARIA VARGAS 200.00
10/31/2018 253211 MOISES MARISCAL 150.00
10/31/2018 253212 SALLY MARKS 30.00
10/31/2018 253213 TIM GIFFORD 130.00
10/31/2018 253214 UNIFIRST CORPORATION 3,840.36
BANK DRAFTS
10/2/2018 DFT0002949 CALPERS/ DEFERRED COMPENSATION 16,276.34
10/2/2018 DFT0002950 CALPERS/ RETIREMENT 40,376.20
10/2/2018 DFT0002954 STATE DISBURSEMENT UNIT 2,442.47
10/2/2018 DFT0002956 CALPERS/ MEDICAL 90,604.30
10/3/2018 DFT0002957 MERCHANT BANKCD 278.63
10/3/2018 DFT0002958 PayNearMe, Inc. 165.17
10/5/2018 DFT0002948 CA SDI Tax 2,137.27
10/5/2018 DFT0002951 Federal Payroll Tax 30,590.72
10/5/2018 DFT0002952 Medicare 8,136.29
10/5/2018 DFT0002953 Social Security 126.74
PAYMENT REGISTER
OCTOBER 1, 2018 - OCTOBER 31, 2018 Page 3 of 6
PAYMENT DATE NUMBER VENDOR NAME AMOUNT
10/5/2018 DFT0002955 State Payroll Tax 11,913.35
10/10/2018 DFT0002959 FORTE, ACH DIRECT INC, ACH FEES 6,518.64
10/10/2018 DFT0002960 PayNearMe, Inc. 240.79
10/10/2018 DFT0002961 TRANSFIRST DISCOUNT 14,016.64
10/15/2018 DFT0002972 TRANSFIRST DISCOUNT 15.00
10/16/2018 DFT0002973 VERIFONE INC 22.00
10/17/2018 DFT0002964 CALPERS/ DEFERRED COMPENSATION 16,155.91
10/17/2018 DFT0002965 CALPERS/ RETIREMENT 39,090.79
10/17/2018 DFT0002969 STATE DISBURSEMENT UNIT 2,442.47
10/17/2018 DFT0002971 PayNearMe, Inc. 316.41
10/19/2018 DFT0002963 CA SDI Tax 1,953.44
10/19/2018 DFT0002966 Federal Payroll Tax 25,236.03
10/19/2018 DFT0002967 Medicare 7,304.95
10/19/2018 DFT0002968 Social Security 1,093.34
10/19/2018 DFT0002970 State Payroll Tax 9,808.51
10/22/2018 DFT0002974 Federal Payroll Tax 2,482.45
10/22/2018 DFT0002975 Medicare 439.91
10/22/2018 DFT0002976 State Payroll Tax 943.92
10/22/2018 DFT0002977 CBB 2,461.54
10/23/2018 DFT0002979 VERIFONE INC 44.00
10/24/2018 DFT0002978 PayNearMe, Inc. 222.88
10/31/2018 DFT0002990 PayNearMe, Inc. 244.77
ACH PAYMENTS
10/3/2018 10004837 ASHOK K. DHINGRA, AKD CONSULTING 18,870.62
10/3/2018 10004838 BARRY'S SECURITY SERVICES, INC 1,914.13
10/3/2018 10004839 BEN JOSEPH ZERPA 299.99
10/3/2018 10004840 BLAIS & ASSOCIATES INC 1,837.16
10/3/2018 10004841 BRITHINEE ELECTRIC 4,147.63
10/3/2018 10004842 CLA-VAL CO 11,389.81
10/3/2018 10004843 CLEARFLY COMMUNATIONS 1,350.49
10/3/2018 10004844 DAN DIETZ 444.15
10/3/2018 10004845 DANIEL DAVIS 507.17
10/3/2018 10004846 DAVID HERNANDEZ 422.05
10/3/2018 10004847 EVWD EMPLOYEES EVENTS ASSOC 316.50
10/3/2018 10004848 EXCEL LANDSCAPE, ICN 12,200.00
10/3/2018 10004849 FLEETWASH, INC 262.85
10/3/2018 10004850 FSA Only/East Valley Water District 1,408.54
10/3/2018 10004851 GARY STURDIVAN 612.35
10/3/2018 10004852 GERALD SIEVERS 612.35
10/3/2018 10004853 GORDON GRANT 529.37
10/3/2018 10004854 HIGHLAND AREA CHAMBER 285.00
10/3/2018 10004855 JONATHAN FLORES 85.00
10/3/2018 10004856 JOSE MILLAN 2,720.00
10/3/2018 10004857 LANDS END INC 569.49
10/3/2018 10004858 LEGEND PUMP AND WELL 1,392.85
10/3/2018 10004859 LINCOLN NATIONAL LIFE INS CO. 2,115.83
10/3/2018 10004860 MANAGED HEALTH NETWORK 238.56
10/3/2018 10004861 MICHAEL HENDERSON 597.23
10/3/2018 10004862 MIKE MALONEY 647.10
10/3/2018 10004863 MINUTEMAN PRESS OF RANCHO CUCAMONGA 7,718.10
10/3/2018 10004864 OFFICIAL PAYMENTS CORP. 35.90
10/3/2018 10004865 PLUS 1 PERFORMANCE 819.52
PAYMENT REGISTER
OCTOBER 1, 2018 - OCTOBER 31, 2018 Page 4 of 6
PAYMENT DATE NUMBER VENDOR NAME AMOUNT
10/3/2018 10004866 POWERSTRIDE BATTERY CO. 104.86
10/3/2018 10004867 REBECCA KASTEN 700.00
10/3/2018 10004868 SAFETY COMPLIANCE COMPANY 400.00
10/3/2018 10004869 SOURCE GRAPHICS 79.48
10/3/2018 10004870 SUEZ WTS ANALYTICAL INSTRUMENTS, INC 4,980.00
10/3/2018 10004871 THOMAS P ORTON 465.35
10/3/2018 10004872 TROY ALARM, INC. 192.00
10/3/2018 10004873 UNDERGROUND SERVICE ALERT 217.90
10/10/2018 10004874 ADP, LLC 196.80
10/10/2018 10004875 AIRGAS, USA LLC 306.63
10/10/2018 10004876 APPLIED MAINTENANCE SUPPLIES & SOLUTIONS LLC 94.10
10/10/2018 10004877 BARRY'S SECURITY SERVICES, INC 1,611.43
10/10/2018 10004878 CALIFORNIA TOOL & WELDING SUPPLY 410.17
10/10/2018 10004879 CINTAS CORPORATION (FIRST AID) 273.75
10/10/2018 10004880 COUNTY OF SAN BERNARDINO, RECORDER- CLERK 1,032.00
10/10/2018 10004881 EXCEL LANDSCAPE, ICN 557.74
10/10/2018 10004882 FILARSKY & WATT LLP 1,627.50
10/10/2018 10004883 INLAND DESERT SECURITY & COMMUNICATIONS, INC 558.00
10/10/2018 10004884 JC LAW FIRM 8,525.00
10/10/2018 10004885 MCMASTER-CARR 337.17
10/10/2018 10004886 MIKE J. ROQUET CONSTRUCTION INC 16,219.82
10/10/2018 10004887 MILLER SPATIAL SERVICES, LLC 8,290.00
10/10/2018 10004888 NEOFUNDS BY NEOPOST 500.00
10/10/2018 10004889 PATTON'S SALES CORP 82.30
10/10/2018 10004890 QUINN COMPANY 2,250.00
10/10/2018 10004892 SCN, SECURITY COMMUNICATION NETWORK, INC 105.00
10/10/2018 10004893 VERIZON WIRELESS 4,121.64
10/10/2018 10004895 VISTA PAINTS 540.01
10/10/2018 10004896 VULCAN MATERIALS CO/ CALMAT CO 651.62
10/18/2018 10004897 ADCOMP SYSTEMS 638.58
10/18/2018 10004898 ADS LLC 1,600.00
10/18/2018 10004899 AIRGAS, USA LLC 192.45
10/18/2018 10004900 ALLIED REFRIGERATION INC. 851.94
10/18/2018 10004901 ANTHONY'S IRRIGATION 10,500.00
10/18/2018 10004902 APPLIED MAINTENANCE SUPPLIES & SOLUTIONS LLC 91.98
10/18/2018 10004903 BARRY'S SECURITY SERVICES, INC 1,911.59
10/18/2018 10004904 BEN JOSEPH ZERPA 199.99
10/18/2018 10004905 BLAIS & ASSOCIATES INC 991.72
10/18/2018 10004906 BOOT BARN, INC 156.54
10/18/2018 10004907 BRADEN HEYWOOD DBA GENESIS INDUSTRIAL SUPPLY 202.64
10/18/2018 10004908 BRITHINEE ELECTRIC 7,945.04
10/18/2018 10004909 CALIFORNIA SPECIAL DISTRICTS 7,252.00
10/18/2018 10004910 CLA-VAL CO 5,332.01
10/18/2018 10004911 CLIFF'S PEST CONTROL 323.00
10/18/2018 10004912 CLINICAL LAB OF S B 5,406.00
10/18/2018 10004913 CORELOGIC SOLUTIONS INC. 350.00
10/18/2018 10004914 EVWD EMPLOYEES EVENTS ASSOC 346.50
10/18/2018 10004915 EXCEL LANDSCAPE, ICN 225.16
10/18/2018 10004916 FERGUSON ENTERPRISES, INC. 3,928.17
10/18/2018 10004917 FLEETWASH, INC 439.81
10/18/2018 10004918 FRONTIER COMMUNICATIONS 759.64
10/18/2018 10004919 FSA Only/East Valley Water District 1,408.54
10/18/2018 10004920 ICMA RETIREMENT CORPORATION 250.00
PAYMENT REGISTER
OCTOBER 1, 2018 - OCTOBER 31, 2018 Page 5 of 6
PAYMENT DATE NUMBER VENDOR NAME AMOUNT
10/18/2018 10004921 INDUSTRIAL RUBBER & SUPPLY 375.60
10/18/2018 10004922 JC LAW FIRM 20,260.00
10/18/2018 10004923 JOSE MILLAN 240.00
10/18/2018 10004924 LESLIE'S POOL SUPPLIES, INC. 93.96
10/18/2018 10004925 MANAGED MOBILE, INC. 2,772.03
10/18/2018 10004926 MCMASTER-CARR 144.28
10/18/2018 10004927 MIKE J. ROQUET CONSTRUCTION INC 8,134.75
10/18/2018 10004928 MILLER SPATIAL SERVICES, LLC 9,930.00
10/18/2018 10004929 MINUTEMAN PRESS OF RANCHO CUCAMONGA 1,968.88
10/18/2018 10004930 NATIONAL CONSTRUCTION RENTALS 320.12
10/18/2018 10004931 NEOPOST USA INC 407.62
10/18/2018 10004932 PLUS 1 PERFORMANCE 489.66
10/18/2018 10004933 POWERSTRIDE BATTERY CO. 331.54
10/18/2018 10004934 REDLINE MOBILE FLEET SERVICE & REPAIR 1,775.17
10/18/2018 10004935 RYAN HERCO FLOW SOLUTIONS 833.06
10/18/2018 10004936 SHRED-IT US JV LLC 90.54
10/18/2018 10004937 SOURCE GRAPHICS 1,650.00
10/18/2018 10004938 THE QUINTANA CRUZ COMPANY, LLC 4,000.00
10/18/2018 10004939 TROY ALARM, INC. 264.00
10/18/2018 10004940 VULCAN MATERIALS CO/ CALMAT CO 647.13
10/25/2018 10004941 ACWA, ASSOC OF CALIF WATER AGENCIES 24,515.00
10/25/2018 10004942 ADVANTAGE FLEET WASH, INC 400.00
10/25/2018 10004943 APPLIED MAINTENANCE SUPPLIES & SOLUTIONS LLC 421.06
10/25/2018 10004944 BARRY'S SECURITY SERVICES, INC 76.31
10/25/2018 10004945 FERGUSON ENTERPRISES, INC. 3,468.34
10/25/2018 10004946 FMB TRUCK OUTFITTERS, INC 988.89
10/25/2018 10004947 FRONTIER COMMUNICATIONS 405.19
10/25/2018 10004948 JEREMY SUBRIAR 130.00
10/25/2018 10004949 LAND ENGINEERING CONSULTANTS 17,400.00
10/25/2018 10004950 MATT ARMITAGE 77.43
10/25/2018 10004951 MCMASTER-CARR 774.51
10/25/2018 10004952 MIKE J. ROQUET CONSTRUCTION INC 7,803.80
10/25/2018 10004953 MINUTEMAN PRESS OF RANCHO CUCAMONGA 4,477.00
10/25/2018 10004954 PR DIAMOND PRODUCTS, INC 382.00
10/25/2018 10004955 PROFESSIONAL QUALITY SCALE MODELS, INC 5,284.13
10/25/2018 10004956 ROAMING HUNGER INC 5,266.28
10/25/2018 10004957 SUPERIOR AUTOMOTIVE WAREHOUSE, INC. 48.43
10/25/2018 10004958 TESCO CONTROLS, INC. 1,153.95
10/25/2018 10004959 VULCAN MATERIALS CO/ CALMAT CO 2,228.92
TOTAL 1,838,382.26$
PAYMENT REGISTER
OCTOBER 1, 2018 - OCTOBER 31, 2018 Page 6 of 6
R ecommended b y:
Jo hn Mura
G eneral Manager/C EO
R espec tfully sub mitted:
Brian Tomp kins
C hief F inancial O ffic er
B O AR D AGE N D A S TAF F R E P ORT
Agenda Item #2.d .
Meeting Date: Dec emb er 12, 2018
C ons ent Item
To: G o verning Board Memb ers
F rom: G eneral Manager/C EO
Subject: F inanc ial S tatements fo r O cto b er 2018
R E C O MME N D AT IO N:
S taff rec o mmends that the Board of Directo rs (Bo ard ) ac cept and file the attac hed financial s tatements as of,
and for the p erio d ended, O cto ber 31, 2018.
B AC KGR O UN D / AN ALYS IS :
Includ ed herewith fo r the Board’s review is a s ummary o f Eas t Valley Water District’s financ ial results , as of
O c tober 31, 2018.
AG E N C Y G O ALS AN D OB J E C T IVE S :
G o al and O bjec tives I I - Maintain a C ommitment to S us tainab ility, Transparenc y, and Ac c o untability
a) P rac tice Trans parent and Ac countab le F is cal Management
R E VIE W B Y O T HE R S :
T his agenda item has been reviewed by the F inanc e Dep artment.
F IS C AL IMPAC T
T here is no fis cal impac t as s o c iated with this agend a item.
ATTACH M E N TS:
Description Type
Octo ber 2018 Financial Statement Monthly Re view Backup Material
Octo ber 2018 Financial Statements Backup Material
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 1
The following is a highlight summary of the District’s financial results as of October 31,
2018. Please note all values presented are in millions.
Statement of Net Position
Total assets at October 31, 2018 are $190.46 million.
CLASSIFICATION WATER WASTEWATER DISTRICT TOTAL
Cash and Investments $ 20.72 $ 2.82 $ 23.54
Utility Plant, Net 109.67 18.92 128.59
Other Assets 23.41 14.92 38.33
Current Liabilities 5.47 0.29 5.76
Long Term Liabilities 53.55 8.47 62.02
Beginning Net Position 90.26 27.54 117.80
Change in Equity 4.53 0.35 4.88
Total Net Position $ 94.79 $ 27.89 $ 122.68
Cash and Investments are $23.54 million for the month of October, a decrease of $2.72
million from the prior month. The majority of the decrease is attributed to the 2010 and
2013 scheduled bond payments. The Cash and Investments balance has increased $1.74
million over the past 12 consecutive months from $21.80 to $23.54 million.
$0
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$15
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CASH & INVESTMENTS
Restricted Unrestricted
Comparing current assets to current liabilities, the District has a current ratio at October
31, 2018 of 3.65 to 1, with 2 to 1 being an indication of sound financial condition.
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 2
Statement of Revenues & Expenses
Operating results are presented in three ways in the attached financial statements for the
period ending October 31, 2018. First is a one-page summary with monthly and year-to-
date totals for revenue and expenses, presented by Expense Category. Second is a one-
page summary with monthly and year-to-date totals for revenues and Expense by Program.
Third is a Budget-to-Actual presentation of program expense detail.
Total Revenues & Expenses through October 31, 2018 are summarized below (in millions):
WATER WASTEWATER DISTRICT TOTAL
Revenue $ 10.97 $ 4.65 $ 15.62
Expense 6.45 4.29 10.74
Water Sales for the month ending October 31, 2018 were $1.57 million; $142K over staff
projections for the month and $586K over the projections year-to-date.
$-
$0.5
$1.0
$1.5
$2.0
$2.5
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Water Sales by Tier
Tier 1 Tier 2 Tier 3 FY 2017-18 Projection
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 3
Water Sales by Customer Class
The table below shows the District’s water sales for the month of October 2018 by customer
class. All customer classes came in below projections; Residential and Irrigation Customers
were the largest portion of total change for the month.
CUSTOMER CLASS ACTUAL PROJECTION $ CHANGE % CHANGE
Residential 864,241$ 1,056,000$ (191,759)$ -18%
Multi-Family 322,377 328,000 (5,623) -2%
Commercial 120,573 129,000 (8,427) -7%
Irrigation 267,031 308,000 (40,969) -13%
Total $ 1,574,222 $ 1,821,000 $ (246,778)-14%
The following table displays customer class by tier for the month of October 2018. Multi-
Family Tier 3 and Residential Tier 3 experienced the largest increase and Residential Tier
2 and Irrigation Tier 2 experienced the largest decrease during the month.
CUSTOMER CLASS TIER ACTUAL PROJECTION $ CHANGE % CHANGE
Residential Tier 1 308,867$ 354,000$ (45,133)$ -13%
Residential Tier 2 366,439 554,000 (187,561) -34%
Residential Tier 3 188,935 148,000 40,935 28%
Multi-Family Tier 1 132,390 152,000 (19,610) -13%
Multi-Family Tier 2 104,370 128,000 (23,630) -18%
Multi-Family Tier 3 85,617 48,000 37,617 78%
Commercial Tier 1 77,044 90,000 (12,956) -14%
Commercial Tier 2 8,632 11,000 (2,368) -22%
Commercial Tier 3 34,897 28,000 6,897 25%
Irrigation Tier 2 117,047 179,000 (61,953) -35%
Irrigation Tier 3 149,984 129,000 20,984 16%
Total $ 1,574,222 $ 1,821,000 $(246,778)-14%
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 4
The chart below is a comparative illustration of current Water Revenue compared to last
year’s Water Revenue. As noted in the graph, Water Sales and Meter Charges experienced
an increase in Revenue over last year. Water consumption increased 38.43 million gallons
of water (51K HCF) more than in October of 2017.
$-
$0.5
$1.0
$1.5
$2.0
$2.5
10/31/2017 10/31/2018
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Comparative Monthly Water Revenue
(Water Sales & Meter Charges)
Meter Tier 1 Tier 2 Tier 3
Total -$2,382,195 Total -$2,517,549
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 5
Water Fund Activities by Cost Center
The graph below provides a year-to-date comparison of the Water Fund operating cost
centers for FY 2017-18 and FY 2018-19.
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 6
Wastewater Fund Activities by Cost Center
The graph below provides a year-to-date comparison of the Wastewater Fund operating
cost centers for FY 2017-18 and FY 2018-19.
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 1
The following is a highlight summary of the District’s financial results as of October 31,
2018. Please note all values presented are in millions.
Statement of Net Position
Total assets at October 31, 2018 are $190.46 million.
CLASSIFICATION WATER WASTEWATER DISTRICT TOTAL
Cash and Investments $ 20.72 $ 2.82 $ 23.54
Utility Plant, Net 109.67 18.92 128.59
Other Assets 23.41 14.92 38.33
Current Liabilities 5.47 0.29 5.76
Long Term Liabilities 53.55 8.47 62.02
Beginning Net Position 90.26 27.54 117.80
Change in Equity 4.53 0.35 4.88
Total Net Position $ 94.79 $ 27.89 $ 122.68
Cash and Investments are $23.54 million for the month of October, a decrease of $2.72
million from the prior month. The Cash and Investments balance has increased $1.74 million
over the past 12 consecutive months from $21.80 to $23.54 million.
$0
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CASH & INVESTMENTS
Restricted Unrestricted
Comparing current assets to current liabilities, the District has a current ratio at October
31, 2018 of 3.65 to 1, with 2 to 1 being an indication of sound financial condition.
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 2
Statement of Revenues & Expenses
Operating results are presented in three ways in the attached financial statements for the
period ending October 31, 2018. First is a one-page summary with monthly and year-to-
date totals for revenue and expenses, presented by Expense Category. Second is a one-
page summary with monthly and year-to-date totals for revenues and Expense by Program.
Third is a Budget-to-Actual presentation of program expense detail.
Total Revenues & Expenses through October 31, 2018 are summarized below (in millions):
WATER WASTEWATER DISTRICT TOTAL
Revenue $ 10.97 $ 4.65 $ 15.62
Expense 6.45 4.29 10.74
Water Sales for the month ending October 31, 2018 were $1.57 million; $142K over staff
projections for the month and $586K over the projections year-to-date.
$-
$0.5
$1.0
$1.5
$2.0
$2.5
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Water Sales by Tier
Tier 1 Tier 2 Tier 3 FY 2017-18 Projection
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 3
Water Sales by Customer Class
The table below shows the District’s water sales for the month of October 2018 by customer
class. All customer classes came in below projections; Residential and Irrigation Customers
were the largest portion of total change for the month.
CUSTOMER CLASS ACTUAL PROJECTION $ CHANGE % CHANGE
Residential 864,241$ 1,056,000$ (191,759)$ -18%
Multi-Family 322,377 328,000 (5,623) -2%
Commercial 120,573 129,000 (8,427) -7%
Irrigation 267,031 308,000 (40,969) -13%
Total $ 1,574,222 $ 1,821,000 $ (246,778) -14%
The following table displays customer class by tier for the month of October 2018. Multi-
Family Tier 3 and Residential Tier 3 experienced the largest increase and Residential Tier
2 and Irrigation Tier 2 experienced the largest decrease during the month.
CUSTOMER CLASS TIER ACTUAL PROJECTION $ CHANGE % CHANGE
Residential Tier 1 308,867$ 354,000$ (45,133)$ -13%
Residential Tier 2 366,439 554,000 (187,561) -34%
Residential Tier 3 188,935 148,000 40,935 28%
Multi-Family Tier 1 132,390 152,000 (19,610) -13%
Multi-Family Tier 2 104,370 128,000 (23,630) -18%
Multi-Family Tier 3 85,617 48,000 37,617 78%
Commercial Tier 1 77,044 90,000 (12,956) -14%
Commercial Tier 2 8,632 11,000 (2,368) -22%
Commercial Tier 3 34,897 28,000 6,897 25%
Irrigation Tier 2 117,047 179,000 (61,953) -35%
Irrigation Tier 3 149,984 129,000 20,984 16%
Total $ 1,574,222 $ 1,821,000 $(246,778) -14%
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 4
The chart below is a comparative illustration of current Water Revenue compared to last
year’s Water Revenue. As noted in the graph, Water Sales and Meter Charges experienced
an increase in Revenue over last year. Water consumption increased 38.43 million gallons
of water (51K HCF) more than in October of 2017.
$-
$0.5
$1.0
$1.5
$2.0
$2.5
10/31/2017 10/31/2018
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Comparative Monthly Water Revenue
(Water Sales & Meter Charges)
Meter Tier 1 Tier 2 Tier 3
Total - $2,382,195
Total - $2,517,549
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 5
Water Fund Activities by Cost Center
The graph below provides a year-to-date comparison of the Water Fund operating cost
centers for FY 2017-18 and FY 2018-19.
FINANCIAL STATEMENTS MONTHLY REVIEW
OCTOBER 31, 2018
page | 6
Wastewater Fund Activities by Cost Center
The graph below provides a year-to-date comparison of the Wastewater Fund operating
cost centers for FY 2017-18 and FY 2018-19.
B O AR D AGE N D A S TAF F R E P ORT
Agenda Item #3.
Meeting Date: Dec emb er 12, 2018
Dis c ussion Item
To: G o verning Board Memb ers
F rom: G eneral Manager/C EO
Subject: Approve Board R eorganizatio n
R E C O MME N D AT IO N:
S taff rec ommend s that the Bo ard o f Direc to rs :
a. Elec t o fficial o ffic ers for the p o s itions of Board P resident and Vice P res id ent
b. Ap p o intment o f G eneral Manager/C EO , C hief F inanc ial O ffic er and Bo ard S ecretary
c . S et the time, d ay and plac e fo r ho ld ing meetings
B AC KGR O UN D / AN ALYS IS :
T he Bo ard of Direc tors cond uc ts their reo rganization pro cess at the first regular meeting in Dec emb er purs uant
to C alifo rnia Water C ode S ectio n 30520.
T he Bo ard reorganization ens ures the efficient management o f the Distric t and reflec ts a d edic ation to the highes t
s tand ard s of integrity and acc o untab ility s o as to continue to earn the trust and confid ence of the public s erved
b y the Dis tric t.
S taff is rec o mmend ing that the Dis tric t c ontinue to ho ld regularly s c hed uled Board meetings at 31111 G reens p o t
R o ad , Highland , C A, on the 2nd and 4th Wed nesday of eac h mo nth.
T he Bo ard will c o nduct c lo sed s es s io n at 4:30 pm and c o mmence the regular board meeting at 5:30 p m. S ho uld
closed s es s io n items req uire more than the allo tted time, the Bo ard will adjo urn to o p en s es sion at 5:30 p m,
cond uc t Dis tric t bus ines s , and then adjourn bac k into c lo s ed session. After c lo s ed s ession, the Bo ard will
reconvene into open s ession and anno unce any actio n taken in the closed ses s ion prior to ad jo urnment of the
meeting.
AG E N C Y G O ALS AN D OB J E C T IVE S :
R ecommended b y:
Jo hn Mura
G eneral Manager/C EO
G o al and O bjec tives I I - Maintain a C ommitment to S us tainab ility, Transparenc y, and Ac c o untability
a) P rac tice Trans parent and Ac countab le F is cal Management
R E VIE W B Y O T HE R S :
T his agenda item has been reviewed by the Ad minis tratio n Dep artment.
F IS C AL IMPAC T
T here is no fis cal impac t as s o c iated with this agend a item.
B O AR D AGE N D A S TAF F R E P ORT
Agenda Item #4.
Meeting Date: Dec emb er 12, 2018
Dis c ussion Item
To: G o verning Board Memb ers
F rom: G eneral Manager/C EO
Subject: R eview and Ap p ro ve Draft P opular Annual R ep o rt fo r Year Ended June 30, 2018
R E C O MME N D AT IO N:
S taff recommends that the Board of Directo rs review and appro ve the attac hed F Y 2017-18 P opular Annual
F inanc ial R ep o rt (PAF R ).
B AC KGR O UN D / AN ALYS IS :
Attached is the Eas t Valley Water District PAF R for the fis cal year end ed June 30, 2018.
T he PAF R is des igned to be a summarized, us er friend ly vers ion of the Dis tric t’s C o mp rehensive Annual
F inancial R ep o rt (C AF R ), whic h was aud ited and finalized in O c tober. Most financ ial info rmation in the PAF R
is pres ented in grap hic fo rm, and technic al note disc lo s ures are o mitted.
In additio n, as with the Bud get and C AF R , the G overnment F inanc e O ffic ers As s o c iation produces guid elines
fo r produc ing an effec tive PAF R , and if an agency’s PAF R s ubs tantially meets or exceeds tho s e guid elines , the
As s o ciation p res ents the agenc y with an Award for O utstanding Ac hievement in P opular Annual F inancial
R ep o rting. T he District rec eived the award for its June 2017 PAF R , and that award appears o n p age 3 in the
current year rep o rt. T he Distric t will s ubmit the c urrent year PAF R for award c o nsideratio n.
S taff recommend s that the Board review the June 30, 2018 PAF R doc ument, and approve it for dis tribution to
Dis tric t ratep ayers .
AG E N C Y G O ALS AN D OB J E C T IVE S :
G o al and O bjec tives I I - Maintain a C ommitment to S us tainab ility, Transparenc y, and Ac c o untability
a) P rac tice Trans parent and Ac countab le F is cal Management
F IS C AL IMPAC T
T here is no fis cal impac t as s o c iated with this agend a item.
R ecommended b y:
Jo hn Mura
G eneral Manager/C EO
R espec tfully sub mitted:
Brian Tomp kins
C hief F inancial O ffic er
ATTACH M E N TS:
Description Type
Draft PAF R for FY 2017-18 Backup Material
LEADERSHIP | PARTNERSHIP | STEWARDSHIP
FINANCE EDITION
HIGHLAND, CALIFORNIA
Popular Annual Financial Report
FISCAL YEAR ENDED JUNE 30, 2018
POPULAR ANNUAL FINANCIAL REPORT2
ABOUT THE DISTRICT ..........................................3
Organizational Structure ........................................................3
Transmittal Letter ......................................................................4
District Vision.............................................................................4
District at a Glance ...................................................................5
Core Values ...............................................................................5
District Wide Goals ..................................................................6
Capital Improvement Projects...............................................7
Sterling Natural Resource Center ........................................8
FINANCIAL PERFORMANCE ...............................9
Revenue and Expenses ..........................................................9
Revenue by Sources .............................................................10
Breakdown of Expenses .........................................................11
Outstanding Long-Term Debt .............................................12
Comparative Net Position .....................................................13
POPULAR ANNUAL FINANCIAL REPORT2
POPULAR ANNUAL FINANCIAL
REPORTING AWARD
The Government Finance Officers Association of the
United Stated and Canada (GFOA) has given an Award
for Outstanding Achievement in Popular Annual Financial
Reporting to East Valley Water District, California for its
Popular Annual Financial Report (PAFR) for the fiscal year
ended June 30, 2017.
In order to receive this award, a government unit must
publish a Popular Annual Financial Report, whose contents
conform to program standards of creativity, presentation,
understandability, and reader appeal.
We believe our current PAFR continues to conform to
program requirements, and we are submitting it to GFOA to
determine its eligibility for another Award. We also welcome
and encourage feedback from District ratepayers to help
make this publication more useful and/or informative.
3EAST VALLEY WATER DISTRICT
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about the district
organizational structure
GOVERNING BOARD
OF DIRECTORS
Chairman of the Board
CHRIS CARRILLO
Vice Chairman
DAVID E. SMITH
Governing Board Member
RONALD L. COATS
Governing Board Member
JAMES MORALES, JR.
Governing Board Member
PHILLIP GOODRICH
East Valley Water District (EVWD) provides water and wastewater services to residents throughout a 30.1
square mile area to over 102,000 people within the cities of Highland and San Bernardino, portions of
unincorporated County of San Bernardino, the San Manuel Band of Mission Indians and Patton State Hospital.
DISTRICT SERVICE AREA
HIGHLAND
SAN BERNARDINO
SEVENOAKS DAM
Presented below is an overview of the District’s organizational structure.
DISTRICT
MANAGEMENT
Chief Financial Officer
BRIAN TOMPKINS
General Manager/CEO
JOHN MURA
District Clerk
JUSTINE HENDRICKSEN
Director of Engineering & Operations
JEFF NOELTE
Operations Manager
PATRICK MILROY
Director of Strategic Services
KELLY MALLOY
Information Technology Manager
ROBERT PENG
Human Resources & Risk Safety Manager
KERRIE BRYAN
WASTEWATER
MAINTENANCE
FACILITIES
MAINTENANCE
WATER
QUALITY
WATER
PRODUCTION
METER
SERVICES
FLEET
MAINTENANCE
CUSTOMER
SERVICE
CONSERVATION
RATEPAYERS
GOVERNING BOARD
GENERAL
MANAGER/CEO
CHIEF FINANCIAL
OFFICER
LEGAL COUNSEL
HUMAN
RESOURCES
PUBLIC
AFFAIRS
ENGINEERING
FINANCEOPERATIONS
MANAGER
INFORMATION
TECHNOLOGY
GENERAL
ADMINISTRATION
DIRECTOR OF
ENGINEERING &
OPERATIONS
WATER
MAINTENANCE
WATER
TREATMENT
3EAST VALLEY WATER DISTRICT
POPULAR ANNUAL FINANCIAL REPORT4
East Valley Water District has set out to be a world class organization that provides maximum benefits to the
community. This high standard requires innovation at all levels of operation paired with measurable results. These
efforts continue to produce in outstanding projects and programs that have been recognized by professional
organizations and publications. FY 2018-19 will continue to focus on making investments in the community.
On behalf of the District, I would like to extend my appreciation to everyone that contributed to the development
of this document.
Respectfully submitted,
John Mura
General Manager/CEO
ENHANCE ANDpreserve
THE QUALITY OF LIFE
FOR OUR COMMUNITY
THROUGH INNOVATIVE LEADERSHIP&
PUBLIC SERVICE
district vision
summary
5EAST VALLEY WATER DISTRICT
214 Miles of Sewer Main
300 Miles of Water Main
The District serves a population of 102,000.
Fire
Hydrants
Flushed
450
15,700 Manual &7,300 AMI Automatic
Meters Read Monthly
Leaks Repaired
268
700
ValvesExercised
15,000,000 AverageGallons of Water Produced Daily
28,977,000Gallons of Potable Water Stored
3,300
Water Samples Collected
16Active GroundWater Wells
6,000,000Gallons of Sewage Conveyed Daily
30.1
Square Mile Service Area
1954Established
LEADERSHIP
Motivating a group of people
to act towards achieving a
common goal or destination.
PARTNERSHIP
Developing relationships
between a wide range of
groups and individuals through
collaboration and shared
responsibility.
STEWARDSHIP
Embracing the responsibility
of enhancing and protecting
resources considered worth
caring for and preserving.
core values
5EAST VALLEY WATER DISTRICT
district at a glance
POPULAR ANNUAL FINANCIAL REPORT6
district wide goals
As part of the annual budget process, District-wide goals are established by the Governing Board in order
to identify priority programs and projects. More specific program goals were established for each program
consistent with District-wide goals.
The District achieved a number of different accomplishments during Fiscal Year (FY) 2017-18. As a results
oriented organization, each program has clearly defined goals and objectives. During this period, there
were four priority projects that contributed to achieving not only the District-wide goals, but also the District-
wide Vision: Advanced Metering Infrastructure Installation, Hydroelectric Generation Turbine Project, City
Creek Manhole Reinforcement and Pumalo Casa Main Extension. These projects are included in the Five-
Year Capital Improvement Program.
POPULAR ANNUAL FINANCIAL REPORT6
GOAL ONE
Partner with organizations
in an effort to enhance the
quality of life for our community
members beyond water and
wastewater services.
GOAL TWO
Implement measures to
support enhancement of the
District’s Brand, including
increased Board Member
participation both within and
outside of the service area
boundaries.
GOAL FOUR
Actively participate in
necessary processes,
including legal and regulatory
requirements, essential to
reaching the long-range goal
of constructing the Sterling
Natural Resource Center.
GOAL FIVE
Successfully negotiate an
employee Memorandum
of Understanding (MOU)
that protects the District’s
resources while promoting
employee morale.
GOAL THREE
Conduct a comprehensive
update to the current Water
Master Plan for long-term
planning purposes.
CAPITAL IMPROVEMENT PROJECTS
7EAST VALLEY WATER DISTRICT
Each year as part of the budget process, the District’s Program Managers and Supervisors compile and
submit a list of capital outlay requests for consideration. Staff reviews and prioritizes the list of equipment
based on a needs assessment and the amount of funding available. Proposed Capital Improvement
Projects for the budgeted fiscal year were submitted by the Engineering, Operations and Maintenance
Programs in accordance with the anticipated needs of the District as outlined in the 2013 Wastewater
Master Plan and 2014 Water Master Plan.
HYDROELECTRIC GENERATION PROJECT
$4,355,775$138,048
$155,177 8,448
MAY 2018MAY 2018
APRIL 2018 $1,991,910
PROJECT BENEFITS PROJECT BENEFITS
PROJECT BENEFITS PROJECT BENEFITS
PROJECT COMPLETIONPROJECT COMPLETION
PROJECT COMPLETION TOTAL PROJECT COST
TOTAL PROJECT COSTTOTAL PROJECT COST
TOTAL PROJECT COST METERS INSTALLED TO DATE
- Energy conservation
- Reduced production costs
- Intelligent use of resources
- Reduced unnecessary loss of water
through leaks on non-compliant
service lines
- Decreased field staff time previously
required for responding to work orders
for this area.
- Mitigate threat of debris in creek
rupturing sewer line.
- Energy conservation
- Decrease greenhouse gas emissions
through reduced vehicle miles
- Reduce water usage by real-time
identification of leaks and over-watering
CITY CREEK MANHOLE REINFORCEMENT ADVANCED METERING INFRASTRUCTURE (AMI)
PUMALO CASA MAIN EXTENSION
This project addressed service delivery
challenges where service lines crossed
property boundaries. A service line leak
required all connected properties to be
without water until repairs were made.
This project reinforced a sewer main
manhole that had been exposed by a
realignment of flows in City Creek and
subsequent soil erosion.
In January 2015, the District entered into
an agreement with the San Bernardino
Valley Municipal Water District for the
construction, financing and maintenance of
a hydroelectric power generation facility.
Turbines at the facility will be turned by
water flowing into the District from the State
Water Project to produce up to 220 KW.
This project consists of updating manual
read meters throughout the District with
AMI hardware, software and meters. Phase
1 was completed during FY 2017-18.
Remaining accounts will be upgraded in
three phases over the next five years.
POPULAR ANNUAL FINANCIAL REPORT8POPULAR ANNUAL FINANCIAL REPORT8
opening2021
The Sterling Natural Resource
Center will treat 8 million gallons of
wastewater a day initially, with the
ability to expand to 10 million gallons
a day, and recharge it into the local
Bunker Hill Groundwater Basin where
it will be stored for use in future
drought years.
The facility vision is to construct a
location that can produce recycled
water, while creating a public center
that will benefit the local residents.
- Treats 8 Million Gallons
of Wastewater Daily
- Recharges the Bunker Hill
Groundwater Basin
- Provides a Community Resource and
Educational Center for Local Residents
- Educational Courses will
Compliment School STEM Programs
- Provides an Opportunity for Hundreds
of Millions of Gallons to be Stored for
Use in Dry Years
what is the SNRC?
community benefits
Groundbreaking Ceremony | October 20, 2018
9EAST VALLEY WATER DISTRICT
The $150 million project will be funded by a
variety of sources such as: $6.7 million in State
grants, $119 million in low-interest loans from
California Clean Water State Revolving Fund,
future development fees, and Wasterwater
service charges
It is anticipated to remain the same with the new
facility and customers will have savings over
time compared to projected wastewater costs.
funding
eastvalley.org/snrc |@eastvalleywaterdistrict |@eastvalleywaterdistrict@eastvalleywater |
Funded in part by
9EAST VALLEY WATER DISTRICT
EVWDCUSTOMERS
SNRC
MBR
WATER
QUALITY
TESTING
BUNKER HILL BASIN
Membrane BioReactors
(MBR) is a wastewater
treatment process that
combines filtration with
biological treatment that
dramatically reduces the
amount of space needed
to operate the facility and
allows for the processes to
be completely self-contained.
The water produced by the
Sterling Natural Resource
Center will be cleaned and
disinfected through multiple
processes. Recycled water is
clear and has no smell.
MBR Technology
sterling natural resource center
POPULAR ANNUAL FINANCIAL REPORT10
community involvement
Staying true to its operating core values of leadership, partnership and stewardship, East Valley Water District
is committed to enhancing the community’s quality of life by taking on a responsibility that goes beyond
providing reliable water services. To truly make an impact in the lives of customers, the District incorporated
local partnerships, active involvement, and special services to its ongoing community outreach strategy.
PARTNERING WITH THE LOCAL COMMUNITY
Aspiring to engage the leaders of tomorrow, the District partnered with
the Highlanders Boxing Club throughout the year. This fall the District
opened the gates of the headquarters for the 2nd Annual Inland Empire
Neighborhood Champions Belt Challenge. The event held over the
Veterans Day weekend honored veterans for their service, and provided
an afternoon with educational activities alongside friends and neighbors.
JEFFERSON HUNT ELEMENTARY SCHOOL SPONSORSHIP
With the desire of making a difference in the community it serves, East
Valley Water District employees identified a local school with underserved
students. To help prepare students and teachers for a successful
academic year, EVWD staff donated 152 backpacks and 28 teacher care
packs to Jefferson Hunt Elementary. Recognizing a need for more than
just school supplies, the District conducts year-round drives to sponsor
students with shoes, socks, sweatshirts and jackets.
SUPPORTING THE SENIOR CENTER
Committed to enhancing the lives of all community members, East Valley
Water District is a proud supporter of the Annual Golf Tournament hosted
by the Highland Senior Center. The special fundraising tournament features
the participation of over 100 players with proceeds benefiting the center
where seniors can receive low cost meals and participate in classes and
programs that enrich, maintain and enhance their quality of life.
11EAST VALLEY WATER DISTRICT
FY 2015-16FY 2016-17FY 2017-18FY 2015-16FY 2016-17FY 2017-18
FINANCIAL PERFORMANCE
REVENUE AND EXPENSES
Providing safe drinking water to over 102,000 customers every day is the District’s top priority and also one
of its most significant expenses. The graphs below represent the District’s combined revenue and expenses
for FY 2017-18. For comparison purposes, FY 2015-16 and FY 2016-17 revenue and expenses have also
been included.
Note: Please refer to the District’s CAFR for a comprehensive breakdown of expenses which includes the
availability of additional details.
HOW IS REVENUE MANAGED?
The District utilizes revenue to fund daily operations, repay loans, bonds and interest. Remaining revenue is
invested back into capital improvement projects to help maintain and improve the District’s system health so
that EVWD may continue taking steps to support the Vision statement of providing world class public service.
Revenue also provides funding for conservation and rebate programs, which empowers customers to be
efficient water users and encourages water savings indoors and out. Excess net revenue after covering
expense and payments is placed in Replacement Reserves, the District’s account set aside to meet
unexpected costs.
REVENUE EXPENSES
$41.29
MILLION $40.37
MILLION
$34.73
MILLION
$37.92
MILLION $35.69
MILLION $34.50
MILLION
operating
non-operating
contributions
POPULAR ANNUAL FINANCIAL REPORT12
REVENUE BY SOURCES
Revenue is used to fund day-to-day operation of the District.
East Valley Water District receives 97 percent of its revenue from user rates and fees; the District receives no
increment from property or sales taxes. Rates and fees are reviewed on 3 to 5 year cycles and are adjusted
as necessary to cover the costs of providing services to ratepayers.
Note: The District’s
water sales and meter
charge revenue are
expected to decrease
through FY 2018-19
due to rate increases
water usage tends to
reduce.
Additional information
regarding the
approved rates can
be found at
eastvalley.org/rates.
REVENUE HISTORY & FORECAST (IN MILLIONS)
Water sales are based on
the volume of water used
by a customer during the
monthly billing period.
Meter charges are fixed
monthly charges assessed to
customers based on the size
of the service connection to
their property.
Wastewater collection charges
are 1) fixed monthly charges
for single family residences,
and 2) a combination of fixed
and volumetric charges for
commercial and multi-family
customers.
Wastewater treatment rates
are established by, and revenue
remitted to, the City of San
Bernardino Municipal Water
Department, which is currently
contracted to treat all wastewater
generated by District customers.
Other charges are assessed according to an adopted fee schedule, but are only charged to users who request,
or require, use of District resources beyond the scope of delivering normal water and wastewater services.
42%
WATER SALES
22%
METER CHARGES
12%
WASTEWATER
COLLECTION
22%
WASTEWATER
TREATMENT
2%
OTHER CHARGES
FISCAL YEAR 2017-18 RATE REVENUE
revenue history & forecast
$20
$24.5
$26.9 $26.9
$24.1 $24.4
$10
$15
$20
$25
$30
FY 19-20PROJECTEDFY 18-19PROJECTEDFY 17-18ACTUALSFY 16-17ACTUALSFY 15-16ACTUALSFY 14-15ACTUALS
$12.8$11.5
$13.4 $13.4 $13.3 $13.4
water operating revenuewastewater operating revenue
13EAST VALLEY WATER DISTRICT
BREAKDOWN OF EXPENSES
Expenses are based on the cost to provide water to meet customer demand and to collect and treat
wastewater from customer residences or places of business. The District strives to provide safe and
reliable water delivery services. Despite the severity of the recent drought, the District has put forth
significant effort to overcome the challenges of maintaining a fiscally sustainable and operationally
dependable organization.
EXPLANATION OF EXPENSES
Source of Supply - Expenses related to the extraction of
groundwater, and for procuring water from the Santa Ana River
or State Water Project when supply is available.
Pumping - Expenses related to moving water throughout the
District’s water distribution system.
Water Treatment - Expenses related to the treatment of water.
Transmission and Distribution - Expenses for transmitting
water to treatment plants and storage reservoirs for
distribution to commercial and residential customers.
Customer Accounts - Expenses related to customer
relationships. These include postage, telephone, printing and
publishing, and billing services.
Wastewater Treatment - Expenses related to service currently
provided by the City of San Bernardino Water Department
through and contract.
Wastewater Collection - Expenses for the operation and
maintenance of the District’s system of wastewater collection
pipelines.
Administrative and General - Expenses related to the
administration of the District operations. For example,
employee compensation, benefits, conservation rebates,
office supplies, banking services, materials and supplies,
utilities, fuel, permits, insurance claims, legal services and
printing and publishing.
Depreciation - Expenses related to the use of capital assets
over time.
Other Expense - Expenses not related to the District’s current
cost of utility service delivery.
Special Items - The write-off for feasibility studies and other
preliminary costs related to projects that were not approved
for construction.
Operating expenses are identified and accounted for at
the department level.
0 5 10 15 20 25 30
Special Items
Other Expense
Depreciation
Administrative& General
WastewaterCollection
WastewaterTreatment
Customer Accounts
Transmission & Distribution
WaterTreatment
Pumping
Sourceof Supply 7¢
2¢
3¢
7¢
5¢
22¢
2¢
28¢
18¢
5¢
1¢
The graph on the left identifies how
every dollar spent is allocated to
covering expenses (in cents).
POPULAR ANNUAL FINANCIAL REPORT14
OUTSTANDING LONG-TERM DEBT
Much like how a mortgage is financed to spread costs over 30 years, East Valley Water District has
incurred debt to fund large capital projects. The District has adopted a Debt Management Policy to clearly
state that long-term borrowing can only be used for Capital Improvement Projects that cannot be funded
from current revenues.
Similar to an individual’s credit score, public agencies have a bond rating used by investors to determine
risk. The District has a bond rating of AA- by both the Fitch and the Standard and Poor’s rating services.
This is considered a high quality investment grade.
EXPLANATION OF DEBT (IN MILLIONS)
State Department of
Water Resources Loans -
Funded the improvement
and expansion of the
District’s surface water
treatment plant.
2013 Bonds - Financed the
construction of the District’s
new administration and
operations headquarters
designed to serve as a
resource for the community.
SBVMWD Loan - Agreement with
the San Bernardino Valley Municipal
Water District for the construction,
financing and maintenance of a
state water turnout, providing the
District direct access to the State
Project Water, to be used for the
hydroelectric generation plant.
2010 Bonds - Issued to refinance all previous
outstanding long-term debt and to provide $16
million for water quality improvement projects.
US Bank Loan - Issued for
the purchase and installation of
energy conservation equipment
at several of the District’s water
production facilities.
East Valley Water District’s long-term debt consists
of bonds, loans and installment purchases.
$24.7
$12.1
$3.9 $6.7 $2.5
15EAST VALLEY WATER DISTRICT
2 YEAR COMPARATIVE NET POSITION (IN MILLIONS)
As an infrastructure based organization, the District is heavily invested in capital investments to maintain and
improve its water and wastewater system. Comparative net position offers perspective of the District’s assets,
liabilities and equity. The information presented below applies to fiscal years ended June 30, 2018 and 2017.
EXPLANATION OF ASSETS EXPLANATION OF LIABILITIES
Current Assets - Cash and cash equivalents, customer utility
receivables, inventory, prepaid expenses and other liquid
assets that can be readily converted to cash.
Restricted Assets - Cash equivalents, grants and bonds
restricted for a specific purpose and therefore not readily
available to use.
Other Assets - Special Assessments receivable from the
certain property owners for system improvements that benefit
only their properties.
Capital Assets - Any land, building, equipment, vehicles,
inventory, treatment plants, pipeline and water distribution
systems owned by the District.
Deferred Outflow of Resources - Use of net assets attributed
to future reporting periods, such as prepaid items and deferred
charges.
Current Liabilities - Present obligations and payments due
including, payments to vendors, payroll, and employee
benefits.
Non-Current Liabilities - Long-term financial obligations
including payments for loans, bonds and employee retirement
benefits.
Deferred Inflow of Resources - Receipt of net assets attributed
to future reporting periods, such as deferred revenue and
advance collections.
Equity (Net Position) - Represents the District’s fiscal position
after assets, liabilities, deferred outflow and deferred inflow
have been balanced.
$4.5 $24
$6.8
$0.4
$155.1
$159.2
$0.4
$62.5
$0.5
$117.7
$8
$6.4
$19.5
$3.2
$119.4
$63.4
$7.4$0.6
total assets
$190.8 million
$188.7 million $188.7 million
$190.8 million
total assets
liabilities & equity
liabilities & equity
2017
2018
Current Assets
Restricted Assets
Other Assets
Capital Assets
Deferred Outflow of Resources
Current Liabilities
Non-Current Liabilities
Net Position
Deffered Inflow of Resources
ASSETS
LIABILITIES
DISTRICT HEADQUARTERS
31111 Greenspot Road, Highland, CA 92346
(909) 889-9501 www.eastvalley.org
DISTRICT BOARD MEETINGS
Second and fourth Wednesday of each month
District Headquarters Board Room, 5:30pm
SAFE RELIABLE WATER &
WASTEWATER SERVICE PROVIDER
East Valley Water District was formed in 1954 and provides water and
wastewater services to over 102,000 residents within the cities of
Highland and San Bernardino, and portions of San Bernardino County.
EVWD operates under the direction of a 5-member elected Board.
OFFICE HOURS
Monday – Thursday 8:00am – 5:00pm
2nd and 4th Tuesday 9:00am – 5:00pm
Friday 7:30am – 4:30pm
CUSTOMER SERVICE & AFTER-HOURS
EMERGENCY SERVICE
(909) 889-9501
B O AR D AGE N D A S TAF F R E P ORT
Agenda Item #5.
Meeting Date: Dec emb er 12, 2018
Dis c ussion Item
To: G o verning Board Memb ers
F rom: G eneral Manager/C EO
Subject: Adopt R es o lutio n 2018.16 Es tablishing Labo r C omplianc e P rogram fo r P ub lic Wo rks P rojec ts
R E C O MME N D AT IO N:
S taff recommends that the Board of Direc tors adopt R es o lutio n 2018.16 es tablis hing a Lab o r C o mp lianc e
P rogram fo r East Valley Water Dis tric t p ublic works pro jects .
B AC KGR O UN D / AN ALYS IS :
O n No vember 14, 2018 the Board appro ved a c ontract with the firm G o ld en S tate Labor C omp lianc e (G S LC )
to assist s taff with labor c o mp lianc e requirements includ ed in the state funding agreement for the S terling Natural
R es o urc e C enter.
S inc e then Dis tric t s taff, and the s taff at G S LC , have been working to gether to develop a c o mp rehensive Labor
C o mp liance P rogram (LC P ) manual id entifying policy and proc ed ures related to c omp lianc e p ro vis io ns of S tate
and F ed erally funded c o nstruc tion contrac ts .
A c o p y of the LC P manual is attached . If ap p ro ved by the Board, the R es olution and manual will b e s ubmitted
in an ap p lic ation to the Department o f Indus trial R elatio ns for ap p roval.
AG E N C Y G O ALS AN D OB J E C T IVE S :
G o al and O bjec tives I I - Maintain a C ommitment to S us tainab ility, Transparenc y, and Ac c o untability
a) P rac tice Trans parent and Ac countab le F is cal Management
R E VIE W B Y O T HE R S :
T his agenda item has been reviewed by the F inanc e and Human R es o urc es C o mmittee and Legal C o unsel.
F IS C AL IMPAC T
T here is no fis cal impac t as s o c iated with this agend a item.
R ecommended b y:
Jo hn Mura
G eneral Manager/C EO
R espec tfully sub mitted:
Brian Tomp kins
C hief F inancial O ffic er
ATTACH M E N TS:
Description Type
Resolution 2018.16 Resolutio n Letter
Labo r Compliance P rogram Manual Backup Material
East Valley Water District
Resolution 2018.16
Page 1 of 2
RESOLUTION NO. 2018.16
A RESOLUTION OF THE BOARD OF DIRECTORS OF THE EAST VALLEY WATER
DISTRICT APPROVING AND ADOPTING A LABOR COMPLIANCE PROGRAM
WHEREAS, Proposition 84, the Safe Drinking Water, Water Quality and Supply, Flood
Control, River and Coastal Protection Bond Act of 2006 (“Prop 84”), requires Awarding Agencies
utilizing funds for public works projects derived from that act to inititate and enforce a labor
compliance program (“LCP”) as described in subdivision (b) of Section 1771.5 of the Labor Code;
and
WHEREAS, the East Valley Water District (“District”) has applied for, and intends to
utilize funds derived from one or more such State Bond Acts for certain public works projects,
including the Sterling Natural Resource Center; and
WHEREAS, the East Valley Water District wishes to make a written finding that it has
initiated and shall enforce, a Labor Compliance Program as described in subdivision (b) of Section
1771.5 of the Labor Code.
NOW, THEREFORE, BE IT RESOLVED by the Board of Directors of East Valley
Water District as follows:
Section 1. East Valley Water District hereby adopts, for implementation, the attached
Department of Industrial Relations approved Labor Compliance Program.
Section 2. East Valley Water District shall contract with Golden State Labor Compliance,
an approved third party provider, to initiate and enforce the above mentioned Labor Compliance
Program on behalf of East Valley Water District as required by Labor Code Section 1771.8.
ADOPTED this 12th day of December 2018.
ROLL CALL:
Ayes:
Noes:
Absent:
Abstain:
___________________________________
Board President
East Valley Water District
Resolution 2018.16
Page 2 of 2
December 12, 2018
I HEREBY CERTIFY that the foregoing is a full, true and correct copy of Resolution 2018.16
adopted by the Board of Directors of East Valley Water District at its Regular Meeting held
December 12, 2018.
_____________________________________
John Mura
Secretary, Board of Directors
1
Labor Compliance Program
Program, Policies, and
Procedures
East Valley Water District
31111 Greenspot Road
Highland, CA 92346
Phone: (909) 889-9501
TABLE OF CONTENTS
Page
I. Introduction 2
II. Public Works Subject to Prevailing Wage Laws …………………………………….. 2
III. Competitive Bidding on District Public Works Contracts …………………………. 2
IV. Composition, Components and Responsibilities of Labor Compliance Prog ram 3
A. Overview ………………………………………………………………………………… 3
B. Duty of the Awarding Agency ………………………………………………………. 3
C. Responsibility and Authority of Awarding Agency to Enforce LC 1726 …… 3
D. Responsibilities of a Labor Compliance Program ………………………………. 3
E. Responsibility to Maintain Written Record ……………………………………….. 4
F. Labor Commissioner’s Right to Provide for Training …………………………... 4
G. Failure to Enforce Not a Defense …………………………………………………… 4
H. Filing of Statements of Economic Interest ……………………………………….. 4
I. Annual Report …………………………………………………………………………. 4
V. Job Conference Meeting
A. Agenda ……………………………………………………………………….. 5
B. Document Distribution / Opportunity for Questions and Answers ……… 5
VI. Responsibility of Contractors
A. Certified Payroll ……………………………………………………………………… 6
B. Furnishing of Certified Payroll Reports …………………………………………. 6
C. Reporting Format ……………………………………………………………………. 7
D. Cost of Preparation of Records Requested ……………………………………. 7
E. Use of Electronic Reporting Forms ……………………………………………… 8
F. Submission of Certified Payroll Records ………………………………………. 8
G. Full Accountability …………………………………………………………………. 8
H. Responsibility for Subcontractors ………………………………………………. 8
I. Payment to Employees ……………………………………………………………. 8
J. Subcontractors ……………………………………………………………………… 9
K. Required Wage Rates and Overtime …………………………………………….. 9
L. Apprentices ………………………………………………………………………….. 9
VII. Enforcement
A. Duty of the Awarding Agency and LCP ……………………………………………… 10
B. Request for Certified Payroll Records ………………………………………………. 11
C. Records Requested for Use by the Labor Compliance Program…………. 12
D. Privacy Considerations ……………………………………………………………………... 12
E. Withholding Contract Payments When Payroll Records are
Delinquent or Inadequate ………………………………………………………………… 12
(i)
F. On-Site Visits ……………………………………………………………………………………. 13
G. Complaints ………………………………………………………………………………………. 14
H. Review of Certified Payroll Records …………………………………………………. 14
I. Confirmation of Certified Payroll Records ………………………………………… 14
J. Audit of Certified Payroll Records …………………………………………………….. 14
K. Notification and Informal Resolution ……………………………………………….. 15
L. Withholding Contract Payments When, After Investigation, It is
Established That Underpayment or Other Violation Has Occurred …….. 15
M. Provisions Relating to Penalties …………………………………………………………. 16
N. Forfeitures Requiring Approval by the Labor Commissioner ………………. 17
O. Determination of Amount of Forfeiture by the Labor Commissioner …. 17
P. Withholding Procedures After Forfeiture Determination …………………… 18
Q. Settlement Meeting …………………………………………………………………………… 19
R. Request for Review of Notice of Withholding of Contract Payments …. 19
S. Review of Notice of Withholding of Contract Payments …………………….. 20
T. Determination and Ruling on the Review by DIR ………………………………… 20
U. Settlement Authority …………………………………………………………………………. 21
V. Deposits of Penalties and Forfeitures Withheld ………………………………….. 21
W. Debarment Policy ……………………………………………………………………………….. 21
X. Disposition of Forfeited Sums ……………………………………………………………. 21
Y. Reporting of Willful Violations to the Labor Commissioner …………………. 22
VIII. Enforcement of Apprenticeship Requirements…………………………………. 23
Appendix A Definitions ………………………………………………………………………. 24
Appendix B Initial Review of Certified Payroll Records ……………………….. 26
Appendix C Confirmation and Audit of Certified Payroll Records ………… 27
Appendix D Public Works Case Audits …………………………………………………. 28
Appendix E Investigation Case Processing …………………………………………… 29
Appendix F Prevailing Wage Hearing Regulations ……………………………….. 33
Appendix G Field Representative Minimum Standards …………………………. 35
Appendix H Forms ………………………………………………………………………………… 38
(ii)
2
I. INTRODUCTION
A. East Valley Water District issues this Labor Compliance Program (LCP) manual for the purpose of identifying
its policy relative to the responsibilities and procedures applicable to the labor compliance provisions of State
and Federally-funded construction contracts.
B. California Labor Code Section 1770 et seq. and various other statutes require that building trade contractors
on public works projects pay their workers based upon prevailing wage rates established and issued by the
Department of Industrial Relations (DIR), Office of Policy Research and Legislation (OPRL).
C. In establishing this LCP, East Valley Water District adheres to the statutory requirements as outlined in Section
1771.5(b) of the Labor Code and the provisions contained in California Code of Regulations Section 16000 et
seq.
D. It is the intent of East Valley Water District to actively enforce this LCP on all projects required by statute to
enforce or contract to enforce a LCP that contains or meets the requirements of Labor Code Section 1771.5.
Should any applicable Labor Code or Code of Regulations undergo revision or deletion, East Valley Water
District will modify that portion of the program to comply with the modified or deleted sections.
E. Questions regarding East Valley Water District LCP Program should be directed to:
Martha Duran
Senior Administrative Assistant
East Valley Water District
31111 Greenspot Road
Highland, CA 92346
Phone: (909)806-4083
Fax: N/A
II. PUBLIC WORKS SUBJECT TO PREVAILING WAGE LAWS
A. State prevailing wage rates apply to all public works contracts valued over $1,000, as set forth in Labor Code
Section 1771 et seq., including, but not limited to, such types of work as construction, alteration, demolition,
installation or repair, work, as set forth in Labor Code Sections 1720 et seq. The Director of Industrial Relations
determines, from time to time, the appropriate prevailing wage rates for particular construction trades and
crafts by county and publishes those determinations through the Office of Policy Research and Legislation
(OPRL).
B. Types of Contracts to Which Prevailing Wage Requirements Apply
Whenever an Awarding Agency is required by statute to enforce or contract to enforce a Labor Compliance
Program that contains or meets the requirements of Labor Code Section 1771.5, the Awarding Agency must
have its own program that has been approved by the Director pursuant to Code of Regulations Section 16425.
C. A list of statutes that require Awarding Agencies to have a Labor Compliance Program as a condition of project
authorization, project funding, or use of specified contracting authority shall be maintained on the Department
of Industrial Relations’ website.
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III. COMPETITIVE BIDDING ON PUBLIC WORKS CONTRACTS
Awarding Bodies publicly advertise upcoming public works projects to be awarded according to a competitive
bidding process. All bid advertisements or bid invitations and all construction contracts shall contain appropriate
language concerning the requirements of the Public Works chapter of the Labor Code, comprised of Labor Code
Sections 1720- 1861.
IV. COMPOSITION, COMPONENTS AND RESPONSIBILITIES OF LABOR COMPLIANCE PROGRAM
A. In accordance with the California Labor Code and California Code of Regulations, a Labor Compliance
Program shall include, but not be limited to, the following requirements:
(1) The Call for Bids, Design-Build Request, and the contract or purchase order shall contain appropriate
language concerning the requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code.
(2) A pre-job conference shall be conducted before commencement of the work with contractors and
subcontractors listed in the bid or who are required to be identified or prequalified in a Design-Build Contract.
At the pre-job conference applicable federal and state labor law requirements shall be discussed, and copies
of suggested reporting forms furnished. A checklist, showing which federal and state labor law requirements
were discussed, shall be kept for each conference. A checklist in the format of Appendix A presumptively
meets this requirement.
(3) A requirement that certified payroll records be kept by the contractor in accordance with Labor Code
Section 1776 and furnished to the Labor Compliance Program at times designated in the contract, which shall
be at least monthly, or within 10 days of any request by the Awarding Body. Use of the current version of DIR's
“Public Works Payroll Reporting Form” (A-1-131) and Statement of Employer Payments (PW26) constitute
presumptive compliance with the requirement for certified payroll records kept in accordance with Labor Code
Section 1776, provided the forms are filled out accurately and completely. These suggested forms are
available from the Department of Industrial Relations.
(4) A program for orderly review of payroll records and, if necessary, for audits to verify compliance with the
requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code.
(5) A prescribed routine for withholding penalties, forfeitures, and underpayment of wages for violations of the
requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code.
(6) All contracts to which prevailing wage requirements apply shall include a provision that contract payments
shall not be made when payroll records are delinquent or inadequate.
(7) The Labor Compliance Program shall review and, if appropriate, audit payroll records to verify compliance
with the requirements of Chapter 1 of Part 7 of Division 2 of the Labor Code.
(8) The awarding body shall, with the approval of the Labor Commissioner, withhold contract payments
equal to the amount of underpayment and applicable penalties when, after investigation, it is established that
underpayment has occurred.
(9) The awarding body shall comply with any other prevailing wage monitoring and enforcement activities that
are required to be conducted by labor compliance programs by the Department of Industrial Relations.
B. Duty of the Awarding Agency
The Awarding Agency, pursuant to its approved LCP, has a duty to the Director of the Department of Industrial
Relations to ensure compliance of contractors and enforce the Public Works Chapter of the Labor Code and
Title 8 of the Code of Regulations in a manner consistent with the practice of the Labor Commissioner. The
LCPR for the Awarding Agency will maintain records relating to activities and relevant facts that pertain to each
project that demonstrates that reasonable and sufficient efforts have been made to enforce prevailing wage
requirements.
C. Nothing in this section shall be construed as limiting the responsibility and authority of an Awarding Body to tak e
cognizance of prevailing wage violations under Section 1726 of the Labor Code and take any appropriate action
pursuant to and in accordance with that responsibility and authority.
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D. It is the responsibility of a Labor Compliance Program to enforce prevailing wage requirements, consistent with
the policy of the state as expressed in Labor Code Section 90.5(a). A Labor Compliance Program shall take
reasonable, vigorous, and prompt action to (1) determine whether violations exist, and (2) enforce compliance,
including through imposition of appropriate penalties and formal enforcement action, when violations are
found. A Labor Compliance Program shall neither avoid use of its enforcement authority based on cost
considerations nor shall it use that authority in an unreasonable manner to gain leverage over a contractor or
subcontractor. Unreasonable use of enforcement authority includes, but is not necessarily limited to, prolonged
or excessive withholdings of contract payments without making a determination that a violation has occurred.
E. For each public work project subject to a Labor Compliance Program's enforcement of prevailing wage
requirements, a separate, written summary of labor compliance activities and relevant facts pertaining to that
particular project shall be maintained. That summary shall demonstrate that reasonable and sufficient efforts
have been made to enforce prevailing wage requirements consistent with the practice of the Labor
Commissioner. Appendix C following this section provides a suggested format for tracking and monitoring
enforcement activities. Compliance records for a project shall be retained until the later of (1) at least one year
after the acceptance of the public work or five years after the cessation of all labor on a public work that has
not been accepted, or (2) one year after a final decision or judgment in any litigation under Labor Code Section
1742. For purposes of this section, a written summary or report includes information maintained electronically,
provided that the summary or report can be printed out in hard copy form or is in an electronic format that (1)
can be transmitted by e-mail or compact disk and (2) would be acceptable for the filing of documents in a
federal or state court of record within this state.
F. The Labor Commissioner may provide, sponsor, or endorse training on how to enforce prevailing wage
requirements, including but not necessarily limited to the subjects of (1) ascertaining prevailing wage
requirements and rates from the Division of Labor Statistics and Research, (2) monitoring and investigation
under section 16432 above, (3) enforcement responsibilities under this section and sections 16435-16439
below, and (4) procedural requirements and responsibilities as an enforcing agency under Labor Code
sections 1741-1743 and 1771.6 and sections 17201-17270 of Title 8 of the California Code of Regulations.
G. The failure of an Awarding Body or Labor Compliance Program to comply with any requirement imposed by
this subchapter shall not of itself constitute a defense to the failure to pay prevailing wages or to comply with
any other obligation imposed by Chapter 1 (commencing with Section 1720), Part 7, Division 2 of the Labor
Code.
H. Filing of Statements of Economic Interest (FPPC Form 700) by Designated Employees and Consultants
of Labor Compliance Program.
(1) An Awarding Body that operates either its own labor compliance program or that contracts with a third
party to operate all or part of its labor compliance program shall determine and designate those
employees and consultants of the program who participate in making governmental decisions for the
Awarding Body within the meaning of Title 2, California Code of Regulations, sections 18700 - 18702.4.
Those designated employees and consultants shall be required to file Statements of Economic Interest
(FPPC Form 700) and to comply with other applicable requirements of the Political Reform Act
(commencing with Section 87100 of the Government Code) in connection with work performed on behalf
of the Awarding Body.
(2) Designated employees and consultants who operate or are employed by a third party labor compliance
program shall file their Statements of Economic Interest (FPPC Form 700) with the filing officer of each
Awarding Body with which the third party program contracts, unless the Department of Industrial Relations
or the Fair Political Practices Commission specifies a different or alternative filing location.
I. Annual Report
(1) The Labor Compliance Program shall submit to the Director an annual report on its operation by no later
than August 31 of each year. The annual report shall cover the twelve month period commencing on July
5
1 of the preceding calendar year and ending on June 30 of the year in which the report is due. For good
cause, the Director may authorize a Labor Compliance Program to use a different reporting period and
provide for the annual report to be due no later than 60 days following the close of that reporting period.
(2) The annual report shall be made on the appropriate form [LCP-AR1, LCP-AR2, or LCP-AR3], for the type
of Labor Compliance Program that is submitting the report, unless the Director has agreed to a different
reporting format for a Program that has been granted extended authority under section 16427 above. A
third party Labor Compliance Program that contracted with more than one Awarding Body or Joint Powers
Authority during the annual reporting period shall separately report on Labor Code Section 1771.5(b)
enforcement activities for each Awarding Body or Joint Powers Authority covered by the report.
(3) Information in the Annual Report shall be reported in sufficient detail to afford a basis for evaluating the
scope and level of enforcement activity of the Labor Compliance Program. An annual report shall also
include such additional information as the Labor Compliance Program may be required to report as a
condition of its approval.
V. JOB CONFERENCE MEETING
A. Agenda
A Pre-Job conference meeting shall be held prior to the start of construction with all contractors and
subcontractors. At that meeting, the Labor Compliance Program Representative (LCPR) will discuss applicable
State and Federal labor law requirements applicable to the contract and will provide the contractor and each
attending subcontractor with a Checklist of Labor Law Requirements which addresses:
(1) The contractor’s and subcontractors’ duty to pay prevailing wages under Labor Code Section 1770, et
seq., should the project exceed the exemption amounts;
(2) The contractors and subcontractor’s duty to employ registered apprentices on public works projects under
Labor Code Section 1777.5;
(3) The penalties for failure to pay prevailing wages for nonexempt projects, failing to employ apprentices, and
failing to submit Certified Payroll reports which include forfeitures and debarment (Labor Code Sections
1775, 1776, 1777, and 1813);
(4) The requirement to maintain and submit copies of certified payroll reports records to the Awarding
Agency’s LCP Representative (Labor Code Section 1776) on a weekly basis and as stipulated in contract
documents. This requirement includes and applies to all subcontractors performing work on agency
projects even if their portion of the work is less than one- half of 1 percent of the total amount of the
contract, and penalties for failure to do so (Labor Code Section 1776(h);
(5) The prohibition against employment discrimination under Labor Code Sections 1735 and 1777.6; the
Government Code; and Title VII of the Civil Rights Act of 1964, as amended;
(6) The prohibition against accepting or extracting kickbacks from employee wages under Labor Code Section
1778;
(7) The prohibition against accepting fees for registering any person for public works under Labor Code
Section 1779 or for filling work orders on public works under Labor Code Section 1780;
(8) The requirement to list all subcontractors under Public Contracts Code Section 4104;
(9) The requirement to be properly licensed and to require all subcontractors to be properly licensed, and the
penalty for employing workers while unlicensed under Labor Code Section 1021 and 1021.5, and under
California Contractors License Law, found at Business and Professions Code Section 7000, et seq.;
(10) The prohibition against unfair competition under Business and Professions Code Sections 17200-17208;
(11) The requirement that the contractor and subcontractor be properly insured for Workers’ Compensation
under Labor Code Section 1861;
(12) The requirement that the contractor abide by the Occupational Safety and Health laws and regulations that
apply to the particular public works projects;
(13) The Federal Prohibition against hiring undocumented workers and the requirement to secure proof of
eligibility/citizenship from all workers;
(14) The requirement to provide itemized wage statements to employees under Labor Code Section 226; and
(15) The Contractor’s & Subcontractor’s requirement under Labor Code Section 1725.5, et seq. that a
contractor shall be registered pursuant to this section to be qualified to bid on, be listed in a bid proposal,
6
subject to the requirements of Section 4104 of the Public Contract Code, or engage in the performance of
any public work contract that is subject to the requirements of this chapter. For the purposes of this
section, "contractor" includes a subcontractor as defined by Section 1722.1.
B. The contractor(s) and subcontractor(s) present at the meeting will be given the opportunity to ask questions of
the LCPR relative to any of the Labor Law Requirements Checklist. The Checklist of Labor Law Requirements
will then be signed by the attending contractor and subcontractor representatives and submitted to the LCPR.
At the Pre-job conference the LCPR will provide the General Contractor (GC), or in the case of multi-prime
Construction Management (CM) project, the Construction Manager, with two (2) copies of applicable Prevailing
Wage Rate Determinations. All attending contractors and subcontractors shall be provided with instructions,
samples and blank certified payroll record forms, DAS-140 form, fringe benefit statements, State
apprenticeship requirements, and appropriate reference materials regarding Labor Code authorities for
program requirements. It will be the GC or CM’s responsibility to provide copies of the LCP package to any
substituted or non-attending contractor or subcontractor performing work on the Project.
VI. RESPONSIBILITY OF CONTRACTORS
A. Certified Payroll
(1) Certified Payroll Records Required
Each contractor and subcontractor shall keep accurate payroll records, showing the name, address, social
security number, work classification, straight time and overtime hours worked each day and week, and the
actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed by him
or her in connection with the public work. Each payroll record shall contain or be verified by a written
declaration that it is made under penalty of perjury, stating both of the following:
a. The information contained in the payroll record is true and correct.
b. The employer has complied with the requirements of Sections 1771, 1811, and 1815 for any work
performed by his or her employees on the public works project.
(2) Payroll records consist of, but are not limited to, time cards, front and back copies of canceled checks,
records of cash receipts, trust fund forms, accounting ledgers, tax forms, Superintendent and foreman
daily logs, employee sign in sheets and/or any other record maintained for the purpose of reporting payroll
etc. during the course of the work and shall preserve them for a period of three (3) years thereafter for all
trades workers working on the Awarding Agency’s project sites. Such records shall include the name,
address, and social security number of each worker, his or her classification, a general description of the
work each employee performed each day, the rate of pay including rates of contributions for, or costs
assumed to provide fringe benefit, daily and weekly number of hours worked, deductions made, and actual
wages paid.
B. Furnishing of Certified Payroll Records
(1) Unless required to be furnished directly to the Labor Commissioner in accordance with paragraph (3) of
subdivision (a) of Section 1771.4, the certified payroll records shall be on forms provided by the Division of
Labor Standards Enforcement or shall contain the same information as the forms provided by the division.
The payroll records may consist of printouts of payroll data that are maintained as computer records, if the
printouts contain the same information as the forms provided by the division and the printouts are verified
in the manner specified in subdivision VI.(1)(a.).
(2) A contractor or subcontractor shall file a certified copy of the records enumerated in subdivision (a) with
the entity that requested the records within 10 days after receipt of a written request.
(3) Except as provided in subdivision “d”, below, any copy of records made available for inspection as copies
and furnished upon request to the public or any public agency by the awarding body or the Division of
Labor Standards Enforcement shall be marked or obliterated to prevent disclosure of an individual’s name,
address, and social security number. The name and address of the contractor awarded the contract or the
7
subcontractor performing the contract shall not be marked or obliterated. Any copy of records made
available for inspection by, or furnished to, a multiemployer Taft-Hartley trust fund (29 U.S.C. Sec.
186(c)(5)) that requests the records for the purposes of allocating contributions to participants shall be
marked or obliterated only to prevent disclosure of an individual’s full social security number, but shall
provide the last four digits of the social security number. Any copy of records made available for inspection
by, or furnished to, a joint labor-management committee established pursuant to the federal Labor
Management Cooperation Act of 1978 (29 U.S.C. Sec. 175a) shall be marked or obliterated only to
prevent disclosure of an individual’s social security number.
(4) Notwithstanding any other provision of law, agencies that are included in the Joint Enforcement Strike
Force on the Underground Economy established pursuant to Section 329 of the Unemployment Insurance
Code and other law enforcement agencies investigating violations of law shall, upon request, be provided
non-redacted copies of certified payroll records. Any copies of records or certified payroll made available
for inspection and furnished upon request to the public by an agency included in the Joint Enforcement
Strike Force on the Underground Economy or to a law enforcement agency investigating a violation of law
shall be marked or redacted to prevent disclosure of an individual’s name, address, and social security
number.
(5) An employer shall not be liable for damages in a civil action for any reasonable act or omission taken in
good faith in compliance with this subdivision.
(6) The contractor shall inform the body awarding the contract of the location of the records enumerated
under subdivision (a), including the street address, city, and county, and shall, within five working days,
provide a notice of a change of location and address.
(7) The contractor or subcontractor has 10 days in which to comply subsequent to receipt of a written notice
requesting the records enumerated in subdivision (a). In the event that the contractor or subcontractor fails
to comply within the 10-day period, he or she shall, as a penalty to the state or political subdivision on
whose behalf the contract is made or awarded, forfeit one hundred dollars ($100) for each calendar day,
or portion thereof, for each worker, until strict compliance is effectuated. Upon the request of the Division
of Labor Standards Enforcement, these penalties shall be withheld from progress payments then due. A
contractor is not subject to a penalty assessment pursuant to this section due to the failure of a
subcontractor to comply with this section.
C. Reporting Format
(1) The format for reporting of payroll records requested pursuant to Labor Code Section 1776 shall be on a
form provided by the public entity. Copies of the forms may be procured at any office of the Division of
Labor Standards Enforcement (DLSE) throughout the state and/o Office of Policy Research and
Legislation (OPRL) P.O. Box 603 San Francisco, CA 94101, ATTENTION: Prevailing Wage Unit.
(2) Acceptance of any other format shall be conditioned upon the requirement that the alternate format
contain all of the information required pursuant to Labor Code Section 1776. If, however, the contractor
does not comply with the provisions of Labor Code Section 1776, the Labor Commissioner may require
the use of DIR's suggested format, “Public Works Payroll Reporting Form” (Form A-1-131).
(3) Words of Certification. The form of certification shall be as follows: I, ________________ (Name-print) the
undersigned, am ________________ (position in business) with the authority to act for and on behalf of
________________, (name of business and/or contractor) certify under penalty of perjury that the records
or copies thereof submitted and consisting of ________________ (description, no. of pages) are the
originals or true, full and correct copies of the originals which depict the payroll record(s) of the actual
disbursements by way of cash, check, or whatever form to the individual or individuals named.
Date:_________________ _____Signature:_______________ _____________
(4) A public entity may require a more strict and/or more extensive form of certification.
D. Cost of Preparation of Records Requested (CCR 16402)
Where records are requested by other than the Awarding Agency and its LCPR, the Division of Labor
Standards Enforcement (DLSE), the Division of Apprenticeship Standards or the worker, the cost of
preparation to each contractor, subcontractor, or public entity when the request was made shall be provided in
8
advance by the person seeking the payroll record. Such cost shall be $1 for the first page of the payroll record
and 25 cents for each page thereafter, plus $10 to the contractor or subcontractor for handling costs. Payment
in the form of cash, check or certified money order shall be made prior to release of the documents to cover
the actual costs of preparation.
E. Use of Electronic Reporting Forms (CCR 16404)
Certified payroll records required by Labor Code Section 1776 may be maintained and submitted electronically,
subject to the following conditions:
(1) Reports must contain all of the information required by Labor Code Section 1776;
(2) Information must be organized in a manner that is similar or identical to the Department of Industrial
Relations “Public Works Payroll Reporting Form” (Form A-1-131);
(3) Reports shall be in a format and use software that is readily accessible and available to Contractors,
Awarding Bodies, Labor Compliance Programs and the Department of Industrial Relations;
(4) Reports must be in the form of a non-modifiable image or record; and
(5) Reports must bear an electronic signature or include a copy of an original certification made on paper
or printed out and submitted on paper with an original signature.
(6) No contractor or subcontractor shall be mandated to submit or receive electronic reports when it
otherwise lacks the resources or capacity to do so, nor shall any contractor or subcontractor be
required to purchase or use proprietary software that is generally not available to the public.
F. Submission of Certified Payroll Records (CCR 16421(a)(3)
Certified payroll records shall be kept by the contractor in accordance with Labor Code Section 1776 and
furnished to the Labor Compliance Program at times designated in the contract, which shall be at least
monthly, or within 10 days of any request by the Awarding Body. Use of the current version of DIR's “Public
Works Payroll Reporting Form” (A-1-131) and Statement of Employer Payments (PW26) constitute
presumptive compliance with the requirement for certified payroll records kept in accordance with Labor Code
Section 1776, provided the forms are filled out accurately and completely. These suggested forms are
available from the Department of Industrial Relations.
G. Full Accountability
(1) The name, address and social security number of every individual, laborer or craftsperson working at the
project site must appear on the payroll. The basic concept is that the employer who pays the trade’s
worker must report that individual on its payroll. This includes individuals working as apprentices in an
apprenticeable craft. Licensed Owner-operators under contract shall report their own wages as provided
herein. Non-licensed Owner-Operators or those operating on a basis other than a formal contract shall be
reported by the contractor employing them. Rental equipment operators are to be reported by the rental
company paying the workers’ wages.
(2) Sole owners and partners who work on a contract must also submit a certified payroll record listing the
days and hours worked, and the trade classification descriptive of the work actually done.
(3) Contractors and subcontractors shall make the records required under this section available for inspection
by the LCPR , an authorized representative of the Awarding Agency, or the DLSE and the Division of
Apprenticeship Standards of the DIR, and shall permit such representatives to interview trades workers
during working hours on the project site
H. Responsibility for Subcontractors
A contractor shall be responsible for ensuring adherence to labor standards provisions by its subcontractor(s)
in accordance with Labor Code Sections 1725.5, 1771.4, 1774, 1775, 1776, 1777.5 and 1777.7.
9
I. Payment to Employees
Employees must be paid unconditionally, and not less often than once every two weeks, the full amounts that
are due and payable for the period covered by the particular payday. An employer must, therefore, establish a
fixed workweek (e.g., Sunday through Saturday) and an established payday such as every Friday or the
preceding day should such payday fall on a holiday. On each and every payday, each worker must be paid all
sums due as of the end of the preceding workweek and must be provided with an itemized wage statement.
J. Subcontractors
If an individual is called a subcontractor, when, in fact, he/she is merely a journey-level mechanic supplying
only his/her labor, such an individual would not be deemed a bona fide subcontractor and must be reported on
the payroll of the prime contractor who contracted for his or her services as a trade worker. Moreover, any
person who does not hold a valid contractor’s license cannot be a subcontractor, and anyone hired by that
person is the worker or employee of the general contractor who contracted for his or her services for purposes
of prevailing wage requirements, certified payroll reporting and workers’ compensation laws.
K. Required Wage Rates and Overtime
A worker’s rate for straight time hours must equal or exceed the rate specified in the contract by reference to
the Prevailing Wage Rate Determinations for the class of work actually performed. Any work performed on
Saturday, Sunday, and/or a holiday, or a portion thereof, must be paid the prevailing rate established for those
days regardless of the fixed workweek. The hourly rate for hours worked in excess of 8 hours in a day or 40
hours in a workweek shall be premium pay. All work performed in excess of 8 hours per day, 40 hours per
week, on Saturday, on Sunday, and on holidays shall be paid in accordance with the applicable Prevailing
Wage Determination
L. Apprentices
(1) Apprentices shall be permitted to work as such only when they are registered, individually, under a bona
fide Apprenticeship program registered with a State apprenticeship agency that is recognized by the State
Division of Apprenticeship Standards (DAS).
(2) Pursuant to Labor Code Section 1777.5 and Code of Regulations (CCR) Section 1, apprentices on public
works must be employed according to the ratio set by the apprenticeship standards under which each
Joint Apprenticeship Committee operates, the ratio of work performed by apprentices to journeymen
employed in a particular craft or trade on the public work may be no higher than the ratio stipulated in the
apprenticeship standards under which the apprenticeship program operates but in no case shall the ratio
be less than one (1) apprentice hour to each five (5) journeyman hours.
(3) Any worker listed on payroll records at an apprentice wage rate who is not a duly registered apprentice,
works in excess of the stipulated ratios permitted under Labor Code section 1777.5(g), works outside of
the scope of work for the craft/trade for which they are registered or perform work outside of the
prescribed geographic area of the apprenticeship program is not qualified to receive the apprentice rate
and shall be paid the journeyman level wage rate determined by the Department of Industrial Relations for
the classification of and locality in which the work was actually performed.
(4) If requested by the LCPR, the contractor shall furnish written evidence of the Apprenticeship Agreement,
Statement of Registration of its training program and apprentices, as well as the ratios allowed and the
wage rates required to be paid.
(5) Pre-apprentice trainees, trainees in non-apprenticeable crafts, and others who are not duly registered will
not be permitted on public works projects unless they are paid full prevailing wage rates as
journeypersons.
(6) Compliance with California Labor Code Section 1777.5 requires all public works contractors and
subcontractors to:
a. Provide specified contract award information to an applicable apprenticeship program for each
applicable apprenticeable craft (Labor Code Section 1777.5 (e);
10
b. All contractors must request dispatch of an apprentice from an apprenticeship program (for each
apprenticeable craft or trade) by giving the program actual notice of at least 72 hours (business days
only) before the date on which apprentices are required. If the apprenticeship committee from which
apprentice dispatch are requested does not dispatch apprentices as requested, the contractor must
request apprentice dispatch from another committee providing training in the applicable craft or trade
in the geographic area of the site of the public work, and must request apprentice dispatch from each
such committee, either consecutively or simultaneously, until the contractor has requested apprentice
dispatches from each such committee in the geographic area.
c. Employ apprentices on public works projects in a ratio to journeypersons as stipulated in the
Apprenticeship Standards under which each Joint Apprenticeship Committee operates, but in no case
shall the ratio be less than one (1) apprentice to each five (5) journeyperson hours unless a Certificate
of Exemption is provided to the LCPR for the Awarding Agency; and
d. Contribute to the training fund in the amount identified in the prevailing wage rate publication for
journeypersons and apprentices. Where the trust fund administrators cannot accept the contributions,
then payment shall be made to the California Apprenticeship Council, P. O. Box 511283, Los
Angeles, California 90051-7838.
(7) It should be noted that a prior approval for a separate project does not confirm approval to train on any
project. The contractor/subcontractor must check with the applicable Joint Apprenticeship Committee to
verify status.
VII. ENFORCEMENT
A. Duty of the Awarding Agency and LCP
(1) The Awarding Agency, pursuant to its approved LCP, has a duty to the Director of the Department of
Industrial Relations to ensure compliance of contractors and enforce the Public Works Chapter of the
Labor Code and Title 8 of the Code of Regulations in a manner consistent with the practice of the Labor
Commissioner. The LCPR for the Awarding Agency will maintain records relating to activities and relevant
facts that pertain to each project that demonstrates that reasonable and sufficient efforts have been made
to enforce prevailing wage requirements.
(2) Nothing in this section shall be construed as limiting the responsibility and authority of an Awarding Body
to take cognizance of prevailing wage violations under Section 1726 of the Labor Code and take any
appropriate action pursuant to and in accordance with that responsibility and authority. The LCPR shall
take reasonable, vigorous, and prompt action to (1) determine whether violations exist, and (2) enforce
compliance, including through imposition of appropriate penalties and formal enforcement action, when
violations are found. A Labor Compliance Program shall neither avoid use of its enforcement authority
based on cost considerations nor shall it use that authority in an unreasonable manner to gain leverage
over a contractor or subcontractor. Unreasonable use of enforcement authority includes, but is not
necessarily limited to, prolonged or excessive withholdings of contract payments without making a
determination that a violation has occurred.
(3) [CCR 16432(a)] The primary function of the Labor Compliance Program is to ensure that public works
contractors comply with the prevailing wage requirements found in the Public Works Chapter of the Labor
Code. This regulation is intended to establish minimum requirements which all Labor Compliance
Programs shall meet or exceed in carrying out that function. Definitions found throughout this regulation
are intended to provide Labor Compliance Programs and representatives of the Department of Industrial
Relations and the Division of Labor Standards Enforcement with common terminology as they each
perform their respective roles in prevailing wage enforcement in furtherance of the Labor Code provisions
establishing Labor Compliance Programs. This regulation is also intended to confirm that the proactive
investigation methods, as described in detail herein, only comprise the minimum obligations required of
Labor Compliance Programs to satisfy their duty to the Director to operate a Labor Compliance Program
as specified in CCR Sections 16428 and 16434.
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(4) A Labor Compliance Program shall have a duty to the Director to enforce the requirements of Chapter 1 of
Part 7 of Division 2 of the Labor Code and these regulations in a manner consistent with the practice of
the Labor Commissioner. It is the practice of the Labor Commissioner to refer to the Director's ongoing
advisory service of web-posted public works coverage determinations as a source of information and
guidance in making enforcement decisions. It is also the practice of the Labor Commissioner to be
represented by an attorney in prevailing wage hearings conducted pursuant to Labor Code Section
1742(b) and sections 17201-17270 of Title 8 of the California Code of Regulations. (CCR 16434(a)).
(5) The failure of an Awarding Body or Labor Compliance Program to comply with any requirement imposed
by this subchapter shall not of itself constitute a defense to the failure to pay prevailing wages or to comply
with any other obligation imposed by Chapter 1 (commencing with Section 1720), Part 7, Division 2 of the
Labor Code.
B. Request for Certified Payroll Records
(1) Requests may be made by any person for certified copies of payroll records. Requests shall be made to
any of the following:
a. the body awarding the contract, or
b. any office of the Division of Labor Standards Enforcement, or the Division of Apprenticeship Standards.
(2) Requests for certified copies of payroll records pursuant to Section 1776 of the Labor Code may be made
by any person. However, any such request shall be in writing and contain at least the following
information:
a. The body awarding the contract;
b. The contract number and/or description;
c. The particular job location if more than one;
d. The name of the contractor;
e. The regular business address, if known.
(3) Requests for records of more than one contractor of subcontractor must list the information regarding that
contractor individually, even if all requests pertain to the same particular public works project. Blanket
requests covering an entire public works project will not be accepted; unless contractor and subcontractor
responsibilities regarding the project are not clearly defined.
(4) Acknowledgment of Request. The public entity receiving a request for payroll records shall acknowledge
receipt of such, and indicate the cost of providing the payroll records based on an estimate by the
contractor, subcontractor or public entity. The acknowledgment of the receipt of said request for payroll
records may be accomplished by the public entity's furnishing a copy of its written correspondence
requesting certified copies of the payroll records sent to the specific contractor pursuant to Section
16400(d) below, to the person who requested said records.
(5) Request to Contractor. The request for copies of payroll records by the requesting public entity shall be in
any form and/or method which will assure and evidence receipt thereof. The request shall include the
following:
a. Specify the records to be provided and the form upon which the information is to be provided;
b. Conspicuous notice of the following:
(i) that the person certifying the copies of the payroll records is, if not the contractor, considered as
an agent acting on behalf of the contractor; and
(ii) that failure to provide certified copies of the records to the requesting public entity within 10
working days of the receipt of the request will subject the contractor to a penalty of one-hundred
($100.00) dollars per calendar day or portion thereof for each worker until strict compliance is
effectuated;
(iii) Cost of preparation as provided in Section 16402; and
(iv) Provide for inspection.
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(6) Inspection of Payroll Records. Inspection of the original payroll records at the office of the contractor(s)
pursuant to subdivision (b) of Section 1776 of the Labor Code shall be limited to the public entities upon
reasonable written or oral notice.
(7) In the conduct of investigations reasonably required to undertake its responsibilities as set forth in CCR
Section 16421, the LCPR shall request such additional records as may reasonably be required for that
purpose, to include but not limited to those enumerated within CCR Section 16000.
(8) The request for copies of payroll records by the LCPR shall be in any form and/or method which will
assure and evidence receipt thereof. The request shall include the following: (i) Specify the records to be
provided and the form upon which the information is to be provided; (ii) Conspicuous notice that the
person certifying the copies of the payroll records is, if not the contractor, considered as an agent acting
on behalf of the contractor; and; (iii) that failure to provide certified copies of the records to the requesting
public entity within 10 working days of the receipt of the request will subject the contractor to a penalty of
one hundred ($100.00) dollars per calendar day or portion thereof for each worker until strict compliance is
effectuated and; provide for inspection, where feasible.
C. Records Requested for Use by the Labor Compliance Program
Where records are requested from a contractor or subcontractor by the Awarding Agency’s LCPR in the normal
course of its duties, those records shall be provided to the LCPR un-redacted and without cost.
D. Privacy Considerations (CCR 16403)
(1) Records received from the employing contractor shall be kept on file in the office or entity that processed
the request for at least 6 months following completion and acceptance of the project. Thereafter, they may
be destroyed unless administrative, judicial or other pending litigation, including arbitration, mediation or
other methods of dispute resolution, are in process. Copies on file shall not be obliterated in the manner
prescribed in subdivision (b) below;
(2) Copies provided to the public upon written request shall be marked, obliterated or provided in such a
manner that the name, address and Social Security number, and other private information pertaining to
each employee cannot be identified. All other information including identification of the contractor shall not
be obliterated;
(3) the public entity may affirm or deny that a person(s) was or is employed on a public works contract (by a
specific contractor) when asked, so long as the entity requires such information of an identifying nature
which will reasonably preclude release of private or confidential information.
E. Withholding Contract Payments When Payroll Records are Delinquent or Inadequate (CCR § 16435)
(1) “Withhold” means to cease payments by the Awarding Body, or others who pay on its behalf, or agents, to
the general contractor. Where the violation is by a subcontractor, the general contractor shall be notified of
the nature of the violation and reference made to its rights under Labor Code Section 1729.
(2) “Contracts.” Except as otherwise provided by agreement, only contracts under a single master contract,
including a Design-Build contract, or contracts entered into as stages of a single project, may be the
subject of withholding.
(3) “Delinquent payroll records” means those not submitted on the date set in the contract.
(4) “Inadequate payroll records” are any one of the following:
a. A record lacking any of the information required by Labor Code Section 1776;
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b. A record which contains all of the required information but is not certified, or is certified by someone who
is not an agent of the contractor or subcontractor;
c. A record remaining uncorrected for one payroll period, after the Labor Compliance Program has given
the contractor or subcontractor notice of inaccuracies detected by audit or record review. However
prompt correction will stop any duty to withhold if such inaccuracies do not amount to 1 percent of the
entire Certified Weekly Payroll in dollar value and do not affect more than half the persons listed as
workers employed on that Certified Weekly Payroll, as defined in Labor Code Section 1776 and section
16401 of Title 8 of the California Code of Regulations.
(5) The withholding of contract payments when payroll records are delinquent or inadequate is required by
Labor Code Section 1771.5(b)(5), and it does not require the prior approval of the Labor Commissioner.
The Awarding Body shall only withhold those payments due or estimated to be due to the contractor or
subcontractor whose payroll records are delinquent or inadequate, plus any additional amount that the
Labor Compliance Program has reasonable cause to believe may be needed to cover a back wage and
penalty assessment against the contractor or subcontractor whose payroll records are delinquent or
inadequate; provided that a contractor shall be required in turn to cease all payments to a subcontractor
whose payroll records are delinquent or inadequate until the Labor Compliance Program provides notice
that the subcontractor has cured the delinquency or deficiency.
(6) When contract payments are withheld under this section, the Labor Compliance Program shall provide the
contractor and subcontractor, if applicable, with immediate written notice that includes all of the following:
(1) a statement that payments are being withheld due to delinquent or inadequate payroll records, and that
identifies what records are missing or states why records that have been submitted are deemed
inadequate; (2) specifies the amount being withheld; and (3) informs the contractor or subcontractor of the
right to request an expedited hearing to review the withholding of contract payments under Labor Code
Section 1742, limited to the issue of whether the records are delinquent or inadequate or the Labor
Compliance Program has exceeded its authority under this section.
(7) No contract payments shall be withheld solely on the basis of delinquent or inadequate payroll records
after the required records have been produced.
(8) In addition to withholding contract payments based on delinquent or inadequate payroll records, penalties
shall be assessed under Labor Code Section 1776(g) for failure to timely comply with a written request for
certified payroll records. The assessment of penalties under Labor Code Section 1776(g) does require the
prior approval of the Labor Commissioner under CCR Title 8 Section 1643.
F. On-Site Visits (CCR 16432(d) )
(1) The Awarding Agency’s LCPR shall conduct in-person inspections at the site or sites at which the contract for
public work is being performed (“On-Site Visits”). On-Site Visits may be undertaken randomly or as deemed
necessary by the LCPR, but shall be undertaken during each week that workers are present at sites at which
the contract for public work is being performed. All On-Site Visits shall include visual inspection of:
a. The copy of the determination(s) of the Director of Industrial Relations of the prevailing wage rate of per
diem wages required to be posted at each job site in compliance with Labor Code Section 1773.2, and
b. The Notice of Labor Compliance Program Approval required to be posted at the job site in accordance
with Code of Regulations Section 16429, listing a telephone number to call for inquiries, questions, or
assistance with regard to the Labor Compliance Program and/or;
c. On each job site that is subject to compliance monitoring and enforcement by the Department of Industrial
Relations, the Awarding Agency shall post or require the prime contractor to post a Notice containing the
language in Code of Regulations Section 16451(d).
(2) On-Site Visits may include other activities deemed necessary by the Awarding Agency’s LCPR to
independently corroborate prevailing wage payments reported on payroll records furnished by contractors and
subcontractors.
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Complaints
Upon receipt of a written complaint alleging that a contractor or subcontractor has failed to pay prevailing wages as
required by the Labor Code, the LCPR shall do all of the following:
(1) Within 15 days after receipt of the complaint, send a written acknowledgment to the complaining party that the
complaint has been received and identifying the name, address, and telephone number of the investigator
assigned to the complaint;
(2) Within 15 days after receipt of the complaint, provide the affected contractor with the notice required under
Labor Code section 1775(c) if the complaint is against a subcontractor;
(3) Notify the complaining party in writing of the resolution of the complaint within ten days after the complaint has
been resolved by the LCPR;
(4) Notify the complaining party in writing at least once every 30 days of the status of a complaint that has not
been resolved by the LCPR; and
(5) Notify the complaining party in writing at least once every 90 days of the status of a complaint that has been
resolved by the LCPR but remains under review or in litigation before another entity.
H. Review of Certified Payroll Records (CCR Sections 16432(b)
Payroll records furnished by contractors and subcontractors in accordance with section 16421(a)(3) above, and in a
format prescribed at section 16401 of Title 8 of the California Code of Regulations, shall be reviewed by the Labor
Compliance Program as promptly as practicable after receipt thereof, but in no event more than 30 days after such
receipt. “Review” for this purpose shall be defined as inspection of the records furnished to determine if (1) all
appropriate data elements identified in Labor Code Section 1776(a) have been reported; (2) certification forms
have been completed and signed in compliance with Labor Code Section 1776(b); and (3) the correct prevailing
wage rates have been reported as paid for each classification of labor listed thereon, with confirmation of payment
in the manner and to the extent described in subpart (c) below.
I. Confirmation of Certified Payroll Records (CCR 16432(c) )
(1) “Confirmation” of payroll records furnished by contractors and subcontractors shall be defined as an
independent corroboration of reported prevailing wage payments. Confirmation may be accomplished through
worker interviews, examination of paychecks or paycheck stubs, direct confirmation of payments from third
party recipients of “Employer Payments” (as defined at section 16000 of Title 8 of the California Code of
Regulations), or any other reasonable method of corroboration.
(2) For each month in which a contractor or subcontractor reports having workers on the project, confirmation of
furnished records will be undertaken randomly for at least one worker for at least one weekly period within that
month. Confirmation will also be undertaken whenever the Awarding Agency’s LCPR receives a complaint or
other circumstances or information suggests that payroll records may be inaccurate.
J. Audit of Certified Payroll Records (CCR 16432(e) )
(1) Audits will be conducted by the Awarding Agency’s LCPR when it is determined that a violation of the Public
Works Chapter of the Labor Code has occurred. Audits shall also be conducted at the request of the Labor
Commissioner.
(2) An audit shall consist of a written summary reflecting prevailing wage deficiencies for each underpaid worker
and include any penalties to be assessed under Labor Code Sections 1775 and 1813, as determined by the
LCPR, after a comparison and consideration of the best information available as to the actual hours worked,
amounts paid and classifications of workers employed in connection with the project. Such available
information may include, but is not limited to:
a. Worker Interviews;
b. Complaints from workers or other interested persons;
c. All time cards, cancelled checks, cash receipts, trust fund forms;
d. All books, documents, schedules, forms, reports, receipts or other evidences which reflect job
assignments;
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e. Work schedules by days and hours; and
f. The disbursement by way of cash, check, or in whatever form or manner, of funds to a person(s) by job
classification and/or skill pursuant to the public works project.
(3) The audit record form as provided for in Code of Regulations Section 16432 Appendix B, accompanied by a
brief narrative identifying the Bid Advertisement Date of the public work contract, a summary of the nature of
the violation and the basis upon which the determination was made, presumptively demonstrates the sufficient
detail that will enable the Labor Commissioner to determine the amount, if requested, of forfeiture under Code
of Regulations Section 16437, draw reasonable conclusions as to the compliance with the requirements of the
Public Works Chapter of the Labor Code and enable accurate computation of underpayments of wages and
applicable penalties and forfeitures.
K. Notification and Informal Resolution (CCR 16432(f) )
After the Labor Compliance Program has determined that violations of the prevailing wage laws have resulted
in the underpayment of wages and an audit has been prepared, notification shall be provided to the contractor
and affected subcontractor of an opportunity to resolve the wage deficiency prior to a determination of the
amount of forfeiture by the Labor Commissioner pursuant to these regulations. The contractor and affected
subcontractor shall be provided at least 10 days following such notification to submit exculpatory information
consistent with the “good faith mistake” factors set forth in Labor Code Section 1775(a)(2)(A)(i) and (ii). If,
based upon the contractor's submission, the Labor Compliance Program reasonably concludes that the failure
to pay the correct wages was a good faith mistake, and has no knowledge that the contractor and affected
subcontractor have a prior record of failing to meet their prevailing wage obligations, the Labor Compliance
Program shall not be required to request the Labor Commissioner for a determination of the amount of
penalties to be assessed under Labor Code Section 1775 if the underpayment of wages to workers is promptly
corrected and proof of such payment is submitted to the Labor Compliance Program. For each instance in
which a wage deficiency is resolved in accordance with this regulation, the Labor Compliance Program shall
maintain a written record of the failure of the contractor or subcontractor to meet its prevailing wage obligation.
The record shall identify the public works project, the contractor or affected subcontractor involved, and the
gross amount of wages paid to workers to resolve the prevailing wage deficiency; and the record shall also
include a copy of the Audit prepared pursuant to subpart (e) above along with any exculpatory information
submitted to the Labor Compliance Program by the affected contractor or subcontractor.
L. Withholding Contract Payments When, After Investigation, It Is Established That Underpayment or
Other Violation Has Occurred (CCR 16435.5)
(1) “Withhold” and “contracts” have the same meaning set forth in CCR Sections 16435(a) and 16435(b).
(2) Where the violation is by a subcontractor, the general contractor shall be notified of the nature of the violation
and reference made to its rights under Labor Code Section 1729.
(3) “Amount equal to the underpayment” is the total of the following determined by payroll review, audit, or
admission of contractor or subcontractor:
a. The difference between amounts paid workers and the correct General Prevailing Rate of Per Diem
Wages, as defined in Labor Code Section 1773, and determined to be the prevailing rate due workers in
such craft, classification or trade in which they were employed and the amounts paid;
b. The difference between amounts paid on behalf of workers and the correct amounts of Employer
Payments, as defined in Labor Code Section 1773.1 and determined to be part of the prevailing rate costs
of contractors due for employment of workers in such craft, classification or trade in which they were
employed and the amounts paid;
c. Estimated amounts of “illegal taking of wages”;
d. Amounts of apprenticeship training contributions paid to neither the program sponsor's training trust nor
the California Apprenticeship Council;
e. Estimated penalties under Labor Code Sections 1775, 1776, and 1813.
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(4) The withholding of contract payments when, after investigation, it is established that underpayment or other
violations have occurred requires the prior approval of the Labor Commissioner under sections 16436 and
16437 of these regulations.
M. Provisions Relating to the Penalties Under Labor Code Sections 1775, 1776, 1777.7, 1813 and 1741
(1) Pursuant to Labor Code Section 1775, the contractor and any subcontractor under the contractor shall, as a
penalty to the state or political subdivision on whose behalf the contract is made or awarded; forfeit not more
than two hundred dollars ($200) for each day, or portion thereof, for each worker paid less than the prevailing
wages:
a. The penalty may not be less than forty dollars ($40) for each calendar day, or portion thereof, for each
worker paid less than the prevailing wage rate, unless the failure of the contractor or subcontractor to pay
the correct rate of per diem wages was a good faith mistake and, if so, the error was promptly and
voluntarily corrected when brought to the attention of the contractor or subcontractor.
b. The penalty may not be less than eighty dollars ($80) for each calendar day, or portion thereof, for each
worker paid less than the prevailing wage rate, if the contractor or subcontractor has been assessed
penalties within the previous three years for failing to meet its prevailing wage obligations on a separate
contract, unless those penalties were subsequently withdrawn or overturned.
c. The penalty may not be less than one hundred twenty dollars ($120) for each calendar day, or portion
thereof, for each worker paid less than the prevailing wage rate, if the Labor Commissioner determines
that the violation was willful, as defined in Labor Code Section 1777.1.
d. When the amount due under Labor Code Section 1775 is collected from the contractor or subcontractor,
any outstanding wage claim under Chapter 1 (commencing with Section 1720) of Part 7 of Division 2 of
the Labor Code against that contractor or subcontractor shall be satisfied before applying that amount to
the penalty imposed on that contractor or subcontractor pursuant to Section 1775.
The prime contractor of the project is not liable for any penalties under Labor Code 1775(a) unless the
prime contractor had knowledge of that failure of the subcontractor to pay the specified prevailing rate of
wages to those workers or unless the prime contractor fails to comply with the requirements of Labor
Code 1775 (b) (1-4).
(2) In the event that the contractor or subcontractor fails to comply subsequent to receipt of a written notice
requesting the records enumerated in Labor Code Section 1776 (a) within the 10-day period, he or she shall,
as a penalty to the state or political subdivision on whose behalf the contract is made or awarded, forfeit one
hundred dollars ($100) for each calendar day, or portion thereof, for each worker, until strict compliance is
effectuated. Upon the request of the Division of Apprenticeship Standards or the Division of Labor Standards
Enforcement, these penalties shall be withheld from progress payments then due. A contractor is not subject to
a penalty assessment pursuant to Labor Code Section 1776 due to the failure of a subcontractor to comply
with this section.
(3) In the case of overtime violations , Labor Code Section 1813 establishes that the contractor or subcontractor
shall, as a penalty to the state or political subdivision on whose behalf the contract is made or awarded, forfeit
twenty-five dollars ($25) for each worker employed in the execution of the contract by the respective contractor
or subcontractor for each calendar day during which such worker is required or permitted to work more than 8
hours in any one calendar day and 40 hours in any one calendar week, in violation of the provisions of Article
3, Chapter 1, Part 7 of Division 2 of the Labor Code. The Awarding Agency shall take cognizance of all
violations of Article 3 (Labor Code Sections 1810-1815).
(4) Pursuant to Labor Code Section 1777.5, the contractor and subcontractor are required to employ registered
apprentices on public works projects. Each contractor and subcontractor shall keep an accurate payroll record
relative to apprentices per Section 1776 of the Labor Code. The contractor or subcontractor found in violation
of Labor Code Section 1777.5 shall forfeit as a civil penalty an amount not to exceed one hundred dollars
($100) for each full calendar day of noncompliance. Any contractor or subcontractor who knowingly commits
subsequent violations of Labor Code Section 1777.5 within a three year period could face a civil penalty of not
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more than three hundred dollars ($300) for each full day of noncompliance and the possibility of being denied
the right to bid on, be awarded or perform work on any public works project for up to three years.
(5) Pursuant to Labor Code Section 1741(b), interest shall accrue on all due and unpaid wages at the rate
described in subdivision (b) of Section 3289 of the Civil Code. The interest shall accrue from the date that the
wages were due and payable, as provided in Article 1, Chapter 1, Part 7 (commencing with Section 1720) of
Division 2 of the Labor Code, until the wages are paid.
(6) Pursuant to Labor Code Section 1741(c), the Labor Commissioner shall maintain a public list of the names of
each contractor and subcontractor who has been found to have committed a willful violation of Section 1775 or
to whom a final order, which is no longer subject to judicial review, has been issued. The list shall include the
date of each assessment, the amount of wages and penalties assessed, and the amount collected. The list
shall be updated at least quarterly, and the contractor's or subcontractor's name shall remain on that list until
the assessment is satisfied, or for a period of three years beginning from the date of the issuance of the
assessment, whichever is later.
N. Forfeitures Requiring Approval by the Labor Commissioner (8 CCR Section 16436)
(1) For purposes of 8 CCR Sections 16436 and 16437, “forfeitures” means the amount of wages, penalties, and
forfeitures assessed by the Labor Compliance Program and proposed to be withheld pursuant to Labor Code
section 1771.6(a), and includes the following: (1) the difference between the prevailing wage rates and the
amount paid to each worker for each calendar day or portion thereof for which each worker was paid less than
the prevailing wage rate by the contractor or subcontractor; and (2) penalties assessed under Labor Code
Sections 1775, 1776 and 1813.
(2) If the aggregate amount of forfeitures assessed as to a contractor or subcontractor is less than $1000.00, the
forfeitures shall be deemed approved by the Labor Commissioner upon service and the Labor Commissioner's
receipt of copies of the following: (1) the Notice of Withholding of Contract Payments authorized by Labor Code
Section 1771.6(a); (2) an Audit as defined in section 16432(e) of these regulations, and (3) a brief narrative
identifying the Bid Advertisement Date of the contract for public work and summarizing the nature of the
violation, the basis of the underpayment, and the factors considered in determining the assessment of
penalties, if any, under Labor Code Section 1775.
(3) For all other forfeitures, approval by the Labor Commissioner shall be requested and obtained in accordance
with section 16437 below.
O. Determination of Amount of Forfeiture by the Labor Commissioner (CCR Section 16437)
(1) Where the Labor Compliance Program requests a determination of the amount of forfeiture, the request shall
include a file or report to the Labor Commissioner which contains at least the information specified in subparts
(a) through (i) below. Appendix D is a suggested format for a Request for Approval of Forfeiture under this
section.
a. Whether the public work has been accepted by the awarding body and whether a valid notice of
completion has been filed, the dates if any when those events occurred, and the amount of funds being
held in retention by the Awarding Body;
b. Any other deadline which if missed would impede collection;
c. Evidence of violation, in narrative form;
d. Evidence of violation obtained under section 16432 of these regulations and a copy of the Audit prepared
in accordance with section 16432(e) setting forth the amounts of unpaid wages and applicable penalties;
e. Evidence that before the forfeiture was sent to the Labor Commissioner (A) the contractor and
subcontractor were given the opportunity to explain why there was no violation, or that any violation was
caused by good faith mistake and promptly corrected when brought to the contractor or subcontractor's
attention, and (B) the contractor and subcontractor either did not do so or failed to convince the Labor
Compliance Program of its position;
f. Where the Labor Compliance Program seeks not only wages but also a penalty as part of the forfeiture,
and the contractor or subcontractor has unsuccessfully contended that the cause of violation was a good
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faith mistake that was promptly corrected when brought to the contractor or subcontractor's attention, a
short statement should accompany the proposal for a forfeiture, with a recommended penalty amount
pursuant to Labor Code Section 1775(a);
g. Where the Labor Compliance Program seeks only wages or a penalty less than $50 per day as part of the
forfeiture because the contractor or subcontractor has successfully contended that the cause of the
violation was a good faith mistake that was promptly corrected when brought to the contractor or
subcontractor's attention, the file should include the evidence as to the contractor or subcontractor's
knowledge of his or her obligation, including the program's communication to the contractor or
subcontractor of the obligation in the bid invitations, at the pre-job conference agenda and records, and
any other notice given as part of the contracting process. With the file should be a statement, similar to
that described in (6), and recommended penalty amounts, pursuant to Labor Code Section 1775(a);
h. The previous record of the contractor and subcontractor in meeting their prevailing wage obligations; and
i. Whether the Labor Compliance Program has been granted approval on only an interim or temporary basis
under sections 16425 or 16426 above or whether it has been granted extended approval under section
16427 above.
(2) The file or report shall be served on the Labor Commissioner as soon as practicable after the violation has
been discovered, and not less than 30 days before the final payment, but in no event not less than 30 days
before the expiration of the limitations period set forth in Labor Code Section 1741.
(3) A copy of the recommended forfeiture and the file or report shall be served on the contractor and subcontractor
at the same time as it is sent to the Labor Commissioner. The Labor Compliance Program may exclude from
the documents served on the contractor and subcontractor copies of documents secured from the contractor or
subcontractor during an audit, investigation, or meeting if those are clearly referenced in the file or report.
(4) The Labor Commissioner shall affirm, reject, or modify the forfeiture in whole or in part as to the wages and
penalties due.
(5) The Labor Commissioner's determination of the forfeiture is effective on one of the two following dates:
a. For all programs other than those having extended authority under section 16427 of these regulations, on
the date the Labor Commissioner serves by first class mail, on the Labor Compliance Program, on the
Awarding Body if different, on the contractor and on the subcontractor, if any, an endorsed copy of the
proposed forfeiture, or a newly drafted forfeiture statement which sets out the amount of forfeiture
approved. Service on the contractor or subcontractor is effective if made on the last address supplied by
the contractor or subcontractor in the record. The Labor Commissioner's approval, modification or
disapproval of the proposed forfeiture shall be served within 30 days of receipt of the proposed forfeiture.
b. For programs with extended authority under section 16427 above, approval is effective 20 days after the
requested forfeitures are served upon the Labor Commissioner, unless the Labor Commissioner serves a
notice upon the parties, within that time period, that this forfeiture request is subject to further review. For
such programs, a notice that approval will follow such a procedure will be included in the transmittal of the
forfeiture request to the contractor. If the Labor Commissioner notifies the parties of a decision to
undertake further review, the Labor Commissioner's final approval, modification or disapproval of the
proposed forfeiture shall be served within 30 days of the date of notice of further review.
P. Withholding Procedures after Forfeiture Determination by the Labor Commissioner
(1) The LCPR shall provide a Notice of Withholding of Contract Payments to the contractor and subcontractor,
if applicable. The notice shall be in writing and shall describe the nature of the violation and the amount of
wages, penalties and liquidated damages being withheld. Service of the notice shall be completed
pursuant to Code of Civil Procedure Section 1013 by first-class and certified mail to the contractor and
subcontractor, if applicable. The notice shall advise the contractor and subcontractor, if applicable, of the
procedure for obtaining review of the withholding of contract payments.
(2) The LCPR shall also serve a copy of the notice by certified mail to any bonding company issuing a bond
that secures the payment of wages covered by the notice and to any surety on a bond, if their identities
are known to the Awarding Agency.
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(3) Where the violation is by a subcontractor, the general contractor shall be notified of the nature of the
violation and reference made to its rights under Labor Code Section 1729.
(4) A release bond under Civil Code Section 3196 may not be posted for the release of the funds being
withheld for the violation of the prevailing wage law.
(5) The withholding of contract payments in accordance with Labor Code Section 1726 or 1771.5 shall be
reviewable under Labor Code Sections 1771.6 (b) and 1742 and Code of Regulations sections 17201-
17270 in the same manner as if the notice of the withholding was a civil penalty order of the Labor
Commissioner. If review is requested, the LCPR may request the Labor Commissioner to intervene to
represent it.
(6) Pending a final order, or the expiration of the time period for seeking review of the notice of the
withholding, the Awarding Agency shall not disburse any contract payments withheld.
Q. Settlement Meeting
(1) In accordance with Labor Code section 1742.1 (b), the LCPR shall, upon receipt of a request from the
affected contractor or subcontractor within 30 days following the service of the Notice of Withholding of
Contract Payments, afford the contractor or subcontractor the opportunity to meet with the LCPR to
attempt to settle a dispute regarding the notice.
a. The settlement meeting may be held in person or by telephone and shall take place before the
expiration of the 60-day period seeking a hearing as set forth below under the heading Request for
Review of Notice of Withholding of Contract Payments;
b. No evidence of anything said or any admission made for the purpose of, in the course of, or pursuant
to, the settlement meeting is admissible or subject to discovery in any administrative or civil
proceeding;
c. No writing prepared for the purpose, in the course of, or pursuant to, the settlement meeting, other
than a final settlement agreement, is admissible or subject to discovery in any administrative or civil
proceeding;
d. This opportunity to timely request an informal settlement meeting is in addition to the right to obtain a
formal hearing; and
e. A settlement meeting may be requested even if a written Request for Review has already been made.
(2) Requesting a settlement meeting does not extend the 60-day period during which a formal hearing may be
requested.
R. Request for Review of Notice of Withholding of Contract Payments
(1) An affected contractor or subcontractor may obtain review of a Notice of Withholding of Contract Payments
under this chapter by transmitting a written request for a review hearing to the LCPR within 60 days after
service of the Notice of Withholding of Contract Payments. The LCPR shall have the rights and responsibilities
of the Enforcing Agency (Code of Regulations section 17202 (f)) in responding to the request for review,
including but not limited to the obligations to serve notices, transmit the Request for Review to the hearing
office, and provide an opportunity to review evidence in a timely manner, to participate through counsel in all
hearing proceedings, and to meet the burden of establishing prima facie support for the Notice of Withholding
of Contract Payments. If no hearing is requested within 60 days after the service of the Notice of Withholding of
Contract Payments, the Notice of Withholding of Contract Payments shall become final.
(2) If a contractor or subcontractor seeks review of the LCPR’s enforcement action, the Labor Commissioner may
intervene to represent the Awarding Agency, or to enforce relevant provisions of the Labor Code consistent
with the practice of the Labor Commissioner, or both.
(3) Except in cases where the Labor Commissioner has intervened pursuant to subpart (b) above, the LCPR shall
have the authority to prosecute, settle, or seek the dismissal of any Notice of Withholding of Contract
Payments issued pursuant to Labor Code Section 1771.6 and any review proceeding under Labor Code
Section 1742, without any further need for approval by the Labor Commissioner. Whenever the LCPR settles
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in whole or in part or seeks and obtains the dismissal of a Notice of Withholding of Contract Payments or a
review proceeding under Labor Code Section 1742, the LCPR shall document the reasons for the settlement
or request for dismissal and shall make that documentation available to the Labor Commissioner upon request.
S. Review of Notice of Withholding of Contract Payments
(1) Within ten days following the receipt of the request for a review hearing, the LCPR shall transmit to the Office
of the Director-Legal Unit the request for review and copies of the Notice of Withholding of Contract Payments,
any audit summary that accompanied the notice, and a proof of service or other documents showing the name
and address of any bonding company or surety that secures the payment of the wages covered by the notice.
(2) The LCPR shall be represented by an attorney in prevailing wage hearings conducted pursuant to Labor Code
Section 1742(b) and Code of Regulations sections 17201 – 17270.
T. Determination and Ruling on the Review by the Department of Industrial Relations
(1) Upon receipt of a timely request, a hearing shall be commenced within 90 days before the director, who shall
appoint an impartial hearing officer possessing the qualifications of an administrative law judge pursuant to
subdivision (b) of Section 11502 of the Government Code. The appointed hearing officer shall be an employee
of the department, but shall not be an employee of the Division of Labor Standards Enforcement. The
contractor or subcontractor shall be provided an opportunity to review evidence, pursuant to Labor Code
Section 1742 (b), to be utilized by the LCPR at the hearing within 20 days of the receipt by the LCPR of the
written request for a hearing. Any evidence obtained by the LCPR subsequent to the 20-day cutoff shall be
promptly disclosed to the contractor or subcontractor. The contractor or subcontractor shall have the burden of
proving that the basis for the Notice of Withholding of Contract Payments is incorrect. The Notice of
Withholding of Contract Payments shall be sufficiently detailed to provide fair notice to the contractor or
subcontractor of the issues at the hearing. Within 45 days of the conclusion of the hearing, the director shall
issue a written decision affirming, modifying, or dismissing the assessment. The decision of the director shall
consist of a notice of findings, findings, and an order. This decision shall be served on all parties pursuant to
Section 1013 of the Code of Civil Procedure by first-class mail at the last known address of the party on file
with the LCP. Within 15 days of the issuance of the decision, the director may reconsider or modify the
decision to correct an error, except that a clerical error may be corrected at any time. The director has adopted
regulations setting forth procedures for hearings under this subdivision. These regulations are found in Code
of Regulations sections 17201-17270.
(2) An affected contractor or subcontractor may obtain review of the decision of the director by filing a petition for a
writ of mandate to the appropriate superior court pursuant to Section 1094.5 of the Code of Civil Procedure
within 45 days after service of the decision. If no petition for a writ of mandate is filed within 45 days after
service of the decision, the order shall become final. If it is claimed in a petition for writ of mandate that the
findings are not supported by the evidence, abuse of discretion is established if the court determines that the
findings are not supported by substantial evidence in the light of the whole record.
(3) A certified copy of a final order may be filed by the Labor Commissioner in the office of the clerk of the superior
court in any county in which the affected contractor or subcontractor has property or has or had a place of
business. The clerk, immediately upon the filing, shall enter judgment for the state against the person
assessed in the amount shown on the certified order.
(4) A judgment entered pursuant to this procedure shall bear the same rate of interest and shall have the same
effect as other judgments and shall be given the same preference allowed by law on other judgments rendered
for claims for taxes. The clerk shall not charge for the service performed by him or her pursuant to this section.
(5) This procedure shall provide the exclusive method for review of a decision by the LCPR to withhold contract
payments pursuant to Section 1771.5.
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U. Settlement Authority
Except in cases where the Labor Commissioner has intervened pursuant to Code of Regulations Section 16439
(b), The LCPR shall have the authority to prosecute, settle, or seek the dismissal of any Notice of Withholding of
Contract Payments issued pursuant to Labor Code Section 1771.6 and any review proceeding under Labor Code
Section 1742, without any further need for approval by the Labor Commissioner. Whenever the LCPR settles in
whole or in part or seeks and obtains the dismissal of a Notice of Withholding of Contract Payments or a review
proceeding under Labor Code Section 1742, The LCPR shall document the reasons for the settlement or request
for dismissal and shall make that documentation available to the Labor Commissioner upon request.
V. Deposits of Penalties and Forfeitures Withheld
(1) Where the involvement of the Labor Commissioner has been limited to a determination of the actual amount of
penalty, forfeiture, or underpayment of wages and the matter has been resolved without litigation by or against
the Labor Commissioner, the LCPR shall deposit penalties and forfeitures with the Awarding Agency.
(2) Where collection of fines, penalties, or forfeitures results from administrative proceedings or court action to
which the Labor Commissioner and Awarding Agency are both parties, the fines, penalties or forfeitures shall
be divided between the general funds of the State and Awarding Agency as the Hearing Officer or court may
decide.
(3) All penalties recovered in administrative proceedings or court action brought by or against the Labor
Commissioner, and to which the Awarding Agency is not a party, shall be deposited in the General Fund of the
State of California.
(4) All wages and benefits which belong to a worker and are withheld or collected from a contractor or
subcontractor, either by withholding or as a result of administrative hearings or any court action and which
have not been paid to the worker or irrevocably committed on the worker’s behalf to a benefits fund, shall be
deposited with the Labor Commissioner, who will handle such wages and benefits in accordance with Labor
Code Section 96.7.
W. Debarment Policy
It is the policy of the Awarding Agency that the public works prevailing wage requirements set forth in the
California Labor Code, Section 1720-1861, be strictly enforced. In furtherance thereof, construction contractors
and subcontractors found to be repeat violators of the California Labor Code shall be referred to the Labor
Commissioner for debarment from bidding on or otherwise being awarded any public work contract, within the
state of California, for the performance of construction and/or maintenance services for the period not to
exceed three (3) years in duration. The duration of the debarment period shall depend upon the nature and
severity of the labor code violations and any mitigating and/or aggravating factors, which may be presented at
the hearing conducted by the Labor Commissioner for such purpose.
X. Disposition of Forfeited Sums
(1) The prevailing wage recovery process of this Labor Compliance Program is established pursuant to Labor
Code Section 1775 which provides that out of any funds withheld, recovered, or both, there shall first be paid
the amount due each worker notwithstanding the filing of any Stop Notice by any person pursuant to Civil Code
Section 3179, et seq. Thus, all workers employed on the public works project who are paid less than the
prevailing wage rate shall have PRIORITY over all Stop Notices filed against the prime contractor.
(2) In the event that there are "insufficient funds" available in the prime contractor account to pay the total amount
of prevailing wage violations and penalty amounts due, the unpaid prevailing wages shall have PRIORITY
STATUS and must be paid first, pursuant to Labor Code Section 1775. Furthermore, if insufficient funds are
withheld, recovered, or both, to pay each underpaid worker in full, the money shall be prorated among all
workers affected. From the amount recovered by the Awarding Agency, the wage claim shall be satisfied prior
to the amount being applied to penalties. If insufficient money is recovered to pay each worker in full, the
money shall be prorated among all workers. Wages for workers who cannot be located shall be placed in the
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Industrial Relations Unpaid Wage Fund and held in trust for the workers pursuant to Section 96.7. Penalties
shall be paid into a general fund or other fund of the Awarding Agency's choosing.
Y. Reporting of Willful Violations to The Labor Commissioner
(1) If an investigation reveals that a willful violation of the Labor Code has occurred, the LCPR will make a written
report to the Labor Commissioner which shall include:
a. An audit consisting of a comparison of payroll records to the best available information as to the actual
hours worked; and
b. The classification of workers employed on the public works contract.
(2) Six types of willful violations are reported as follows:
a. For Failure to Comply with Prevailing Wage Rate Requirements
Failure to comply with prevailing wage rate requirements as set forth in the Labor Code and Code of
Regulations is determined a willful violation whenever less than the stipulated basic hourly rate is paid to
trades workers, or if overtime, holiday rates, fringe benefits, and/or employer payments are paid at a rate
less than stipulated. The facts related to such willful violations may result in a determination that the
contractor intended to defraud its employees of their wages.
b. For Falsification of Payroll Records, Misclassification of Work, and/or Failure to Accurately Report
Hours of Work
Falsification of payroll records and failure to accurately report hours of work is characterized by deliberate
underreporting of hours of work; underreporting the headcount; stating that the proper prevailing wage rate
was paid when, in fact, it was not; clearly misclassifying the work performed by the worker; and any other
deliberate and/or willful act which results in the falsification or inaccurate reporting of payroll records.
Such violations are deemed to be willful violations committed with the intent to defraud.
c. For Failure to Submit Certified Payroll Records
Refusing to comply with a request for certified payroll reports or substantiating information and records as
contained in Section IV.1. will be determined to be a willful violation of the Labor Code. Additionally,
refusing to correct inaccuracies or omissions that have been discovered will also be determined to be
willful violation of the Labor Code.
d. For Failure to Pay Fringe Benefits
Fringe benefits are defined as the amounts stipulated for employer payments or trust fund contributions
and are determined to be part of the required prevailing wage rate. Failure to pay or provide fringe
benefits and/or make trust fund contributions in a timely manner is equivalent to payment of less than the
stipulated wage rate and shall be reported to the Awarding Agency and Labor Commissioner as a willful
violation, upon completion of an investigation and audit.
e. For Failure to Pay the Correct Apprentice Rates and/or Misclassification of Workers as
Apprentices
Failure to pay the correct apprentice rate or classifying a worker as an apprentice when not properly
registered is equivalent to payment of less than the stipulated wage rate and shall be reported to the
Awarding Agency and Labor Commissioner as a willful violation, upon completion of an investigation and
audit.
f. For the Taking of Kickbacks
Accepting or extracting kickbacks from employee wages under Labor Code Section 1778 constitutes a
felony and may be prosecuted by the appropriate enforcement agency.
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VIII. Apprenticeship
(1) The duties of the LCPR with respect to apprenticeship standards are as follows:
a. Inform contractors and subcontractors bidding public works about apprenticeship requirements,
b. Send copies of awards to the Department of Industrial Relations as required under Section 1773.3 of the
Labor Code, and;
c. Refer complaints and promptly report suspected violations of apprenticeship requirements to the Division
of Labor Standards Enforcement.
(2) The LCPR shall be responsible for enforcing prevailing wage pay requirements for apprentices consistent with
the practice of the Labor Commissioner, including the following:
a. That any contributions required pursuant to Labor Code Section 1777.5(m) are paid to
the appropriate entity;
b. That apprentices are paid no less than the prevailing apprentice rate;
c. That workers listed and paid as apprentices on the certified payroll records are duly
registered as apprentices with the Division of Apprenticeship Standards; and
d. Requiring that the journeyman prevailing wage rate be paid to any worker who is not a
duly registered apprentice and for all hours in excess of the maximum ratio permitted
under Labor Code Section 1777.5(g), as determined at the conclusion of the employing
contractor or subcontractor's work on the public works contract.
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APPENDIX A
Definitions
A. "Withhold" means to cease payments by the Awarding Agency, or others who pay on its behalf, or agents, to a prime
or general contractor. Where the violation is by a subcontractor, the general contractor shall be notified of the nature of
the violation and reference made to its rights under Labor Code Section 1729.
B. "Contracts" except as otherwise provided by agreement, means only contracts under a single master contract,
including a Design-Build contract, or contracts entered into as stages of a single project may be the subject of
withholding pursuant to Labor Code Sections 1720, 1720.2, 1720.3, 1720.4, 1771, and 1771.5;
C. "Delinquent payroll records" means those not submitted on the date set in the contract;
D. "Inadequate payroll records" are any one of the following:
A record lacking any of the information required by Labor Code Section 1776;
A record which contains all of the required information but which is not certified, or certified by someone who is
not an agent of the contractor or subcontractor;
A record remaining uncorrected for one (1) payroll period, after the LCPR has given the contractor or
subcontractor notice of inaccuracies detected by audit or record review; However, prompt correction will stop
any duty to withhold if such inaccuracies do not amount to one percent (1%) of the entire certified weekly
payroll in dollar value and do not affect more than half the persons listed as workers employed on that certified
weekly payroll, as defined in Labor Code Section 1776 and Code of Regulations section 16401.
E. "Amount equal to the underpayment" is the total of the following determined by payroll review, audit, or admission of
the contractor or subcontractor:
The difference between the amounts paid to workers and the correct General Prevailing Wage Rate of Per
Diem as defined in Code of Regulations section 16000 and Labor Code section 1773 and determined to be the
prevailing rate due workers in such craft, classification or trade in which they were employed and the amounts
paid;
The difference between the amounts paid on behalf of workers and the correct amounts of Employer
Payments, as defined in Code of Regulations section 16000 and Labor Code section 1773.1 and determined
to be part of the prevailing rate costs of contractors due for employment of workers in such craft, classification
or trade in which they were employed and the amounts paid;
Estimated amounts of "illegal taking of wages,";
Amounts of apprenticeship training contributions paid to neither the program sponsor’s training trust nor the
California Apprenticeship Council; and
Estimated penalties under Labor Code sections 1775, 1776 and 1813.
F. "Forfeitures" means the amount of wages, penalties, and forfeitures assessed by the Awarding Agency and proposed
to be withheld pursuant to Labor Code section 1771.6(a), and includes the following:
The difference between the prevailing wage rates and the amount paid to each worker for each calendar day
or portion thereof for which each worker was paid less than the prevailing wage rate by the contractor or
subcontractor;
Penalties assessed under Labor Code Sections 1775, 1776 and 1813.
If the aggregate amount of forfeitures assessed as to a contractor or subcontractor is less than $1000.00, the
forfeitures shall be deemed approved by the Labor Commissioner pursuant to Code of Regulations Section
16436(b).
G. "Failing to pay the correct rate of prevailing wages" means those public works violations which the Labor
Commissioner has exclusive authority to approve before they are recoverable by the Labor Compliance Program, and
which are appealable by the contractor in court or before the Director of the Department of Industrial Relations under
Labor Code Section 1742, and 1771.6 pursuant to the Code of Regulations Sections 17201 through 17270. Regardless
of what is defined as prevailing "wages" in contract terms, noncompliance with the following are considered failures to
pay prevailing wages:
Nonpayment of items defined as "Employer Payments" and "General Prevailing Rate of Per Diem Wages" in
Code of Regulations Section 16000 and Labor Code Section 1771.
Payroll records required by Labor Code Section 1776;
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Labor Code Section 1777.5 but only insofar as the failure consists of paying apprentice wages lower than the
journey level rate to a worker who is not an apprentice as defined in Labor Code Section 3077, working under
an apprentice agreement in a recognized program;
Labor Code Section 1778, Kickbacks;
Labor Code Section 1779, Fee for Registration;
Labor Code Sections 1813, 1815, and Code of Regulations Section 16200 (a) (3) (F) overtime for work over
eight (8) hours in any one (1) day or forty (40) hours in any one (1) week. All work performed on Saturday,
Sunday, and/or a holiday shall be paid pursuant to the prevailing wage determination.
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APPENDIX B
Initial Review of Certified Payroll Records
Step 1- Each Payroll Record received by the LCPR for processing is date stamped as to the date received by the Awarding
Agency.
Step 2- Within 30 days of receipt, the LCPR will compare the payrolls received to the list of payrolls required for the period.
For any payroll that is not included or is incomplete, a 10-day letter is prepared by the LCPR and placed into tracking mode.
A Payment Application Hold & Notification of Temporary Withholding Letter will be prepared & sent to the Awarding Agency
and all affected Contractors and Subcontractors.
Step 3- The LCPR will begin the initial review of Certified Payroll Records that have been received. Each Contractor or
Subcontractor will have a comparison spreadsheet that has been prepared at the initiation of the contract which will have
displayed all prevailing wage determination data, based on the Trades, Classifications, Fringe Benefits and Apprentice
requirements identified as being utilized by the company.
Step 4- The LCPR will compare the comparison spreadsheet against the Certified Payroll to determine if the gross prevailing
wage for the Trade and Classification meets with the prevailing wage of that Trade and Classification. Check of certified
payroll for hours worked by day/week to determine if Overtime, Holiday, Travel or Subsistence pay was to be paid. If so,
check the payroll to ensure the correct prevailing wage was paid. Check for the proper utilization of Apprentices and that
correct prevailing wages have been paid to Apprentices.
Step 5- For each month in which a contractor or subcontractor reports having workers on the project, confirmation of
furnished payroll records will be undertaken randomly for at least one worker for at least one weekly period within that
month. The LCPR will compare confirmation/backup records to corroborate prevailing wage payments.
Step 6- Upon completion of initial review, provided no initial violation has been detected, Certified Payroll Records are
logged into the file system of the project.
Step 7- If an initial violation or potential violation has been detected by the LCPR, they will proceed to a “Confirmation” of
Certified Payroll Records.
Step 8- The LCPR will complete a labor compliance review and enforcement summary that indicates the status of the initial
review and confirmation for each company for the period, if any of the contractors or subcontractors Certified Payrolls have
not been received, and the status of any 10 day letters that have been prepared.
Step 9- When the Awarding Agency or LCPR receives a complaint of suspected violation(s), an accusation or any alleged
wrong doing; the LCPR will proceed to a “Confirmation” of Certified Payroll Records.
After review of the initial complaint the Initial Complaint Information form will be completed. The basic information required to
initiate a complaint include:
Name of the complainant, including address and phone number;
Name of the alleged violating contractor;
Name of the prime contractor (if different); and
Nature of the complaint.
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APPENDIX C
Confirmation and Audit of Certified Payroll Records
Step 1- By written request the LCPR will notify the affected contractor of any potential violation and request further payroll
records for confirmation and corroboration of prevailing wage payments as correct. Confirmation of Certified Payroll Reports
may be accomplished through:
Examination of Paychecks or Paycheck stubs;
Confirmation/Documentation of “Employer Payments” as made to third party recipients;
Worker Interviews; and
Whatever other reasonable methods, as needed, to corroborate the reported prevailing wage payments.
Step 2- If after review and corroboration of the payroll records it is determined that no violation has occurred or
documentation is received that reflects corrections and restitution payments have been made to the employees, all records
will be filed into the file system of the project.
Step 3- If after review and corroboration of the payroll records it is determined that a violation has occurred and no
documentation has been received to reflect that the violation has been corrected the LCPR will initiate a comprehensive
audit to ascertain the amount of wages due the worker(s) as well as the statutory penalties that are to be assessed.
Step 4- A comprehensive audit is based on the LCPR’s review of all documents and issues pertaining to the complaint or
violation and has arrived at a decision concerning issues that must be audited. The LCPR will prepare & request documents
listed on the Referral Checklist for a full audit. Documents needed to process the audit may include but are not limited to the
following:
Certified Payroll Records
Fringe Benefit Statement/Statement of Employer Payments
Time Cards
Copy of Checks
Inspector Logs
Prevailing Wage Rates Spreadsheet for Company Concerned.
Special Wage Determination(s) for the trades and crafts on the Certified Payroll
Listing of Holidays
Travel and Subsistence Information
List of Indentured Apprentices (by name and classification)
Any Special Instructions.
Step-5- An Audit Spreadsheet is created containing the following information:
Auditor will make notes when audit entries are different from what is contained in the Certified Payroll.
Any instance that data was entered that seems to be in contradiction to any other record. Examples:
Premium pay not paid for work on Saturday, Sunday or Holiday.
Travel and subsistence not paid.
Apparent underpayments where the contractor appears to be paying less than the required prevailing wages.
Hours obtained from time cards or records other than the Certified Payroll.
Individuals shown on the Certified Payroll as “apprentices” that are not properly registered.
Results of the Audit upon completion will be transferred to the Awarding Agency’s Investigations Department.
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APPENDIX D
Public Works Case Audits
Step 1- After the LCPR completes the review of certified payroll, initiates contact with the affected contractor and produces the initial 10
day letter(s) without resolution; the LCPR shall meet with the Investigations Team to determine if the project file contains sufficient detail
to request an Investigation and/or Audit. Provided there is sufficient probable cause to believe that a violation has or may have occurred
the Investigation Supervisor (IS) assigns the case to an Investigation Auditor (IA), who initiates a complete audit of the certified payrol l to
determine the nature of the violation(s), ascertain the amount of wages due the worker(s) as well as the statutory penalties that are to be
assessed.
Step 2- The primary responsibility of the Investigation Team is to complete case audits, relieving the LCPR from this lengthy process in
as many cases as possible. The initiation of comprehensive audit requirements is based on th e IA’s review of all documents and issues
pertaining to the complaint and has arrived at a decision concerning issues that must be audited. Should issues arise during the course
of the audit, the IA must resolve the issue in question and provide specific resolutions. Requests for audits by the LCPR will contain the
documents needed to complete the audit. (Not all documents on this list may be available or needed in all audits):
Case Log Summary to date
All correspondence to try and address the violation
Certified Payroll Records
Fringe Benefit Statement
Prime Contract
Sub-Contract (if applicable)
Scope of Work
General Conditions
Notice of Completion
Amount of Held Funds
Time Cards
Copy of Checks
Contractor Logs
Inspector Logs
Prevailing Wage Cheat Sheets
Wage Determination(s) for the trades and crafts on the Certified Payroll
Listing of Holidays
Travel and Subsistence Information
List of Indentured Apprentices (by name and classification)
Any Special Instructions.
Case Logs are created on a “Word” document that will be titled with the case number assigned. (This document will be kept current
during the progress of the audit). The IA will make notes on all activities done relative to the audit / investigation.
Step 3- Results of the Case Audit upon completion will be documented and reviewed by the IS to determine validity.
Step 4- At the point the IS had determined that there is sufficient evidence to determine that a violation has occurred, a
Notice of Intent to Request Forfeiture of Monies will be sent to the relative parties notifying them of the findings.
Step 5- At the completion of the contractor’s appeal rights if no response to the Notice of Intent is received, from any affected party, the
case file will be prepared and submitted to the Department of Industrial Relations (DIR) for forfeiture determination.
Step 6- Once the determination and approval of forfeiture is received by the Investigation Team a Notice of Withholding
Contract Payments is produced and mailed first class and certified to the affected parties, to include the Awarding Agency, Construction
Manager and Bonding Company.
Step 7- A settlement meeting is held by the Awarding Agency upon timely request of the contractor or other parties.
Step 8- A hearing is held by DIR upon timely request of the contractor or other parties.
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APPENDIX E
Investigation Case Processing
Step 1- Written complaints or investigation requests are received by the Investigations Supervisor (IS). After a review of the
complaint or audit if a determination is made that an investigation is required, the Investigation Supervisor (IS) will assign an
Investigation Auditor (IA) to obtain the initial information to investigate the complaint.
Step 2 - The Investigations Department will prepare the Case Binder to include, but not limited to, the following:
Contractor’s name and case number
Project Name
Awarding Agency
Prime Contractor (if different)
Original complaint(s) and supporting documentation
Copy of 1st bid advertisement
Contract
Sub Contract (if applicable)
Second tier sub contract (if applicable)
CSLB print outs on the contractors
Entity information (Secretary of State print-outs, fictitious business statement, etc.)
Prevailing Wage rates in effect and predetermined increases received from DLSR.
Certified Payroll Records received from defendant contractor
Certified Payrolls obtained from different sources (AB, prime contractor, etc. as required)
Inspector Logs
Audit and Audit notes
Prior Violations
Copies of executed Notice(s) to withhold and supporting documents
Correspondence (filed in order mailed or received)
Additional information and documents will be inserted as needed consistent with the facts of the investigation. (Example
would be if Certified Payroll(s) were not submitted timely and penalties pursuant to Labor Code 1776(h) were imposed, the
Request for Certified Payroll, including the certified receipt and the green return receipt, become evidence, supporting the
penalty assessment and should be tabbed).
Step 3- Processing the Investigation
This provides the general steps to be taken in processing an investigation. As the facts of each investigation are
different, not all steps need to be taken in every case or in the order presented.
An investigation of a public works case is a conscientious attempt to ascertain all pertinent facts relative to a suspected
violation(s) based on a complaint, an accusation or any alleged wrong doing. The Investigation Team is required to exercise
sound discretion in employing the investigative method or methods best suited to the type of violation involved.
The IA will assign a case number and begin the Case Log.
The IA will determine the Statutes of Limitations for action against the contractor and indicate the date on the Case
Log. The statutes compel the LCP to complete the investigation, issue the proper notices to the parties, prepare
and submit the case all within the time limits.
The IA will research to see if any previous public work cases were filed against affected contractor. Specific
attention is given to previous complaints filed against the same project. The results of the research are to be
recorded on the Case Log and will be provided to the Department of Industrial Relations (DIR) if a Request for
Forfeiture is needed.
The IA will prepare the initial case notifications and requests. These notices and requests are the initial mailing
package and consist of the:
Notification of Complaint Filed. Within 15 days after receipt of the complaint, provide the affected
contractor with the notice required under Labor Code section 1775(c) if the complaint is against a
subcontractor. The Notice of Complaint Filed is sent to complainant and all other relative parties. This
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form advises all parties (or potential parties) that the Awarding Agency’s LCP has initiated a formal
investigation.
An Employee Inquiry Form. Mailed to complainant and all other workers identified on certified payroll
reports in possession of the Awarding Agency’s LCP for the affected contractor.
A formal request for information/records is prepared and mailed to all affected parties, if not previously
received as part of the LCPR’s audit. Examples of items that may still be needed include the following:
Inspectors Logs
Contract(s)
Copies of the performance, Labor/Material and/or payment bonds
Copy of 1st bid advertisement
Page(s) (from the contract) listing the prevailing wage rate(s) on this contract.
Page(s) (from the contract advising the contractor of legal requirements to pay the prevailing
wages.
Notice of Completion (if/when filed)
Date project began
Project completion (or estimated completion)
Amount of money being held by the Awarding Agency.
Location of the project.
Certified Payroll Records.
Fringe Benefit Statement/Statement of Employer Payments
Letter requesting supporting documentation (time cards and canceled checks, etc.)
The IA will verbally contact all affected parties and the complainant to notify them that a complaint has been
received and an investigation is commencing into the merits of the alleged violation of the Labor Code.
The IA will attempt to identify and contact anyone who can verify the accuracy of the allegations and obtain
permission for a written affidavit.
The IA will keep the complainant informed timely throughout the entire investigative process but no less than:
Notify the complaining party in writing of the resolution of the complaint within ten days after the complaint
has been resolved by the Investigations Team;
Notify the complaining party in writing at least once every 30 days of the status of a complaint that has not
been resolved by the Investigations Team; and
Notify the complaining party in writing at least once every 90 days of the status of a complaint that has
been resolved by the Investigations Team but remains under review or in litigation before another entity.
Upon receipt of all information and records the IA’s audit will include the following steps:
The IA will take note of any data that does not seem to match.
The IA will compare the hours reported in the complaint and find out if they match.
The IA will review the Fringe Benefit Statement and compare this statement with the Certified Payroll(s) to
insure that the amounts claimed on the statement are reflected in the Certified Payroll(s).
Time Cards: Are the time cards original – written in different hands, at different times, or do they appear to
be written by the same person at a later time?
Cancelled checks: Review checks submitted to be sure that the documents appear to have been cleared
through a bank. Look at the check numbers and make sure that they correspond to the check numbers
reported on the Certified Payroll(s).
Certified Payroll(s): Review the information reported on the Certified Payroll(s)
Determine if the information provided complies with the requirements of Labor Code 1776(c)
Review the Certified Payroll to identify any additional issues such as:
Correct utilization of reported apprentices
Obvious violations (failure to pay overtime over 8 hours per day or ratio violations within certain
crafts or failure to report wages for “owners” or “partners”).
Hourly Rate of Pay: The rate that should be reflected in this column is the “total hourly wage”
paid to (and on behalf of) the employee.
Check the certification statement for compliance with the Labor Code.
31
Review the Fringe Benefits Statement. If the contractor is claiming employer contributions, these
contributions must be documented on the Fringe Benefit Statement. The contractor must provide
proof of the payments in prevailing rate of per diem wages.
Provided the Certified Payrolls are accepted being accurate, and violations are substantiated,
audit the certified payroll(s) to determine the amount of wages and penalties that are due.
If false Certified Payroll(s) are indicated, note this fact for possible filing of a felony complaint for
violation of Labor Code 1778.
Indicate any failure to submit or faulty submission of Certified Payroll Reports. If the Certified
Payrolls are not submitted, or if ALL the information is not provided, AND the time for submission
has lapsed, initiate penalties pursuant to Labor Code 1776(h) to compel compliance.
If the IA discovers potential violations of the Labor Code not pertaining to Public Works law, such as payment with
insufficient fund checks, not providing paycheck stubs, apprenticeship issues, false Certified Payroll or kickbacks,
the IA shall submit these findings to the appropriate enforcing agency.
At the point the IA has determined that there is sufficient evidence that a violation has occurred, a Notice of Intent
to Request Forfeiture will be prepared and submitted to all affected parties notifying them of our findings and
offering them an opportunity to meet. The purpose of the pre-withhold meeting is to review and discuss the initial
audit results with the contractor(s), inform the contractor(s) of his/her due process rights, schedule a due date (10
days) for any mitigating evidence to be submitted by the contractor(s).
After review and consideration of any mitigating evidence submitted by the contractor, the audit findings will be
finalized. A letter is sent to the contractor with directions on how to make the payments along with the finalized
audit. In the event that a settlement cannot be reached, the case is then forwarded to the State Labor
Commissioner for approval of the “Request for Approval of Forfeitures and Penalties”.
If the aggregate amount of forfeitures assessed to a contractor or subcontractor is less than $1,000.00, the
forfeitures shall be deemed approved by the Labor Commissioner upon service and the Labor Commissioner's
receipt of copies of the following:
The Notice of Withholding of Contract Payments authorized by Labor Code Section 1771.6(a);
An Audit as defined in section 16432(e) of the Regulations, and
A brief narrative identifying the Bid Advertisement Date of the contract for public work and
summarizing the nature of the violation, the basis of the underpayment, and the factors
considered in determining the assessment of penalties, if any, under Labor Code Section 1775.
If the aggregate amount of forfeitures assessed to a contractor or subcontractor is $1,000.00 or more the IA must
submit, in writing, a Request for Approval of Forfeiture to the State Labor Commissioner. The file or report shall be
served on the Labor Commissioner as soon as practicable after the violation has been discovered, and not less
than 30 days before the final payment, but in no event not less than 30 days before the expiration of the limitations
period set forth in Labor Code Section 1741.
The assessment shall be served not later than 18 months after the filing of a valid notice of completion in
the office of the county recorder in each county in which the public work or some part thereof was
performed, or not later than 18 months after acceptance of the public work, whichever occurs last.
A copy of the Request for Approval of Forfeiture and Penalties shall be served on the Contractor,
Subcontractor, bonding company or surety and the Awarding Agency.
The Labor Commissioner's determination of the forfeiture is effective on the date the Labor Commissioner serves
by first class mail, on the Labor Compliance Program, on the Awarding Agency if different, on the contractor and on
the subcontractor, if any, an endorsed copy of the proposed forfeiture, or a newly drafted forfeiture statement which
sets out the amount of forfeiture approved. Service on the contractor or subcontractor is effective if made on the
last address supplied by the contractor or subcontractor in the record. The Labor Commissioner's approval,
modification or disapproval of the proposed forfeiture shall be served within 30 days of receipt of the proposed
forfeiture.
Upon receipt of approval, the IA will prepare and issue a Notice of Withholding of Contract Payments against the
affected contract(s). The Notice of Withholding of Contract Payments and the Notice of Right to Obtain Review
procedures pursuant to Labor Code Section 1742 shall be served on the contractor(s) and bonding companies of
the affected contractor(s) by certified mail and first class mail.
32
In accordance with Labor Code sections 1742 and 1771.6, an affected contractor or subcontractor may obtain
review of the Notice of Withholding of Contract Payments by transmitting a written request to the office of the
Awarding Agency’s LCP that appears on the Notice within 60 days after service of the notice.
In accordance with Labor Code section 1742.1 (c), the Awarding Agency’s LCP shall, upon receipt of a request
from the affected contractor or subcontractor within 30 days following the service of this Notice of Withholding of
Contract Payments, afford the contractor or subcontractor the opportunity to meet with the Awarding Agency’s
designee to attempt to settle a dispute regarding the notice. The settlement meeting may be held in person or by
telephone and shall take place before the expiration of the 60-day period seeking a hearing as set forth below. No
evidence of anything said or any admission made for the purpose of, in the course of, or pursuant to, the settlement
meeting is admissible or subject to discovery in any administrative or civil proceeding. No writing prepared for the
purpose, in the course of, or pursuant to, the settlement meeting, other than a final settlement agreement, is
admissible or subject to discovery in any administrative or civil proceeding. This opportunity to timely request an
informal settlement meeting is in addition to the right to obtain a formal hearing, and a settlement meeting may be
requested even if a written Request for Review has already been made. Requesting a settlement meeting,
however, does not extend the 60-day period during which a formal hearing may be requested. A written request to
meet with the Awarding Agency’s designee to attempt to settle a dispute regarding this notice must be transmitted
to the Awarding Agency.
A Request for Review either shall clearly identify the Notice of Withholding of Contract Payments from which review
is sought, including the date of the notice, or it shall include a copy of the notice as an attachment, and shall also
set forth the basis upon which the notice is being contested. In accordance with Labor Code section 1742, the
contractor or subcontractor shall be provided an opportunity to review evidence to be utilized by the Awarding
Agency at the hearing within 20 days of receipt by the Awarding Agency of the written Request for Review.
The Awarding Agency shall make evidence available for review within 20 days of its receipt of the Request for
Review; provided that, this deadline may be extended by written request or agreement of the Affected Contractor or
Subcontractor. The Awarding Agency’s failure to make evidence available for review as required by Labor Code
section 1742(b) and Rule 24 (CCR 17224) shall preclude the Awarding Agency from introducing such evidence in
proceedings before the Hearing Officer or the Director.
Within ten (10) days following the receipt of a Request for Review, the Awarding Agency shall transmit to the Office
of the Director - Legal Unit, the Request for Review and copies of the Assessment or Notice of Withholding of
Contract Payments, any Audit Summary that accompanied the Assessment or Notice, and a Proof of Service or
other document showing the name and address of any bonding company or Surety.
Within ten (10) days following the receipt of a Request for Review, the Awarding Agency shall also notify the
Affected Contractor or Subcontractor of its opportunity and the procedures for reviewing evidence to be utilized by
the Awarding Agency at the hearing on the Request for Review.
Once the Request for Review is transmitted to DIR, DIR will contact all parties to begin Pre-Hearing Meetings,
Settlement Meetings and a Hearing, if necessary.
Failure by a contractor or subcontractor to submit a timely Request for Review will result in a final order which shall
be binding on the contractor and subcontractor, and which shall also be binding, with respect to the amount due, on
a bonding company issuing a bond that secures the payment of wages and a surety on a bond. Labor Code
section 1743
In accordance with Labor Code section 1742(d), a certified copy of a final order may be filed by the Labor
Commissioner in the office of the clerk of the superior court in any county in which the affected contractor or
subcontractor has property or has had a place of business. The clerk, immediately upon filing, shall enter judgment
for the State against the person assessed in the amount shown on the certified order.
33
APPENDIX F
Prevailing Wage Hearing Regulations
The following listing is provided to facilitate the identification of regulatory sections that may bear upon the duties and
responsibilities of the Labor Compliance Program. The actual text of each section should be accessed on-line at
http://www.dir.ca.gov/dlse/CCR.htm in order to ensure that the most current wording of each regulatory section is relied
upon.
CALIFORNIA CODE OF REGULATIONS
TITLE 8, CHAPTER 8, SUBCHAPTER 6, SECTIONS 17201 through 17270
ARTICLE 1. GENERAL
17201. Scope and Application of Rules.
17202. Definitions.
17203. Computation of Time and Extensions of Time to Respond or Act.
17204. Appointment of Hearing Officers; Delegation of Appointment Authority to Chief Counsel.
17205. Authority of Hearing Officers..
17206. Access to Hearing Records.
17207. Ex Parte Communications.
17208. Intervention and Participation by Other Interested Persons.
17209. Representation.
17210. Proper Method of Service.
17211. Filing and Service of Documents by Facsimile or Other Electronic Means.
17212. Administrative Adjudication Bill of Rights.
ARTICLE 2. ASSESSMENT OR NOTICE AND REQUEST FOR REVIEW
17220. Service and Contents of Assessment or Notice of Withholding of Contract Payments.
17221. Opportunity for Early Settlement.
17222. Filing of Request for Review.
17223. Transmittal of Request for Review.
17224. Disclosure of Evidence.
17225. Withdrawal of Request for Review; Reinstatement.
17226. Dismissal or Amendment of Assessment or Notice of Withholding of Contract Payments.
17227. Early Disposition of Untimely Assessment, Withholding, or Request for Review.
17228. Finality of Assessment or of Withholding of Contract Payments When No Timely Request for Review is Filed;
Authority of Awarding Body to Disburse
Withheld Funds.
17229. Finality of Notice of Withholding of Contract Payments; Authority of Awarding Body to Recover Additional Funds.
ARTICLE 3. PREHEARING PROCEDURES
17230. Scheduling of Hearing Date; Continuances and Tolling.
17231. Prehearing Conference.
17232. Consolidation and Severance.
17233. Prehearing Motions; Cut-Off Date.
17234. Evidence by Affidavit or Declaration.
17235. Subpoena and Subpoena Duces Tecum.
17236. Written Notice to Party in Lieu of Subpoena.
17237. Depositions and Other Discovery.
ARTICLE 4. HEARINGS
17240. Notice of Appointment of Hearing Officer; Objections.
17241. Time and Place of Hearing.
17242. Open Hearing; Confidential Evidence and Proceedings; and Exclusion of Witnesses.
34
17243. Conduct of Hearing.
17244. Evidence Rules; Hearsay.
17245. Official Notice.
17246. Failure to Appear; Relief from Default.
17247. Contempt and Sanctions.
17248. Interpreters.
17249. Hearing Record; Recording of Testimony and Other Proceedings.
17250. Burdens of Proof on Wages and Penalties.
17251. Liquidated Damages.
17252. Oral Argument and Briefs.
17253. Conclusion of Hearing; Time for Decision.
ARTICLE 6. DECISION OF THE DIRECTOR
17260. Decision.
17261. Reconsideration.
17262. Final Decision; Time for Seeking Review.
17263. Preparation of Record for Review.
17264. Request for Participation by Director in Judicial Review Proceeding.
ARTICLE 7. TRANSITIONAL RULE
17270…Applicability of these Rules to Notices Issued Between April 1, 2001 and June 30, 2001.
35
APPENDIX G
FIELD REPRESENTATIVE (FR) MINIMUM STANDARDS
These protocols have been developed to provide the Field Representative (FR) with minimum standards to be followed
while in the process of conducting interviews on construction project sites. In all instances, the Awarding Agency’s FR will
conduct themselves in a professional and authoritative manner. The Awarding Agency’s FR’s will be familiar with applicable
provisions of the Labor Code in order to converse with administrators or construction personnel of any level.
A. On-Site Visitations
Each construction project is unique and all of the listed protocols will not necessarily be utilized, precisely as stated,
during the course of each site visit. However, in most cases the Awarding Agency FR’s will employ the basic
concepts expressed in each protocol to accomplish the purpose of their site visit in an efficient manner.
1. All FR’s visiting any construction site are required to wear a visible picture ID (badge), and to
properly identify themselves as such. Additionally, all FR personnel are required to wear hard
hats, safety vests and safety shoes.
2. Safety is the paramount factor for any site visit to any construction project. FR’s will not enter any
area that appears unsafe. Areas of concern include, but are not limited to, grading operations,
trenching and work within a trench, hazardous materials abatement, concrete placement,
demolition or the removal roofing materials. FR’s are expected to exercise reasonable caution at
all times.
3. Should FR’s witness what they consider to be a potentially unsafe condition, they will contact the
site inspector or job superintendent of their findings immediately and make note on the site
visitation interview form of what they observed. Upon return to the office, the FR will report their
findings to the Awarding Agency’s Labor Compliance Officer (LCO).
4. When inspections are conducted on Owner-occupied sites, the FR shall, upon arrival:
a. Check in at the Administrative office;
b. Identify themselves and state the purpose of the visit; and
c. Sign in if required to do so
If the opportunity presents itself and, dependent on the nature of any questions, the FR will take a
few minutes to answer any questions and discuss activities or the services provided by the
Awarding Agency’s LCP with administrative level personnel, but will not seek personnel out.
5. Prior to any interviewing, the FR shall:
a. Check in at the site superintendent’s trailer;
b. Take a few minutes to talk with the Superintendent;
c. Develop a working relationship;
d. Gain information pertaining to the project such as:
i. Duration or phasing;
ii. What contractors are on-site that day;
iii. Work activities in process or anticipated, etc.
6. In the event there is not a construction trailer or job superintendent, the FR will locate each
contractor’s foreman.
7. If for some reason the FR is denied access to the site, or informed that they may not interview the
workmen:
a. FR will promptly and politely remove themselves;
b. FR will immediately contact the Awarding Agency’s LCO, by phone, to report the
incident.
c. Make a note of this occurrence on the site visitation interview form along with all
available details such as:
i. Time of day;
ii. Name of party denying access;
iii. Stated reason for denying access, etc.
FR will include this note in their report to the Awarding Agency’s LCO.
36
8. There will be times when the site superintendent is somewhere on the site and/or there is no
contractor present in the trailer. The FR will check in at the Inspector of Record (IOR) trailer. If all
trailers are empty or locked, FR will try to locate the site superintendent or IOR, on the site prior
to commencing interviewing. If the FR is unable to locate the superintendent or IOR they will
proceed with interviews after speaking with each contractor’s foremen.
9. FR will check to see that the following are displayed in the contractor’s trailer or the
Administrative Office:
a. Equal Opportunity Employment Posters
b. Required jobsite posting NOTICE that the project is a prevailing wage public work
c. Prevailing wage sheets available for review by the tradesmen
d. Sign-in Log
e. Listing of subcontractors on site
If any of these items are not readily visible, the FR will remind the CM, GM, PM that these
postings are part of the contractual and legal requirements. On subsequent visits, the FR will
make sure that these items are posted or readily available upon request. If these items are not
posted or readily available, the FR will advise the Awarding Agency LCPR, CM, GM, PM of the
non-compliance with the law and the contract requirements.
10. The Field Representative shall visit all sites on an unannounced random weekly basis. During
inclement weather contact will be made with the Prime/General Contractor or Construction
Manager in an attempt to determine if there will be any activity at the site that day.
B. Interviewing
1. Once the FR has checked in and obtains access to the site:
a. FR will locate the Foreman for each contractor on the project prior to conducting the
interviews.
b. Identify themselves as the Awarding Agency LCPR acting on behalf of the Awarding
Agency; and, if necessary
c. Explain that the FR activity is a legal requirement placed on the Awarding Agency as a
result of the ongoing construction work.
2. The FR shall conduct all interviews on a non-interference basis. The contractor’s foreman may
want to accompany the FR during the interview process, such action is not to be considered as
interference, however interference does result when a foreman restricts questioning or the
specific tradesmen that may be interviewed.
3. A minimum amount of the workers’ time will be taken for interview purposes. When making the
decision regarding whom to interview, the FR will look for tradespersons working in clusters. For
instance, several painters, electricians, roofers, etc. working in one area.
a. Workers will be approached individually, in a non-threatening, professional manner;
b. The FR will identify themselves;
c. Inform workers why they are there and that they need only a few minutes of their time to
ask some very generic questions to ensure that they are receiving the proper rate of pay
for the type of work they are doing.
d. The FR will not endanger themselves or any tradesperson’s safety in conducting these
interviews.
e. The FR will not insist that someone on a scaffold 40 feet in the air come down for an
interview or attempt to interview tradesmen actively involved in activities such as a
concrete pour, crane operation, etc.
f. The FR will not ask anyone to stand by until they can get to them; they will be allowed to
continue working until the FR can get to them individually.
4. These interviews are random; two or three tradespersons for each contractor/subcontractor is
more than sufficient for one visit. Any persons missed are usually picked up on the next visit. If
only one tradesperson is at the site, then that person will be interviewed, if possible. Thirty
minutes of interviewing per site is typically sufficient, depending upon the site size and/or number
of subcontractors present.
5. Interviews will not be conducted during the Tradesmen’s breaks or lunch periods.
37
C. Site Visitation Interview Form
1. The FR will use the Site Visitation Interview form and ask each person the following:
a. Name;
b. Last four digits of their social security number;
c. Employer;
d. Title (trade);
e. Rate of pay; and
f. Task being performed at the time of interview
2. Should someone decline to speak with the FR, those wishes will be respected. If someone asks
if this is union-related, the FR will advise them that they work as the Awarding Agency’s LCPR on
the project.
3. If someone refuses to disclose his/her social security number, those wishes will be respected.
The FR will assure that person that all information given is kept strictly confidential and make the
attempt to get his/her complete name.
4. If someone does not know their rate of pay, FR will ask for an approximate amount. If the
response is, “Whatever prevailing wage is”, that is what will be indicated on the form.
5. If a worker states that he/she does not know what contractor they are working for, the FR will
track down the site superintendent and ask his assistance in determining the responsible
contractor. (Workers who don’t know their employing contractor are often an indication of an
“underground” crew being employed by the contractor.
6. If someone indicates that he/she is an apprentice, they will be asked their current apprentice
level. If he/she is not sure, they will be asked how many years he/she has been apprenticed in
the specific trade or to approximate, and this will be indicated on the interview form.
7. If someone is interviewed that does not speak English and the FR cannot communicate in the
appropriate language, the FR will try to locate a coworker who can interpret. If an entire crew is
unable to speak English and there is no interpreter, this will be included on the report.
8. The FR is there to collect information only, tradesmen will not be told how to do their jobs or that
the amount of hourly wage they are reporting is below the determined wage. The FR will not
solicit or invite the tradesmen to initiate a complaint through them or give them the impression
that it is within the FR duties. The FR will explain that for reasons of confidentiality, they should
contact the Awarding Agency’s LCP office and speak with the LCPR and a business card will be
left with them.
9. Within the Site Observations portion of the interview form the FR will give as much information as
they can that pertains to the work in progress. The FR will approximate the total number of
tradesmen on the site and ask each foreman how many employees he has on the project that
day.
10. All tradesmen will be thanked for their time.
D. Site Superintendents Daily Reports
1. A copy of the site superintendent’s daily reports for the previous week will be obtained and
submitted to the LCPR no later than the end of each workweek.
E. Reporting
1. All original interview forms and daily reports shall be submitted to the LCPR no later than the end
of each workweek.
Apprentice Ratio Request
Apprentice Requirements Letter – Initial
Bid Package Information
CAC-2 (with Sample & Instructions)
Certification of Prior Attendance
Cover Letter to Accompany Witness-Exhibit List
Checklist of Labor Law Requirements to Review at Pre-job Conference with Contractor’s
Contractor Close-out Report
Audit Record Worksheets Forms:
Public Works Investigation Worksheet
Public Works Audit Worksheet
Prevailing Wage Determination Summary (Appendix B)
Single Project Labor Compliance Review and Enforcement Report Form (Appendix C - CCR16434)
Notice of Temporary Withholding of Contract Payment Due to Delinquent or Inadequate Payroll Records
Request for Approval of Forfeiture Amount (Appendix D – CCR 16437)
Notice of Withholding Contract Payments (Labor Code Section 1771.6)
Notice of Opportunity to Review Evidence (Labor Code Section 1742b and CCR 17223)
Notice of Transmittal of Request for Review to DIR Lead Hearing Officer (CCR17223)
Deductive Change Order
Employee Inquiry Form
Employee Inquiry Form (Spanish)
Exhibit List
Fringe Benefits Statement (Form PW 26) with Instructions
Listing of Helpful Websites
Initial Complaint Information Form
Introduction / Apprentice Letter with Proof of Service
Investigations Case Log
Notice & Request to Review Evidence
Notice of Complaint Closed
Notice of Complaint Filed
Notice of Intent to Request Forfeiture of Monies
Notice of Investigation
Notice of Request for Approval of Forfeiture
Notice of Withholding – Transmittal
Notification of Gross Wage Distribution – Tax Liability
Notification to Awarding Body of Penalties Owed Them
Notification to DAS After Investigation of Training Funds Owed Them.
Notification to Worker of Monies Owed Them
Notification to Worker of Monies Owed Them (Spanish)
Payment Application Hold & Notification of Temporary Withholding
Payment Application Release
Payroll Certification (with sample and instructions)
Public Works Payroll Reporting Form (A-1-131 with instructions)
Pre-bid Conference and Job Walk
Preconstruction Notice
Project Closeout Report
Project Data Checklist
Proof of Service Page 38
APPENDIX H
Forms
Public Works Complaint
Public Works Complaint – Proof of Service
Records Request – Extension Letter
Records Request – Payment Received
Records Request – Request for Payment
Release of Stop Notice
Release of Stop Notice (Spanish)
Request a Modification to Forfeiture
Request for Information – Complainant
Request for Penalty Forfeiture Approval
Required Jobsite Posting (English)
Required Jobsite Posting (Spanish)
Restitution Check to Worker (tax liability- English)
Restitution Check to Worker (tax liability - Spanish)
Settlement Meeting Accepted
Settlement Meeting Scheduled
Site Visitation Interview
Statement of Non-Performance
Statement of Payment of Wages to Unpaid Worker (English)
Statement of Payment of Wages to Unpaid Worker (Spanish)
Unpaid Wage Fund
Verification of Apprentice-Journeyman Ratios
California FPPC Form 700 “Statement of Economic Interest”
Annual Report Form LCP-AR 1 (CCR 16431)
Public Works Form 100 – Contract Award Form
DAS Forms:
CAC-2 Form – Training Fund Contribution
Form DAS-142 Request for Dispatch of an Apprentice
Form DAS-140 Public Works Contract Award
Page 39
(Insert Awarding Agency Logo)
"[Click here and type date]"
"[Click here and type Apprenticeship Committee name]"
"[Click here and type Apprenticeship Committee address or fax#]"
REQUEST FOR MOST RECENT APPRENTICE-TO-JOURNEYMAN RATIO
In our ongoing efforts to maintain our high standards of professionalism and willingness to work
cooperatively with the DAS and your Apprenticeship Committee to provide guidance and leadership, we
request a copy of the most recent ratio’s for the following:
Program/Committee:
County:
Classification:
Thank you in advance for your assistance. If you should have any questions, please
call.
Thank you,
"[Click here and type your name]"
Labor Compliance Specialist
Apprentices on Public Work projects
Summary of requirements
Compliance with California Labor Code Section 1777.5 requires all public works contractors and
subcontractors to:
1. Submit contract award information.
Contractors who are not already approved to train by an apprenticeship program sponsor shall provide
contract award information to all of the applicable apprenticeship committees whose geogra phic area of
operation includes the area of the public works project. Submit contract award information to the
apprenticeship committee for each apprenticeable craft or trade in the area of the site of the public works
project that has approved the contractors, who are participants in an approved apprenticeship program, to
train apprentices. (Title 8, California Code of Regulations, Section 230).
The contract award information shall be in writing and may be on a Public Works Contract Award
Information form (DAS 140). The information shall be provided to the applicable apprenticeship
committee within ten (10) days of the date of the execution of the prim e contract or subcontract, but in no
event later than the first day in which the contractor has workers employed upon the public work. (Title 8,
California Code of Regulations, Section 230). The filing of a DAS 140 is not a request for dispatch of
registered apprentices.
2. Employ registered apprentices on the Public Works project in a ratio of no less than one (1) hour of
apprentice work for every five (5) hours performed by a journeyman.)
1. Contractors who are not already employing sufficient registered apprentices to comply with the one-to-
five ratio must request the dispatch of required apprentices from the apprenticeship committees providing
training in each applicable craft or trade and whose geographic area of operation includes the site of the
public work by giving the committee written notice of at least 72 hours (excluding Saturdays, Sundays and
holidays) before the date on which apprentices are required.
2. If the apprenticeship committee from which apprentice dispatch is requested does not dispatch
apprentices as requested, the contractor must request apprentice dispatch from another committee
providing training in the applicable craft or trade in the geographic area of the site of the public wor k, and
must request dispatch from each such committee, either consecutively or simultaneously, until the
contractor has requested apprentice dispatch from each such committee in the geographic area.
3. If a non-signatory contractor is dispatched fewer apprentices than requested from an apprenticeship
program the contractor must request dispatch from all other committees that provide training in the
applicable craft or trade whose geographic area of operation includes the site of the public work.
(Title 8, California Code of Regulations, Section 230.1).
3. Make training fund contributions in the amount established in the Prevailing Wage Rate publication
for journeymen and apprentices. Contractors who contribute to an apprenticeship program are entitled to
a full credit in the amount of those contributions. Contractors who do not contribute to an apprenticeship
program must submit their contributions to the California Apprenticeship Council .
Funds are due & payable by the 15th of the month for work performed during the preceding
month. The contribution should be paid by check and be accompanied by a copy of the
completed CAC - Training Fund Contributions online form found at:
https://www.dir.ca.gov/DAS/tf/cac2.asp, and mailed to:
Department of Industrial Relations
California Apprenticeship Council
P.O. Box 511283
Los Angeles, CA 90051-7838
See www.dir.ca.gov for the complete regulations and Labor Code provisions.
BID PACKAGE INFORMATION
Date Data Produced: Prepared By:
Awarding Body:
Project Name:
Physical Location:
Address:
County:
Brief Description of Bid Package:
Additions / Alterations
Bid Package Value:
Date of First Advertisement
or Published Call for Bids:
OPSC/ Application Number:
Start Date: Completion Date:
Prime Contractor:
Listed Sub Contractors:
CONTRACTOR NAME LICENSE # SCOPE OF WORK
State of California
Department of Industrial Relations
California Apprenticeship Council
P.O. Box 511283 TRAINING FUND CONTRIBUTIONS
Los Angeles, CA 90051-7838
https://www.dir.ca.gov/DAS/tf/cac2.asp
CALIFORNIA APPRENTICESHIP
COUNCIL
Online form found at: https://www.dir.ca.gov/DAS/tf/cac2.asp
Please complete, print and send to the address above .
One check payable to the California Apprenticeship Council,
may be submitted for all jobsites and/or occupations.
Training fund contributions are not accepted by the
California Apprenticeship Council for federal public
works projects, unless the project is administered by a
public agency or for non – apprenticeable occupations
such as utility technicians, lead abatement worker, etc.
Name and Address of Contractor/Subcontractor making Contribution Contractors License Number
Contract or Project Number
Name and Address of Public Agency Awarding Contract Jobsite Location (including County)
Period Covered by Contribution
From:
To:
Classification(s) of Workers (Carpenter, Plumber, Electrician, Etc...) Hours Contribution Rate Amount
per hour
IF APPRENTICES WERE EMPLOYED, PLEASE LIST THE APPRENTICESHIP PROGRAM AND NUMBER OF APPRENTICE HOURS WORKED BELOW
TYPE OR PRINT YOUR NAME AND TITLE Date
E-mail Area Code & Telephone Number
State of California
Department of Industrial Relations
California Apprenticeship Council
P.O. Box 511283 TRAINING FUND CONTRIBUTIONS
Los Angeles, CA 90051-7838
https://www.dir.ca.gov/DAS/tf/cac2.asp CALIFORNIA APPRENTICESHIP
COUNCIL
Online form found at: https://www.dir.ca.gov/DAS/tf/cac2.asp
Please complete, print and send to the address above.
One check payable to the California Apprenticeship Council,
may be submitted for all jobsites and/or occupations.
Training fund contributions are not accepted by the
California Apprenticeship Council for federal public
works projects, unless the project is administered by a
public agency or for non – apprenticeable occupations
such as utility technicians, lead abatement worker, etc.
Name and Address of Contractor/Subcontractor making Contribution Contractors License Number
ATLAS CONSTRUCTION COMPANY
12345 MAIN STREET 123456
ANYWHERE, CA 99999 Contract or Project Number
XX-XXX-XX
Name and Address of Public Agency Awarding Contract
Jobsite Location (including County)
OUR UNIFIED SCHOOL DISTRICT HAPPY DAZE E.S.
987 BROAD STREET 789 WIDE STREET
EVERYWHERE, CA 99999 ANYWHERE, CA 99999
Period Covered by Contribution
From: 00/00/0000
To: 00/00/0000
Contribution Rate
Classification(s) of Workers (Carpenter, Plumber, Electrician, Etc...) Hours per hour Amount
CARPENTERS 40 $0.65 $26.00
LABORER-GROUP #2 40 $0.37 $14.80
IF APPRENTICES WERE EMPLOYED, PLEASE LIST THE APPRENTICESHIP PROGRAM AND NUMBER OF APPRENTICE HOURS
WORKED BELOW
Signature Date
JOHN ATLAS 00/00/0000
Title Area Code & Telephone Number
PRESIDENT 555-555-5555
CAC-2 FORM- APPRENTICE TRAINING CONTIBUTION REQUIREMENTS
(CALIFORNIA CODE OF REGULATIONS: TITLE 8; ARTICLE 4, 16200(G))
A contractor or subcontractor on a public works contract, who, in performing any of the work under
the contract, employs journeymen or apprentices in any apprenticeable craft or trade must pay
training fund contributions or apprenticeship contributions in the same amount that the director
determines is the prevailing amount of apprenticeship training contributions in the area of the
public works site in one of the following manners:
1. Into the appropriate craft apprenticeship program in the area of the site of the public work;
or
2. If the trust fund is unable to accept such contributions an equivalent amount shall be paid to
the California Apprenticeship Council (CAC) administered by DAS; or
3. If neither of the above will accept the funds, cash payment as provided for in California
Code of Regulations section 16200(a)(3)(I) shall apply.
NOTE: CASH PAYMENTS TO THE EMPLOYEE CAN ONLY OCCUR WHEN THEIR CRAFT OR
TRADE IS DESIGNATED AS NON-APPRENTICEABLE BY THE DEPARTMENT OF INDUSTRIAL
RELATIONS.
CONTRACTORS EMPLOYING OWNER-OPERATORS, SOLE PROPRIETORS, AND
PARTNERS WHO ARE PERFORMING LABOR ON THE PUBLIC WORKS PROJECT MUST
CONTRIBUTE TRAINING FUNDS FOR EACH HOUR WORKED.
A contractor may take as a credit for payments to the council any amounts paid by the contractor
to an approved apprenticeship program that can supply apprentices to the site of the public works
project. Training Contributions must be paid for every hour worked by every journeyman and
apprentice working in an apprenticeable craft (including overtime). Training Funds cannot be paid
to the workers unless it is a non-apprenticeable craft.
Payment of Apprenticeship Training Contributions to the Council
Contractors who are neither required nor wish to make apprenticeship training contributions to the
applicable local training trust fund shall make their training contributions to the California
Apprenticeship Council. Contractors can call the Director's office of Policy, Research and
Legislation (OPRL) at (415) 703-4774 or visit their website to obtain the applicable prevailing wage
determination that reflects the Training Fund Contribution rates owed for each hour of work
performed by journeymen and apprentices in each apprenticeable occupation.
Funds are due & payable by the 15th of the month for work performed during the preceding month.
The contribution should be paid by check and be accompanied by a copy of the completed CAC -
Training Fund Contributions online form found at:
https://www.dir.ca.gov/DAS/tf/cac2.asp, and mailed to:
Department of Industrial Relations
California Apprenticeship Council
P.O. Box 511283
Los Angeles, CA 90051-7838
Monthly Documentation of Training Fund Contributions
A copy of the CAC online form or CAC-2 form which has been submitted to the CAC accompanied
with a copy of the applicable check, copies of the reporting forms utilized along with check copies
to reflect payment or a letter from the appropriate Joint Apprenticeship Training Committee, Union
or Trust stating that your contributions are paid current shall be submitted to
"[Enter Awarding Body]" for each month, or portion thereof, that employees are dispatched to
the Public Works project.
CERTIFICATION OF PRIOR ATTENDANCE
at
JOB CONFERENCE BRIEFING
on
LABOR COMPLIANCE LAW AND PROCEDURES
Date: _____________________
Project for which Certification is provided: __________________________________________________
(the current project that you are about to start)
Awarding Body: ____________________________________________________________________
(The agency that awarded the contract under which you are about to perform)
Your Company’s Name: ________________________________________________
(Company Name)
________________________________________________
(Street Address)
________________________________________________
(City, State, Zip)
________________________________________________________________
(Phone / Fax / e-mail)
I, ____________________________, as Authorized Representative for the above named contractor
(subcontractor), do hereby certify, under penalty of perjury, that the following is true and correct:
1) That a responsible representative of our company has previously attended, on behalf of the Company,
a pre-construction Job Conference Briefing on Labor Compliance Law and Procedures conducted by
"[Enter Awarding Body]" , at which briefing our representative received a detailed briefing and
written materials, as listed on the reverse side of this Certification and had the opportunity to ask
questions and have them answered by "[Enter Awarding Body]" representative.
2) That all written materials provided at the previously attended Job Conference Briefing on Labor
Compliance Law and Procedures remain in our possession and are on file at our place of business.
3) That our company and all supervisory personnel are knowledgeable of the applicable provisions of
labor law pertaining to the above project and the specific requirements of "[Enter Awarding Body]"
Labor Compliance Program.
I understand that proper completion, execution and submittal of this Certification is a condition precedent
to being relieved of the duty to attend the Job Conference Briefing on Labor Compliance Law and
Procedures scheduled for the specific project identified above.
Executed by: ______________________________
(Signature)
__________________________________________
(Print Name & Title)
(Also initial listing on reverse side)
LISTING OF ACTIVITIES COMPLETED
In the course of our prior Job Conference Briefing, the following activities were accomplished:
A. Our representative was briefed by GSLC’s representative on the following subjects:
1. Our Firm’s duty to pay prevailing wages under Labor Code Section 1770 et seq.
2. Our Firm has a duty to employ registered apprentices on the public works project under Labor Code
Section 1777.5.
3. Our firm is aware of the penalties for failure to pay prevailing wages and employ apprentices under Labor
Code Sections 1775 and 1777.7.
4. Our Firm is required to keep and submit copies upon request of certified payroll records and are aware of
the penalties for failure to do so under Labor Code Section 1776 et seq. All contractors who perform work,
even if their portion of work is less than one half of one percent, are to submit Certified Payroll Records.
5. Our Firm is aware of the prohibition against employment discrimination under Labor Code Sections 1735
and 1777.6.
6. There is a prohibition against accepting or extracting Kickbacks from employee wages under Labor Code
Section 1778.
7. There is a prohibition against accepting fees for registering any person for public work under Labor Code
Section 1779; or for filling work orders on public works under Labor Code Section 1780.
8. Our Company has listed all subcontractors pursuant to the Public Contract Code Section 4100 et seq.
9. Our Company is properly licensed by the State of California and will ensure that all of our subcontractors
are properly licensed by the State of California.
10. The prohibition against unfair competition under Business and Professions Code Section 17200 -17208.
11. Our company is properly insured for Workers Compensation under Labor Code Section 1861.
12. Our company and its employees will abide by the Occupational, Safety and Health laws and regulations
that apply to the particular construction project.
13. There is a Federal Prohibition against hiring undocumented workers and the requirement to secure proof of
eligibility/citizenship from all workers.
14. The requirement to provide itemized wage statements to employees under Labor Code Section 226.
B. At the previous Pre-Construction Meeting, our representative was provided written copies of:
1. A checklist of Labor Law Requirements
2. Blank forms for all LCP requirements cited within the above checklist.
C. Our representative was provided an opportunity to ask questions and to have them answered by
"[Enter Awarding Body]" representative.
__________________________
(Initials of Signatory)
(Insert Awarding Agency Logo)
BY FAX AND CERTIFIED MAIL
CERTIFIED MAIL # "[Enter #]"
"[Enter Date]"
"[Enter Contact Name]"
Fax # "[Enter Fax #]"
Department of Industrial Relations
Office of Director, Legal Unit
320 West 4th St., Suite 600
Los Angeles, CA 90013-1105
In the Matter of the Request for Review of:
"[Enter Affected Contractor]"
From a Notice of Withholding issued by:
"[Enter Awarding Body]"
CASE No.: "[Enter Case #]"
Awarding Body Case No.: "[Enter Case #]"
"[Enter Contact Name From Above]" ,
Pursuant to your order dated, "[Enter Date]" , the Enforcing Agency identifies the attached exhibits which may be
introduced during the Hearing on Merits set for "[Enter Time]" (am/pm) on "[Enter Date]" .
Enforcing Agency reserves the right to introduce additional exhibits on rebuttal, as necessary.
The original of this document will be sent by certified mail on "[Enter Date]" . If you have any questions do not
hesitate to contact me at "[Enter Phone Number]" between the hours of 8:00am to 5:00pm.
Respectfully,
"[Enter Name]"
Investigations Supervisor
Cc: "[Enter All Parties]"
Enclosure
Appendix A
Suggested Checklist of Labor Law Requirements to Review at Prejob Conference, Section 16421,
with suggested Certification by subcontractor.
The federal and state labor law requirements applicable to the contract are composed of but not
limited to the following items:
(1) The contractor's duty to pay prevailing wages under Labor Code Section 1770 et seq., should
the project exceed the exemption amounts;
(2) The contractor's duty to employ registered apprentices on the public works project under
Labor Code Section 1777.5;
(3) The penalties for failure to pay prevailing wages (for non-exempt projects) and employ
apprentices including forfeitures and debarment under Labor Code Sections 1775 and 1777.7;
(4) The requirement to keep and submit copies upon request of certified payroll records under
Labor Code Section 1776, and penalties for failure to do so under Labor Code Section 1776(g);
(5) The prohibition against employment discrimination under Labor Code Section 1777.6; the
Government Code, and Title VII of the Civil Rights Act of 1964;
(6) The prohibition against accepting or extracting kickback from employee wages under Labor
Code Section 1778;
(7) The prohibition against accepting fees for registering any person for public work under Labor
Code Section 1779; or for filling work orders on public works under Labor Code Section 1780;
(8) The requirement to list all subcontractors under Public Contracts Code Section 4104;
(9) The requirement to be properly licensed and to require all subcontractors to be properly
licensed and the penalty for employing workers while unlicensed under Labor Code Section 1021
and under the California Contractors License Law, found at Business and Professions Code
Section 7000 et seq;
(10) The prohibition against unfair competition under Business and Professions Code Sections
17200-17208;
(11) The requirement that the contractor be properly insured for Workers Compensation under
Labor Code Section 1861;
(12) The requirement that the contractor abide by the Occupational, Safety and Health laws and
regulations that apply to the particular construction project;
(13) The federal prohibition against hiring undocumented workers, and the requirement to secure
proof of eligibility/citizenship from all workers.
(14) The requirement to provide itemized wage statements to employees under Labor Code
Section 226.
Certification:
I acknowledge that I have been informed and am aware of the foregoing requirements and
that I am authorized to make this certification on behalf of [name of subcontractor].
Date Name of person signing and company
"[Enter Awarding Body]" LABOR COMPLIANCE CONTRACTOR CLOSE OUT
SUMMARY
Awarding Body:
Project:
Contractor:
Sub-contractor to:
LABOR COMPLIANCE DOCUMENTS
DOCUMENT OK DATE OR NOT PROVIDED
BID ADVERTISEMENT DATE ADVERTISED:
DAS-140
LCP ACKNOWLEGEMENT
VIOLATION(S) PRINT OUT
NOTICE OF COMPLETION RECORDED DATE:
PAYROLL RECORDS
ITEM DESIGNATION OK NC REASON (Explain - Non-Compliance)
Payroll / Non-Performance
Payroll Certifications
Trade Classifications
Training Payments (MONTHLY)
Fringe Benefit Payments (MONTHLY)
Apprentice: Utilization/ Request/Denial
REQUEST LETTERS
REQUEST TYPE DATE
SENT
DATE
DOCS
REC’D
REC’D ALL DOCS PENALTY AMOUNT FOR OVER 10
DAYS
FINES/PENALTIES
FORFITURE TYPE RESPOND DATE # OF DAYS # OF EMPLOYEES TOTAL AMOUNT
Document Request
Wage Underpayment
COMMENTS and RELEVANT NOTES REGARDING RECOMMENDATION BELOW :
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
LABOR COMPLIANCE SPECIALIST
RECOMMENDS:
Close Keep Open Fines/Penalties Investigation
Notice of Withhold Full Payroll Audit DAS Complaint
Name: Signature
Labor Compliance Program Regulations – Appendix B
Audit Record Worksheets [8 Cal. Code Reg. §16432]
• Public Works Investigation Worksheet
• Public Works Audit Worksheet
• Prevailing Wage Determination Summary
Suggested Single Project Labor Compliance Review and Enforcement Report Form
[Appendix C following 8 CCR §16434]
Awarding Body:
Project Name:
Name of Approved Labor Compliance Program:
Bid Advertisement Date:
Acceptance Date:
Notice of Completion Recordation Date:
Summary of Labor Compliance Activities
1. Contract Documents Containing Prevailing Wage Requirements (Identify)
2. Prejob Conference(s) -- Attach list(s) of attendees and dates
3. Notification to Project Workers of Labor Compliance Program’s Contact Person. (Explain
Manner of Notification for each project work site.)
4. Certified Payroll Record Review
a. CPRs Received From:
Contractor/Subcontractor For weeks ending (“w/e”) through w/e
b. Classifications identified in CPRs and applicable Prevailing Wage Determinations
Classification Determination No.
5. Further investigation or audit due to CPR review, information or complaint from worker or other
interested person, or other reason:
a. Independent Confirmation of CPR Data
Worker Interviews Reconciled CPRs with Pay-
Contractor/Subcontractor (Yes/No) checks or Stubs (Yes/No)
b. Employer Payments (Health & Welfare, Pension, Vacation/Holiday) Confirmation
Recipients of Written confirmation
Contractor/Subcontractor Employer Payments Obtained (Yes/No)
c. Contributions to California Apprenticeship Council or Other Approved Apprenticeship
Program
Recipients of Written confirmation
Contractor/Subcontractor Contributions Obtained (Yes/No)
d. Additional Wage Payments or Training Fund Contributions Resulting from Review of
CPRs
Additional amounts Additional Expla-
Contractor/Subcontractor Paid to Workers Training Fund nation
*
*
*
*
* Use separate page(s) for explanation
6. Complaints Received Alleging Noncompliance with Prevailing Wage Requirements.
Name of Resolution or
Complainant Date Received Current Status
*
*
*
*
*Use separate page(s) to explain resolution or current status
7. Requests for Approval of Forfeiture to Labor Commissioner
Contractor/Subcontractor Date of Request Approved/Modified/Denied
8. Litigation Pending Under Labor Code Section 1742
Contractor/Subcontractor DIR Case Number
9. (Check one): Final report this project Annual report this project
Authorized Representative for Labor Compliance Program
[Name and Contact Information for person issuing Notice]
Date: Case or Contract No.:
NOTICE OF TEMPORARY WITHHOLDING OF CONTRACT PAYMENTS DUE
TO DELINQUENT OR INADEQUATE PAYROLL RECORDS (8 CCR §16435)
Awarding Body:
Work performed in County of:
Project Name and Number (if any):
Prime Contractor:
Subcontractor:
Pursuant to Labor Code §1771.5(b)(5) and 8 CCR §16435, contract payments are being withheld due to
delinquent or inadequate payroll records.
Contractor or subcontractor whose payroll records are delinquent or inadequate:
The following payroll records are delinquent (specify weeks and due dates):
The following payroll records are inadequate (specify weeks and ways in which records are
deemed inadequate under 8 CCR §16435(d)):
Estimated amount of contract payments due to contractor or subcontractor that are being withheld
pursuant to this Notice:
See page 2 for additional information, including appeal rights.
Labor Compliance Officer
Prime Contractor Obligations: If contract payments are being withheld due to the delinquency or
inadequacy of your subcontractor’s payroll records, you are required to cease all payments to that
subcontractor until the Labor Compliance Program provides notice that the subcontractor has cured the
delinquency or deficiency.
Notice of Right to Obtain Review – Expedited Hearing
An affected contractor or subcontractor may request review an expedited hearing to review this Notice
of Withholding of Contract Payments under Labor Code §1742. The only issue in any such review
proceeding is whether the specified payroll records are in fact delinquent or inadequate within the
meaning of 8 CCR §16435 or whether the Labor Compliance Program has exceeded its authority under
8 CCR §16435. To obtain an expedited hearing, a written request must be transmitted to the both
the Labor Compliance Program and to the Lead Hearing Officer for the Director of the
Department of Industrial Relations, as follows:
[Name of Labor Compliance Officer,
address, and fax number]
Office of the Director – Legal Unit
Attention: Lead Hearing Officer
Expedited Hearing Request
Fax to: (415) 703-4277
The request for expedited hearing should specify the basis for challenging this Notice and include a copy
of this Notice as an attachment. The request should also identify and provide contact information for the
person who will represent the contractor or subcontractor at the hearing.
Important Additional Information: This is a Notice of Temporary Withholding of Contract Payments
for Delinquent or Inadequate Payroll Records only. This is not a determination of liability for wages or
penalties under Labor Code §§1775 and 1776 or any other statute. Contract payments cannot continue
to be withheld pursuant to this notice, once the required records have been produced. However, the
contractor and subcontractor may still be subject to the assessment of back wages and penalties and the
withholding of contract payments if, upon investigation, a determination is made that the contractor or
subcontractor violated the public works requirements of the Labor Code.
This Notice only addresses rights and responsibilities under state law. Awarding bodies, labor
compliance programs, and contractors may have other rights or responsibilities under federal or local
law, where applicable, and may also have additional rights or remedies under the public works contract.
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Enclosure – text of 8 CCR §16435
§16435. Withholding Contract Payments When Payroll Records are Delinquent or Inadequate.
(a) "Withhold" means to cease payments by the Awarding Body, or others who pay on its behalf, or agents, to the
general contractor. Where the violation is by a subcontractor, the general contractor shall be notified of the nature
of the violation and reference made to its rights under Labor Code Section 1729.
(b) "Contracts." Except as otherwise provided by agreement, only contracts under a single master contract,
including a Design-Build contract, or contracts entered into as stages of a single project, may be the subject of
withholding.
(c) "Delinquent payroll records" means those not submitted on the date set in the contract.
(d) "Inadequate payroll records" are any one of the following:
(1) A record lacking any of the information required by Labor Code Section 1776;
(2) A record which contains all of the required information but is not certified, or is certified by someone who is
not an agent of the contractor or subcontractor;
(3) A record remaining uncorrected for one payroll period after the Labor Compliance Program has given the
contractor or subcontractor notice of inaccuracies detected by audit or record review. However, prompt
correction will stop any duty to withhold if such inaccuracies do not amount to one (1) percent of the entire
Certified Weekly Payroll in dollar value and do not affect more than half the persons listed as workers employed
on that Certified Weekly Payroll, as defined in Labor Code Section 1776 and section 16401 of Title 8 of the
California Code of Regulations.
(e) The withholding of contract payments when payroll records are delinquent or inadequate is required by Labor
Code Section 1771.5(b)(5), and it does not require the prior approval of the Labor Commissioner. The Awarding
Body shall only withhold those payments due or estimated to be due to the contractor or subcontractor whose
payroll records are delinquent or inadequate, plus any additional amount that the Labor Compliance Program has
reasonable cause to believe may be needed to cover a back wage and penalty assessment against the contractor or
subcontractor whose payroll records are delinquent or inadequate; provided that a contractor shall be required in
turn to cease all payments to a subcontractor whose payroll records are delinquent or inadequate until the Labor
Compliance Program provides notice that the subcontractor has cured the delinquency or deficiency.
(f) When contract payments are withheld under this section, the Labor Compliance Program shall provide the
contractor and subcontractor, if applicable, with immediate written notice that includes all of the following: (1) a
statement that payments are being withheld due to delinquent or inadequate payroll records, and that identifies
what records are missing or states why records that have been submitted are deemed inadequate; (2) specifies the
amount being withheld; and (3) informs the contractor or subcontractor of the right to request an expedited
hearing to review the withholding of contract payments under Labor Code Section 1742, limited to the issue of
whether the records are delinquent or inadequate or the Labor Compliance Program has exceeded its authority
under this section.
(g) No contract payments shall be withheld solely on the basis of delinquent or inadequate payroll records after
the required records have been produced.
(h) In addition to withholding contract payments based on delinquent or inadequate payroll records, penalties
shall be assessed under Labor Code Section 1776(g) for failure to timely comply with a written request for
certified payroll records. The assessment of penalties under Labor Code Section 1776(g) does require the prior
approval of the Labor Commissioner under section 16436 of these regulations.
1
Labor Compliance Program Regulations – APPENDIX D
REQUEST FOR APPROVAL OF FORFEITURE -- Suggested format
1. AWARDING BODY / THIRD PARTY LCP:
Name and Contact Information:
Date of Request:
Name and Contact Information for Awarding Body if different
from LCP:
LCP Approval Status (specify if either
interim or temporary or if LCP has
extended authority):
2. PROJECT INFORMATION:
Project Name:
Contract Number:
Project Location:
Bid Advertisement Dates:
Estimated Date Project is to be completed:
Acceptance Date of Project by the Awarding
Body:
Notice of Completion/Date Recorded with County
Recorder:
Other Relevant Deadline (specify): Amount being held in Retention:
3. CONTRACTOR INFORMATION:
Name and address of Affected Contractor:
Name and address of Affected Subcontractor:
General Description of Scope of Work of the Entire Project:
General Description of Scope of Work covered in the proposed Forfeiture (describe and attach relevant
portions of contract or subcontract):
4. LABOR COMPLIANCE PROGRAM INVESTIGATION AND FINDINGS:
Total Amount of Request for Notice of Withholding of Contract Payments:
Wages Due:
Training Funds
Due:
Total Penalties Due:
Potential Liquidated Damages
[Wages + Training Funds]:
LC 1775 Penalties Due: LC 1813 Penalties
Due:
LC 1776 Penalties Due:
Other:
[Provide narrative summaries covering the following]:
A. Statement of Issues.
B. Investigative Report (detailed narrative including but not limited to how the investigation was
conducted including worker declarations, reviewing certified payroll records, verification of employer
payment contributions, etc.).
C. Audit Report (detailed explanation of how audit was completed addressing each of the issues above).
D. Affected contractor and subcontractor information (how affected contractor and subcontractor were
informed of potential violations; summary of their response with respect to violations and penalty issues;
and any other information considered in determining recommended penalties).
E. Recommended penalties under Labor Code Section 1775(a) and basis for recommendation,
including how factors in subsection (a)(2) of Section 1775 were applied to arrive at the recommended
amount(s).
ATTACHMENTS
1. Audit Summary (Appendix B)
2. 1st Bid Advertisement Publication
3. Notice of Completion
4. Scope of Work
5. Complaint form(s) and Declarations, if any
Send the Request and all Attachments to:
Division of Labor Standards Enforcement
Bureau of Field Enforcement
Attn.: Regional Manager
300 Oceangate Blvd., No. 850
Long Beach, CA 90802
COPIES OF THIS REQUEST, INCLUDING ALL ATTACHMENTS, SHALL BE SERVED ON
THE AFFECTED CONTRACTOR AND AFFECTED SUBCONTRACTOR AT THE SAME TIME
THAT IT IS SENT TO THE DIVISION OF LABOR STANDARDS ENFORCEMENT.
Labor Compliance Program
_________________________________
_________________________________
_________________________________
_________________________________
Phone:
Fax:
(SEAL )
Date:
In Reply Refer to Case No.:
Notice of Withholding of Contract Payments
Awarding Body ³ Work Performed in County of
Project Name ³ Project No.
Prime Contractor
Subcontractor
After an investigation concerning the payment of wages to workers employed in the execution of the contract
for the above-named public works project, the Labor Compliance Program for _______________
_______________________ (Awarding Body) has determined that violations of the California Labor Code
have been committed by the contractor and/or subcontractor identified above. In accordance with Labor
Code sections 1771.5 and 1771.6, the Labor Compliance Program hereby issues this Notice of Withholding
of Contract Payments.
The nature of the violations of the Labor Code and the basis for the assessment are as follows:
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
The Labor Compliance Program has determined that the total amount of wages due is:
$___________________
The Labor Compliance Program has determined that the total amount of penalties assessed under Labor
Code sections 1775 and 1813 is: $__________________
The Labor Compliance Program has determined that the amount of penalties assessed under Labor Code
section 1776 is: $__________________
LABOR COMPLIANCE PROGRAM
_____________________________________
By:__________________________________
Notice of Right to Obtain Review - Formal Hearing
In accordance with Labor Code sections 1742 and 1771.6, an affected contractor or subcontractor may obtain
review of this Notice of Withholding of Contract Payments (NWCP) by transmitting a written request to the
office of the Labor Compliance Program that appears below within 60 days after service of the notice. To
obtain a hearing, a written Request for Review must be transmitted to the following address:
Labor Compliance Program
_________________________________________
Review Office-Notice of Withholding of Contract Payments
_________________________________________
_________________________________________
A Request for Review either shall clearly identify the Notice of Withholding of Contract Payments from
which review is sought, including the date of the notice, or it shall include a copy of the notice as an
attachment, and shall also set forth the basis upon which the notice is being contested. In accordance with
Labor Code section 1742, the contractor or subcontractor shall be provided an opportunity to review
evidence to be utilized by the Labor Compliance Program at the hearing within 20 days of the Labor
Compliance Program's receipt of the written Request for Review.
Failure by a contractor or subcontractor to submit a timely Request for
Review will result in a final order which shall be binding on the
contractor and subcontractor, and which shall also be binding, with
respect to the amount due, on a bonding company issuing a bond that
secures the payment of wages and a surety on a bond. Labor Code
section 1743.
In accordance with Labor Code section 1742(d), a certified copy of a final order may be filed by the Labor
Commissioner in the office of the clerk of the superior court in any county in which the affected contractor
or subcontractor has property or has or had a place of business. The clerk, immediately upon the filing, shall
enter judgment for the State against the person assessed in the amount shown on the certified order.
(continued on next page)
Opportunity for Settlement Meeting
In accordance with Labor Code Section 1742.1 (c), the Labor Compliance Program shall, upon receipt of a
request from the affected contractor or subcontractor within 30 days following the service of this Notice of
Withholding of Contract Payments, afford the contractor or subcontractor the opportunity to meet with the
Labor Compliance Program's designee to attempt to settle a dispute regarding this Notice. The settlement
meeting may be held in person or by telephone and shall take place before the expiration of the 60-day
period for seeking a hearing as set forth above under the heading Notice of Right to Obtain Review. No
evidence of anything said or any admission made for the purpose of, in the course of, or pursuant to, the
settlement meeting is admissible or subject to discovery in any administrative or civil proceeding. No
writing prepared for the purpose of, in the course of, or pursuant to, the settlement meeting, other than a final
settlement agreement, is admissible or subject to discovery in any administrative or civil proceeding. This
opportunity to timely request an informal settlement meeting is in addition to the right to obtain a formal
hearing, and a settlement meeting may be requested even if a written Request for Review has already been
made. Requesting a settlement meeting, however, does not extend the 60-day period during which a formal
hearing may be requested.
A written request to meet with the Labor Compliance Program's designee to attempt to settle a dispute
regarding this notice must be transmitted to ______________________ at the following address:
_________________________________________
_________________________________________
_________________________________________
Liquidated Damages
In accordance with Labor Code section 1742.1 (a), after 60 days following the service of this Notice of
Withholding of Contract Payments, the affected contractor, subcontractor, and surety on a bond or bonds
issued to secure the payment of wages covered by the notice shall be liable for liquidated damages in an
amount equal to the wages, or portion thereof that still remain unpaid. If this Notice subsequently is
overturned or modified after administrative or judicial review, liquidated damages shall be payable only on
the wages found to be due and unpaid. If the contractor or subcontractor demonstrates to the satisfaction of
the Director of the Department of Industrial Relations that he or she had substantial grounds for believing
this Notice to be an error, the Director shall waive payment of the liquidated damages.
Notwithstanding the above, in accordance with Labor Code 1742.1 (b), there shall be no liability for
liquidated damages if the full amount found due in this Notice, including penalties, has been deposited with
the Department of Industrial Relations, within 60 days following service of this Notice, for the Department
to hold in escrow pending administrative and judicial review. The Department shall release such funds, plus
any interest earned, at the conclusion of all administrative and judicial review to the persons and entities
who are found to be entitled to such funds.
In lieu of a cash deposit, the contractor may post an undertaking with the Department in full amount of the
Notice of Withholding of Contract Payments. The undertaking shall be on the condition that, if any decision
is issued by the Director upholding this Notice in any respect, the contractor shall pay the amount owed
pursuant to a decision that is final under Labor Code Section 1742, unless the parties have executed a
settlement agreement for the payment of some other amount, in which case the contractor shall pay the
amount that the contractor is obligated to pay under the terms of the settlement agreement. The undertaking
must provide that if the contractor fails to pay the amount owed within 10 days of the date the decision is
final or the execution of the settlement agreement, a portion of the undertaking equal to the amount owed, or
the entire undertaking if the amount exceeds the undertaking is forfeited to the Labor Commissioner for the
State of California for the purpose of satisfying the amounts owed under this Notice. A payment bond
obtained by a contractor for the public works project which is the subject to this Notice shall not be accepted
as an undertaking unless the following two conditions are completely satisfied: (1) the payment bond
provides the payment of the full amount of this Notice, including but not limited to, all wages, training, trust
contributions, and penalties, and (2) the conditions of payment set forth above are expressly agreed to by the
affected contractor(s) and the surety which issued the payment bond. The undertaking should be forwarded
to the Department as directed below. The Department’s Accounting Office will hold the undertaking until
the administrative and judicial review is completed. The disbursement of the bond funds will follow the
same process as described above for a cash deposit.
Deposits must be made by check or money order payable to the Department of Industrial Relations with a
letter and a copy of the Notice of Withhold Contract Payments and mailed to:
Department of Industrial Relations
Attention Cashiering Unit
P.O. Box 420603
San Francisco, CA 94142
The Amount of Liquidated Damages Available Under this Notice is $_______________.
Distribution: Attach:
Prime Contractor Audit Summary
Subcontractor Proof of Service
Surety(s) on Bond
Request to Review Evidence
To: ______________________________
______________________________
______________________________
______________________________
From:______________________________
______________________________
______________________________
______________________________
Regarding Notice of Withholding of Contract Payments Dated ____________
Our Case No.: _________________
The undersigned hereby requests an opportunity to review evidence to be utilized
by the Labor Compliance Program at the hearing on the Request for Review.
________________________________
Phone No.:_______________________
Fax No.:_________________________
LABOR COMPLIANCE PROGRAM
________________________________
Review Office - Notice of Withholding
of Contract Payments
_________________________________
_________________________________
_________________________________
Phone:
Fax:
(SEAL )
Date:
In Reply Refer to Case No.:
Notice of Transmittal
To: Department of Industrial Relations
Office of the Director-Legal Unit
Attention: Lead Hearing Officer
P. O. Box 420603
San Francisco, CA 94142-0603
Enclosed herewith please find a Request for Review, dated __________________, postmarked
___________________, and received by this office on ____________________.
Also enclosed please find the following:
____ Copy of Notice of Withholding of Contract Payments
____ Copy of Audit Summary
LABOR COMPLIANCE PROGRAM
________________________________
By:_____________________________
cc: Prime Contractor
Subcontractor
Bonding Company
Please be advised that the Request for Review identified above has been received and
transmitted to the address indicated. Please be further advised that the governing
procedures applicable to these hearings are set forth at Title 8, California Code of
Regulations sections 17201-17270. These hearings are not governed by Chapter 5 of
the Government Code, commencing with section 11500.
(Insert Awarding Agency Logo)
"[Click here and enter date]"
"[Click here and type Awarding Body Accounting Dept]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
ATTN: "[Click here and enter name]"
RE: DEDUCTIVE CHANGE ORDER FOR
"[CLICK HERE AND TYPE AFFECTED CONTRACTOR NAME]"
Awarding Body: "[Click here and type Awarding Body name]"
Project Name: "[Click here and type Project name]"
Prime Contractor: "[Click here and type Prime Contractor name]"
Dear "[Click here and enter name]" ,
After an informal conference held on "[Click here and enter date]" between
"[Click here and type affected contractor name]" and "[Enter Awarding Body]" a settlement for
records penalties in the amount of "[Click here and enter penalty amount]" under California
Labor Code §1776(h) and underpayment of prevailing wage penalties
"[Click here and enter underpayment & penalty amount]" under California Labor Code §1775
was offered and accepted.
"[Enter Awarding Body]" shall initiate a deductive change order to
"[Click here and type Prime Contractor name]" in the sum of
"[Click here and enter underpayment & penalty amounts]" . When the Change order is signed
provide a copy to the "[Enter Awarding Body]" Labor Compliance Officer, the associated Notice
to Withhold Contract Payments shall cease to have any effect and shall be withdrawn when
received.
If I can be of assistance in this matter, please feel free to contact me, 8:00am to 5:00pm
Monday through Friday at "[Enter Phone Number]" .
Thank you,
"[Enter your name]"
Investigations Supervisor
Cc: "[Click here and type Prime Contractor name]"
Date:
Telephone:
Project No:
Contract No.
Did you work for Yes____No ____
If so, when?From:To:
Describe the work you performed on the project.
List the tools or equipment you used to perform your work.
How much time did you spend doing each duty?
Did you keep a record of days and hours you worked on this project?Yes ____No ____(If yes,provide a copy of that record)
Did you work more than eight hours in a day?Yes ______No ______
If so, when?
Were you asked to provide a portion of your wages to work on this project? Yes ______ No _______
If so Who asked you to provide a portion of your wages to work on this project? ___________________________________________
If so How much of your wages were you asked to provide? $______________ Daily _______ Weekly ________ One Time ______
What was your straight time or regular pay rate?
What was your rate of pay for work in excess of 8 hours?
on this project?
What was your job title?
Subcontractor:
Project Name:
Awarding Body:
Employee Inquiry Form
Employee Name
The Labor Compliance Program is conducting an investigation to determine whether you were paid all prevailing wages
Refer to Case No:
"[Enter Awarding Body]" Labor Compliance Program
"[Enter Awarding Body]"
Enter Address
Enter City, State, Zip
Phone:
Address:
Fax:
(ATTACH ADDITIONAL SHEETS IF NECESSARY)
due to you for the work you performed on the above listed project. Please answer the following questions and return
this form with any documentation to Awarding Agency at the address above:
City, State Zip Code
Prime Contractor:
1 of 2
Yes ____No ____
If so, when?
If so, what was your rate of pay?
Did you receive a payroll check, cash or both?
Yes ____No ______
(If not, be specific as to what days you were not paid. Also please provide a copy of all check stubs for this period.)
Were there hours or a portion of hours not paid because you were told this was roll up or roll out time? Yes ________ No ________
(If so specify who told you this and what days and hours)
Did you receive any of the following benefits?Yes____No ____
Pension:Yes ____ No ____401K:Yes ____No ____Vacation:Yes ____No ____
Travel:Yes ___ No ____Other:Yes ____No ____
Can your name be used in this investigation: Yes ____ No _____
Comments:
__________________________________
Labor Compliance Investigator
Telephone Number:
(If you have any other information you feel is important, please attach to this letter or call me the above telephone number)
(ATTACH ADDITIONAL SHEETS IF NECESSARY)
Your Signature:
Address:
Social Security Number:
Medical Insurance:
Did you work on Saturday, Sunday or Holidays?
Were you paid for all hours worked?
2 of 2
Fecha:
Telefono
No. del Proyecto
No. del Contracto
Si____No ____
Cuando ?:Fecha de:A:
Cuales eran sus tareas de trabajo en este proyecto ?.
(ADJUNTAR HOJAS ADICIONALES SI ES NECESARIO)
Si ____No ____
(En caso afirmativo, facilite una copia del acta)
Si ____No ____
Si, si cuando?
Se le pedio que proporcione una porcion de su salario para trabajar en este proyecto? Si ____ No ____
Si es asi quen pidio que se les proporcione una porcion de su salario para trabajar en este proyecto? _______________________________
Si es asi el procentaje de su salario se le pedira que proporcione? $__________ Diario ______ Semanal ______ A Tiempo ______
Cual fue el tiempo regular o la tasa regular de pago? ______________________________
Cual es su tasa de remuneracion por un trabajo de mas de 8 horas? _____________________
Si ____No ____
Si, cuando?
"[Enter Awarding Body]" Labor Compliance Program
"[Enter Awarding Body]"
Enter Address
todas las preguntas y regrese este formulario a la direccion antes mencionada.
Enter City, State, Zip
Phone:
Fax:
No. Del Contrato:
Domicilio
Cuidad, Estado, Codigo Postal
Cuestionario de Empleado
Nombre:
El programa de Labor Compliance de la agencia publica esta haciendo una investigacion para ver si usted fue pagado
los salarios prevalecientes que le pertenecien por el trabajo que usted iso en este proyecto. Por Favor conteste
Nombre del Proyecto:
Entidad Adjudicadora:
Usted trabajo por:En este proyecto?
Primer Contratista:
Subcontratista:
Que herramientas y equipo usaba usted para hacer el trabajo?
Cuanto tiempo trabajo haciendo su trabajo?
Cual era su clasificacion de empleo ?:
Usted trabajo Savado, Domingo o dias festivos?
Cuanto fue su pago por hora? _________________________
Trabajo mas de ocho (8) horas en un dia?
Usted tiene un registro de los dias y horas que usted trabajo en este proyecto?
Usted recibio un cheque, dinero efectivo o los dos? Si ____ No ____
1 OF 2
Si ____No ____
(Si no, porfavor anotar los periodos de pago? Tambien, por favor incluyir copias de talones de cheque por ese periodo.)
Existen horas o una parte de las horas no pagadas, porque se le dijo que se trataba de un rollo o rollo a cabo del tiempo? Si ___ No ____
(En caso afirmativo especificar quen le dijo y que dias y horas)
Si ____No ____
Pencion:Si ____ No ____Plan de Retiramiento 401K:Si ____No ____Vacaciones:Yes ____No ____
Tiempo para viajar:Si ___ No ____Otros:Si ____No ____
Su nombre se puede utlizar en esta investigacion: Si ____ No _____
Comentarios:
Le pagaron por todas las horas que usted trabajo?
Usted recibio algunos de estos beneficios?Aseguranza Medica:
Su Firma:
Domicilio:
No. de Seguro Social:
Labor Compliance Investigator
Tel. de Casa:
(Si usted tiene otra informacion que es importante, por favor anote la en una hoja y incluyir lo con esta
forma o llamar .)
2 OF 2
Exhibit List
Exhibit
Number Exhibit Description Date ID Date In
Exhibit List
Exhibit
Number Exhibit Description Date ID Date In
Exhibit List
Exhibit
Number Exhibit Description Date ID Date In
Exhibit List
Exhibit
Number Exhibit Description Date ID Date In
Exhibit List
Exhibit
Number Exhibit Description Date ID Date In
Exhibit List
Exhibit
Number Exhibit Description Date ID Date In
Statement of Employer Payments
Date:In Reply, Refer to Case No:
Prime:
Subcontractor:
PROJECT NAME:
PROJECT CONTRACT NO.:County/location:
NAME OF PLAN Address, City and Zip
ADMINISTRATOR Address, City and Zip
CLASSIFICATION(S) USED CONTRIBUTION PER CLASSIFICATION PER HOUR
CONTRIBUTIONS: WEEKLY_____ MONTHLY_____ QUARTERLY_____ ANNUALLY_____
NAME OF PLAN Address, City and Zip
ADMINISTRATOR Address, City and Zip
CLASSIFICATION(S) USED CONTRIBUTION PER CLASSIFICATION PER HOUR
CONTRIBUTIONS: WEEKLY_____ MONTHLY_____ QUARTERLY_____ ANNUALLY_____
NAME OF PLAN Address, City and Zip
ADMINISTRATOR Address, City and Zip
CLASSIFICATION(S) USED CONTRIBUTION PER CLASSIFICATION PER HOUR
CONTRIBUTIONS: WEEKLY_____ MONTHLY_____ QUARTERLY_____ ANNUALLY_____
NAME OF PLAN Address, City and Zip
ADMINISTRATOR Address, City and Zip
CLASSIFICATION(S) USED CONTRIBUTION PER CLASSIFICATION PER HOUR
CONTRIBUTIONS: WEEKLY_____ MONTHLY_____ QUARTERLY_____ ANNUALLY_____
IF YOU USE OTHER PLANS NOT LISTED ABOVE, YOU MAY USE THE BACK OF THIS FORM TO PROVIDE
THIS ADDITIONAL INFORMATION
PW 26
HEALTH AND WELFARE
PENSION
VACATION/HOLIDAY
TRAINING
FRINGE BENEFITS STATEMENT
The Awarding Body Labor Compliance Program is the recipient of the Fringe Benefit Statement
(Wet Signature Required). Please submit monthly documentation that all Employer Fringe
Benefit Payments are current.
CLASSIFICATION: The Fringe Benefit Statement must include all Trades/Classifications of
employees that YOUR COMPANY will dispatch to the Public Works Project, including
Apprentices.
Do not list each employee by name that you will dispatch within the Trade/Classification.
EFFECTIVE DATE: Is the date of the DIR Prevailing Wage Determination governing the
duration of the Public Works Project.
SUBSISTENCE OR TRAVEL: If your company will be required to pay this fringe benefit
insert the per diem amount within this section.
EMPLOYER PAID FRINGE BENEFITS: Next to each listed Fringe Benefit indicate the
hourly rates for fringe benefits payments made for employees by the employer on the various
classes of work. Do not include amounts that are paid directly by the employee.
PAID TO: Insert the name and address of the Plan, Fund or Program where the benefit will be
sent, or if the benefit amount is to be paid directly to the Employee, indicate same by inserting
"Employee".
Do not list each employee by name.
All fringe benefits must be irrevocably paid to an authorized fund or to the employee. No unpaid
amounts are allowed.
A Common Misunderstanding of the Status of "Owner-Operators" Under the State
Labor Code.
There is a common misconception among many owner-operators that there is something like an
"exemption" from prevailing wage requirements for owner-operators that perform work on public
works projects. This is simply not the case, under the Labor Code; an owner-operator who
performs work in the field is a "journeyman", regardless of his or her status as an owner. The
Fringe Benefit Statement must reflect this fact. The only owners who are exempt from prevailing
wage requirements are those that perform only supervisory or management functions, without
working with the tools or operating equipment.
Credits, For Fringe Benefit Payments
CALIFORNIA CODE OF REGULATIONS: TITLE 8, GROUP3, ARTICLE 4,
16200(i) Credit Available for Actual Payment of Fringe Benefit Costs up to the Prevailing
Amount. The contractor obligated to pay the full prevailing rate of per diem wages may take
credit for amounts up to the total of all fringe benefit amounts listed as prevailing in the
appropriate wage determination. This credit may be taken only as to amounts which are actual
payments under Employer Payments Section 16000(1)-(3). In the event the total of Employer
Payments by a contractor for the fringe benefits listed as prevailing is less than the aggregate
amount set out as prevailing in the wage determination, the contractor must pay the difference
directly to the employee. No amount of credit for payments over the aggregate amount of
employer payments shall be taken nor shall any credit decrease the amount of direct payment
of hourly wages of those amounts found to be prevailing for straight time or overtime wages.
Memo from the Division of Industrial Relations dated 11-15-90.
THE RULE:
The contractor can pay amounts for individual benefits different than the state shows in the
wage reports so long as it is not less than the total amount permitted for all benefits. Any
contractor paid amount less than the total benefit requirements listed in the state wage reports
must be paid to the employee.
HELPFUL WEB SITES
Questions about classifications and scope of work, prevailing wage
determinations or special determinations for a specific project:
• Division of Labor Statistics and Research:
http://www.dir.ca.gov/DLSR/statistics_research.html
• California Apprenticeship Council: www.dir.ca.gov/CAC/cac.html
• Department of General Services Office of Public School Construction:
www.opsc.dgs.ca.gov.
• Department of Industrial Relations: www.dir.ca.gov
• Division of Labor Standards Enforcement: www.dir.ca.gov/DLSE/dlse.html
• Division of Apprenticeship Standards: www.dir.ca.gov/DAS/das.html
Law codes
Law codes must be obtained from the Internet or the Department of Industrial Relations.
• California Code of Regulations: http://ccr.oal.ca.gov/
• California Labor Code: www.leginfo.ca.gov
Forms
• Public Works Contract Award Form DAS 140:
http://www.dir.ca.gov/DAS/DASForm140.pdf
• Certified Payroll Reporting Form A-1-131:
http://www.dir.ca.gov/dlse/publicWorksPayrollInstructions.htm
• Statement of Employer Payments of PW 26: http://www.dir.ca.gov/dlse/DLSEForm-
PW26.pdf
• California Apprenticeship Council Training Fund Contributions:
http://www.dir.ca.gov/DAS/DASCAC2.pdf
Labor Compliance Program Questions
• Golden State Labor Compliance: http://www.goldenstatelc.com
Date:
Name:
Address:
City:
State:
Zip:
Phone Number:
Alt. Phone Number:
Project Name:
Contractor Name:
Reason for Complaint:
Who Took Information:
Employee Questionnaire Sent:Given to Super:
Put in Phone Log:Given to LCS:
(Insert Awarding Agency Logo)
INITIAL COMPLAINT INFORMATION FORM
(Insert Awarding Agency Logo)
PROOF OF SERVICE
(Code of Civil Procedures § 1013a, § 2015.5)
I, [Click here and type name], do hereby certify that I am a resident of or employed in the County of
"[Enter county]" , over 18 years of age, and not a party to the within action, and that I am
employed at and my business address is:
"[Enter Awarding Body]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
On, "[Click here and enter date]" , I served the within: Letter regarding Labor Compliance Forms
and Payroll Reporting on the parties listed below by placing true copies thereof in sealed
envelopes addressed as shown below for service as designated below:
(A) By First Class Mail: I am readily familiar with the practice of
"[Enter Awarding Body]" for the collection and processing of correspondence for mailing with
the United States Postal Service. I caused each such envelope, with first-class postage thereon
fully prepared, to be deposited in a recognized place of deposit of the U. S. Mail in
"[Enter county]" County, California, for collection and mailing to the office of the addressee on
the date shown herein.
TYPE OF ADDRESSEE AND FAX NUMBER
SERVICE (IF APPLICABLE)
A "[Click here and type contractor name]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
I certify under penalty of perjury under the laws of the State of California that the
foregoing is true and correct.
Executed on "[Enter date]" , at "[Enter city]" , County of "[Enter county]" California
_______________________________
SIGNATURE
(Insert Awarding Agency Logo)
"[Click here and enter date]"
"[Click here and type contractor name]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
RE: LABOR COMPLIANCE FORMS AND PAYROLL REPORTING
PROJECT: "[Click here and type Project name]"
The purpose of this letter is to introduce "[Enter Awarding Body]" Labor Compliance
Program. I will be the Labor Compliance Specialist that is servicing your company’s
submittal of certified payroll and other Labor Compliance Program related documents.
If you are a subcontractor we encourage you to contact your Prime or General Contractor to
ascertain their procedures and requirements for the collection and submittal of records. The
Prime or General Contractor has obligations under the California Labor Code regarding
review and acceptance of these required documents. It is not "[Enter Awarding Body]"
intention to interfere or alter the Contractor’s established procedures.
At the pre-construction meeting a labor compliance package containing documents, forms
and instructions was distributed. The "[Enter Awarding Body]" Program, the California Labor
Law and the contract provisions requires the completion and submittal of the documents. If
you were unable to attend the meeting or have not received a package from your General or
Prime Contractor you should contact them and request a package, however if they are
unable to provide the forms package please contact me and I will be happy to provide you
with the complete package or individual forms as needed.
The documents provided in the handout consist of:
Certified payroll data (Blank Payroll Reporting Form, Statement of Non-Performance
and Payroll Certification Form)
Contractors Acknowledgement of LCP
Fringe Benefit Statement
DAS-140 form-Public Works Contract Award Information
CAC/2 form, for the reporting of payment to the California Apprenticeship Committee
DAS-142 form-Documentation of Dispatch/Request for Apprentices
Payroll Certifications, Fringe Benefits Statements and Contractor’s Acknowledgement
of LCP shall have WET SIGNATURES and be received in our offices as original
documents.
Only forms published by the California Department of Industrial Relations or
"[Enter Awarding Body]" Labor Compliance Program shall be submitted. The use of
Federal forms or certifications and State forms other than those from the Department
of Industrial Relations will not be accepted.
Labor Compliance Forms and Payroll Reporting Letter
Page 2
Initial Documentation required by Contract or Labor Code
It is recommended that you complete and return the following initial documents as soon as
possible, irrespective of your projected start date on the project. This will enable
"[Enter Awarding Body]" to review the documents and eliminate any delays to approving
contractor payment applications.
a. A completed and signed “Contractor’s Acknowledgement of LCP”(wet signature
required)
b. A completed and signed “Fringe Benefit Statement” covering all labor
classifications anticipated to be employed on the project, including apprentices
(wet signature required).
c. A reproduced copy of each DAS-140 form filed with each Apprenticeship
Committee applicable to any labor classification anticipated to be employed on the
project. Failing to submit copies of filed DAS-140’s to "[Enter Awarding Body]" will
not be a cause to deny approval of contract payments, however, failing to file such
notices is a violation of the Labor Code and will expose the contractor or
subcontractor to liability for penalties.
Ongoing Monthly Documentation Throughout the Course of the Project
a. With the primary objective being to eliminate any need for the withholding of
Contractor Payments every contractor or subcontractor of any tier that provided on-site labor
of any kind shall submit an unbroken chain of weekly Certified Payroll Reports or Non-
Performance Reports covering the entire period from the first day services were performed
on the project through their “Final Payroll” on at least a monthly basis. Upon receipt of a
payment application "[Enter Awarding Body]" will verify that payroll records have been
received from the last day of labor reported on prior Certified Payroll Reports through at
least the 15th of the current month for which payment is requested. (The required format for
payroll information and certification is set forth-on DIR form A-1-131 public work payroll
reporting form. The person certifying these copies must be the contractor or an authorized
agent to act on behalf of the contractor).
b. For every contractor or subcontractor of any tier that provided on-site labor of
any kind a completed CAC-2 or other appropriate document confirming payment of training
funds to appropriate Apprenticeship Committees or the California Apprenticeship Council by
not later than the 15th of the month for which payment application is being made.
c. Certified Payroll Records as well as other required documents shall be
submitted as outlined in the contract documents and through the channels established by
the Project Manager, the Construction Manager, the General or Prime Contractor whichever
is applicable.
Documentation to be Provided by the end of the Project
a. Documentation showing compliance with CLC § 1777.5 and CCR § 230.1
regarding the employment and request of dispatch of apprentices. (Documentation of your
request may be in the form of a letter from an approved Apprenticeship Training Program or
Union stating “No Apprentices Available” or a copy of the faxed request (showing transmittal
success) or a copy of the signed certified/registered mail receipt).
NOTE: Please do not reproduce and re-submit any forms that your company has previously
submitted for this specific project.
If I can be of assistance feel free to contact me Monday-Friday, between 8:00 am and 5:00
pm, at "[Enter Phone Number]" .
Thank you,
"[Click here and type your name and title]"
Apprentices on Public Work projects
Summary of requirements
Compliance with California Labor Code Section 1777.5 requires all public works contractors and
subcontractors to:
1. Submit contract award information.
Contractors who are not already approved to train by an apprenticeship program sponsor shall
provide contract award information to all of the applicable apprenticeship committees whose
geographic area of operation includes the area of the public works project. Submit contract award
information to the apprenticeship committee for each apprenticeable craft or trade in the area of the
site of the public works project that has approved the contractors, who are participants in an approved
apprenticeship program, to train apprentices. (Title 8, California Code of Regulations, Section 230).
The contract award information shall be in writing and may be on a Public Works Contract Award
Information form (DAS 140). The information shall be provided to the applicable apprenticeship
committee within ten (10) days of the date of the execution of the prime contract or subcontract, but in
no event later than the first day in which the contractor has workers employed upon the public work.
(Title 8, California Code of Regulations, Section 230). The filing of a DAS 140 is not a request for
dispatch of registered apprentices.
2. Employ registered apprentices on the Public Works project in a ratio of no less than one (1) hour
of apprentice work for every five (5) hours performed by a journeyman.)
1. Contractors who are not already employing sufficient registered apprentices to comply with the
one-to-five ratio must request the dispatch of required apprentices from the apprenticeship
committees providing training in each applicable craft or trade and whose geographic area of
operation includes the site of the public work by giving the committee written notice of at least 72
hours (excluding Saturdays, Sundays and holidays) before the date on which apprentices are
required.
2. If the apprenticeship committee from which apprentice dispatch is requested does not dispatch
apprentices as requested, the contractor must request apprentice dispatch from another committee
providing training in the applicable craft or trade in the geographic area of the site of the public work,
and must request dispatch from each such committee, either consecutively or simultaneously, until
the contractor has requested apprentice dispatch from each such committee in the geographic area.
3. If a non-signatory contractor is dispatched fewer apprentices than requested from an
apprenticeship program the contractor must request dispatch from all other committees that provide
training in the applicable craft or trade whose geographic area of operation includes the site of the
public work.
(Title 8, California Code of Regulations, Section 230.1).
3. Make training fund contributions in the amount established in the Prevailing Wage Rate
publication for journeymen and apprentices. Contractors who contribute to an apprenticeship program
are entitled to a full credit in the amount of those contributions. Contractors who do not c ontribute to
an apprenticeship program must submit their contributions to the California Apprenticeship Council.
Funds are due & payable by the 15th of the month for work performed during the preceding
month. The contribution should be paid by check and be accompanied by a copy of the
completed CAC - Training Fund Contributions online form found at:
https://www.dir.ca.gov/DAS/tf/cac2.asp, and mailed to:
Department of Industrial Relations
California Apprenticeship Council
P.O. Box 511283
Los Angeles, CA 90051-7838
See www.dir.ca.gov for the complete regulations and Labor Code provisions.
DATE TIME ACTIVITY
PROJECT: CASE NUMBER :
ISSUE:
AFFECTED CONTRACTOR: AWARDING BODY:
1 OF 1
Phone:
Fax:
Date:
Subject:
To:
evidence at the office of the Enforcing Agency during normal business hours; of if
(2) The Enforcing Agency at its own expense forwards copies of all such evidence to
the affected contractor or subcontractor.
opportunity and the procedures for reviewing evidence to be utilized by the
Enforcing Agency at the hearing of the Request for Review.
(b) An Enforcing Agency shall be deemed to have provided the opportunity to
review evidence required by this Rule if it (1) gives the affected contractor or
subcontractor the option at said party's own expense to either (i) obtain copies of all
such evidence through a commercial copying service or (ii) inspect and copy such
In accordance with Labor Code section 1742(b), this notice provides you with an opportunity to
review evidence to be utilized by the Labor Compliance Program at the hearing on the Request for
Review, and the procedures for reviewing such evidence.
Rule 17224 of the Prevailing Wage Hearing Regulations provides as follows:
(a) Within ten (10) days following its receipt of a Request for Review, the
Enforcing Agency shall also notify the affected contractor or subcontractor of its
Please be advised that this office has received your Request for Review, dated
and pertaining to the Notice of Withholding of Contract Payments issued by the Labor Compliance
Program in Case No.
Subcontractor
In Reply Refer to Case Number:
Review Office - Notice of Withholding of Contract Payments -
Notice of Opportunity to Review Evidence Pursuant to Labor Code Section 1742(b)
Prime Contractor
(City, State, Zip)
(Insert Awarding Agency Logo)
(Awarding Body)
Labor Compliance Program
(Awarding Body)
(Address)
Subject:
Within five calendar days of the date of this notice, please transmit the
attached Request to Review Evidence to the following address:
Labor Compliance Officer
Awarding Agency
(Address)
(City, State, Zip)
presenting any evidence first obtained after the initial disclosure of evidence under
subparts (a) through (d), provided that, such evidence is promptly disclosed to the
affected contractor or subcontractor. This Rule also shall not preclude the
Enforcing Agency from presenting previously undisclosed evidence to rebut new or
In accordance with the above Rule, please be advised that the Labor Compliance Program's procedure
for you to exercise your opportunity to review evidence is as follows:
provided that, this deadline may be extended by written request or agreement of the
affected contractor or subcontractor. The Enforcing Agency's failure to make
evidence available for review as required by Labor Code Section 1742(b) and this
Rule, shall preclude the enforcing agency from introducing such evidence in
proceedings before the Hearing Officer of the Director.
(e) This Rule shall not preclude the Enforcing Agency from relying upon or
Notice of Opportunity to Review Evidence Pursuant to Labor Code Section 1742(b)
(c) The evidence required to be provided under this Rule shall include the identity of
witnesses whose testimony the Enforcing Agency intends to present, either in person
collateral claims raised by another party in the proceeding.
at the hearing or by declaration or affidavit. This provision shall not be construed as
requiring the Enforcing Agency to prepare or provide any separate listing of
witnesses whose identities are disclosed within the written materials made available
under subpart (a).
(d) The Enforcing Agency shall make evidence available for review as specified in
subparts (a) through (c) within 20 days of its receipt of the Request for Review;
Review Office - Notice of Withholding of Contract Payments -
To:
From:
Title:
(City, State, Zip)
Program at the hearing on the Request for Review.
Phone Number:
Fax Number:
Printed Name:
Case Number:
The undersigned hereby requests an opportunity to review evidence to be utilized by the Labor Compliance
Regarding Notice of Withholding of Contract Payments Dated
Request to Review Evidence
Labor Compliance Officer
Awarding Agency
(Address)
Phone:
Fax:
Date:
To:
Subject:
To Whom It May Concern:
Other
Cc:
Bc:
Complainant
Labor Compliance Officer
Prime
CM
In Reply Refer to Case Number:
Project Name:
(AWARDING BODY NAME)
(Insert Awarding Agency Logo)
Labor Compliance Program
Awarding Agency
Address
City, State, Zip
Project Number:
Notice of Complaint Closed
Awarding Body:
Prime Contractor:
Subcontractor:
The complaint against the above-named contractor(s) is being closed for the following reasons
Subject firm has satisfactorily paid all prevailing wages and/or penalties found due.
the public work provisions of the Labor Code. You may want to review the California
Court of Appeals decision in the case of Tippett v Terich (1995), 37 Cal.App.4th 1517,
44Cal.Rptr.2d 862 and/or consult with an attorney to determine if you may pursue
any of the legal actions discussed in the Tippett v Terich decision.
The statute of limitations for the Labor Commissioner to prosecute California Public
Work Law, (Labor Code sections 1720 through 1861), have expired. (Information for
Claimant) Please note that there are other legal claims which you may still pursue even
though the statute of limitations have expired for the Labor Commissioner to enforce
Sincerely,
(Enter Name)
There is insufficient evidence to confirm California Public Work Law was violated.
Subject firm was not within the jurisdiction of California Work Law on this project.
Phone:
Fax:
Date:
To:
Subject:
Project No:
Contract No:
cc:
bc:
Enter Name
been filed in the (Awarding Agency's) Labor Compliance Office against the contractor(s) listed above.
wages and/or penalties are due, a Notice of Withholding Contract Payments by the Director of
Industrial Relations (DIR) will be requested pursuant to Labor Code Section 1741.
Subcontractor:
Complainant
To Whom It May Concern:
Enter Title
Prime
CM
Notification of Complaint Filed
Awarding Body:
Sincerely,
A complaint alleging violation of the Public Work Law (California Labor Code, Division 2, Part 7) has
You are hereby advised an investigation is commencing of the above-named project to insure
compliance with the provisions of the Labor Code. After an investigation, if it is determined that
Prime Contractor:
In Reply Refer to Case No:
Project Name:
(Awarding Body) Labor Compliance Program
(Awarding Body)
(Insert Awarding Agency Logo)
Labor Compliance Program
Enter Address
Enter City, State, Zip
"[Enter Awarding Body]"
LABOR COMPLIANCE PROGRAM
(Insert Awarding Agency Logo)
"[Click here and type address]"
"[Click here and type city, state, zip]"
Phone: "[Click here and type #]" Fax: "[Click here and type #]"
SERVICE OF NOTICE VIA CERTIFIED MAIL
Date:_________________ In Reply Refer to Case No. ______________________
NOTICE OF INTENT TO REQUEST FORFEITURE OF MONIES
Awarding Body:_____________________________ Work Performed in County:___________________
Project Name:___________________________________ Project Number:_______________________
Prime Contractor:_____________________________________________________________________
Subcontractor:_______________________________________________________________________
To Whom It May Concern:
After an investigation concerning the payment of wages and/ or requested payroll records in the
execution of the contract for the above named public works project, the Labor Compliance Program LLC
for "[Enter Awarding Body]" has determined that violations of the California Labor Code have been
committed by the contractor and/or subcontractor identified above. The Labor Compliance Program
hereby issues this Notice of Intent to Request Forfeiture of Monies you would otherwise be paid.
The nature of the violations of the Labor Code and the basis for this intent are as follows:
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
The Labor Compliance Program has determined that the total amount of wages due is: $_____________
The Labor Compliance Program has determined that the total amount of penalties assessed under Labor
Code sections 1775 and 1813 is: $____________________
The Labor Compliance Program has determined that the total amount of penalties assessed under Labor
Code section 1776 is: $____________________
Opportunity for Meeting
The prime contractor and subcontractor have the opportunity to meet with the Labor Compliance
Program to discuss the alleged violation(s), to explain why there was no violation and/or that any
violation was caused by a good faith mistake and promptly corrected when brought to the prime
contractor or subcontractor’s attention and to provide mitigating evidence to the Labor Compliance
Program. A written request to meet must be transmitted within 30 days following the service of this
notice to "[Enter LC Officer]" at the following address:
"[Enter Awarding Body]"
Attention: "[Enter LC Officer]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
If a written request to meet is not received within 30 days, the Labor Compliance Program will transmit to
the Labor Commissioner a request to forfeit the amount of back wages and penalties identified above.
"[Enter Awarding Body]" Labor Compliance Program:
_________________________________
"[Enter LC Officer]"
Labor Compliance Officer
Distribution:
Awarding Body
Prime Contractor
Subcontractor
(Insert Awarding Agency Logo)
NOTICE OF INVESTIGATION
"[Enter Awarding Body]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
Phone: "[Enter #]" Fax: "[Enter #]"
"[Click here and type date]" In Reply Refer to Case No.: __________
Awarding Body: ______________________________________County: ______________
Project Name: ______________________________________ Project Number:______________
Prime Contractor: _ ____________________________
Subcontractor: ___ _________________________________
An investigation concerning the payment of wages to workers employed in the execution of the contract
for the above named public works project has been initiated by the "[Enter Awarding Body]" Labor
Compliance Program to determine if violations of the California Labor Code have been committed by the
contractor and/or subcontractor identified above.
The nature of the investigation of the Labor Code violations is as follows:
1. "[Click here and type nature of violation]"
2. "[Click here and type nature of violation]"
Upon completion of the investigation:
1. The Labor Compliance Program will determine the total amount of wages due, if any.
2. The Labor Compliance Program will determine the total amount of penalties to be assessed
under Labor Code sections 1775 and 1813, if applicable.
3. The Labor Compliance Program will determine the total amount of penalties to be assessed
under Labor Code section 1776, if applicable.
4. The Labor Compliance Program will issue a Notice of Withholding of Contract Payments for any
underpayment of wages and penalties as may be applicable.
"[Enter Awarding Body]" Labor Compliance Program
"[Click here and type your name]"
Investigations Supervisor
Cc: "[Click here and type Prime name]"
"[Click here and type Affected Contractor name ]"
"[Click here and type name of CM/GM]"
(Insert Awarding Agency Logo)
"[Click here and type date]"
"[Enter Primary Defendant Company]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
Attn: "[Enter name of primary contact]"
Re: NOTICE OF REQUEST FOR APPROVAL OF FORFEITURE AMOUNT
Project: "[ENTER PROJECT NAME]"
Dear "[Enter name of primary contact]" :
A Request for Approval of Forfeiture Amount has been submitted to the Labor Commissioner for
alleged and unresolved Labor Code violations in regard to the above named public works
project (copy attached). This request is based upon the best evidence available to us at this
time and reflects the fact that you have not provided us with explanatory or rebuttal evidence to
support a position that the alleged violations have not taken place.
If you have not been paid the full contract price for the above named project, the Request for
Approval of Forfeiture Amount requests that the Labor Commissioner approve a forfeiture of
money that you would otherwise be paid. If you have received full payment under your contract
for this project, approval by the Labor Commissioner of the Request for Approval of Forfeiture
Amount could result in a judgment against your company.
Pursuant to California Code of Regulations Section 16437(e) (1), the Labor Commissioner must
approve, modify or disapprove the Request for Approval of Forfeiture Amount within 30 days of
his receipt of that request. Time is very much of the essence with respect to this matter.
"[Enter Awarding Body]" is fully prepared to receive and consider any evidence that you may
provide to explain why the violations alleged did not take place. We are also fully prepared to
receive and consider evidence that the violation was caused by good faith mistake and that you
have promptly corrected such violation. If such evidence is convincing, we are prepared to
modify or withdraw the Request for Approval of Forfeiture Amount accordingly. Failure to
provide such evidence may result in the Labor Commissioner’s approval of the request without
modification.
If you change address or elect to retain an attorney in this matter, it is your responsibility to
advise both "[Enter Awarding Body]" and the Labor Commissioner of such by certified mail.
Otherwise, notices will be served at your last address on file and deadlines might pass before
you receive such notices.
Respectfully,
"[Enter Name]"
Labor Compliance Officer
Cc: "[Enter name]" , "[Enter title]" Labor Commissioner
"[Enter Genral Contractor name]"
"[Enter Subcontractor name]" (Delete party that appears as primary
"[Enter CM name, if applicable]" addressee at top of letter)
"[Enter Bonding Company name]"
Phone:
Fax:
Date:
Subject:
To:
P. O. Box 420603
postmarked
.
cc:
Please be advised that the Request for Review identified above has been received
and transmitted to the address indicated. Please be further advised that the
governing procedures applicable to these hearings are set forth at Title 8, California
Code of Regulations sections 17201-17270. These hearings are not governed by
(Prime Contractor)
(Subcontractor)
(Bonding Company)
Chapter 5 of the Government Code, commencing with section 11500.
Enter Title
(Awarding Body) Labor Compliance Program
Attention: Lead Hearing Officer
San Francisco, CA 94142-0603
Also enclosed please find the following:
Copy of Notice of Withholding of Contract Payments
Copy of Audit Summary and Evidence
, and received by this office on
Review Office - Notice of Withholding of Contract Payments - Notice of Transmittal
Enter Name
(Insert Awarding Agency Logo)
In Reply Refer to Case Number:
Enclosed herewith please find a Request for Review dated
Department of Industrial Relations
Office of the Director - Legal Unit
Enter Address
Enter City, State, Zip
(Awarding Body)
Labor Compliance Program
(Insert Awarding Agency Logo)
"[Enter Date]"
"[Enter Contractor Name]"
"[Enter Street Address]"
"[Enter City, State, Zip]"
RE: NOTICE OF GROSS WAGE DISTRIBUTION ON THE "[ENTER PROJECT NAME]"
"[Enter Primary Contact]" :
Pursuant to an investigation and recovery of prevailing wages on the above referenced public
works project, "[Enter Awarding Body]" Labor Compliance Program hereby gives you notice of
a gross wage distribution.
Upon receipt of your check #"[Enter Check #]" for gross wages owed to worker(s) employed by
"[Enter Affected Contractor]" on the "[Enter Project Name]" , "[Enter Awarding Body]" has
distributed those recovered wages as <outlined below or in the enclosed spreadsheet> which
indicates what gross wages have been distributed and to whom. For workers we are unable to
locate the funds will be transferred to the State of California Unpaid Wage Fund pursuant to
Labor Code 1743 (c).
"[Enter who funds were distributed to (IE: Name, SSN, Address & Amount)]"
"[Enter Awarding Body]" is providing you this information for the purpose of notifying the
contractor of the gross wage distribution for tax purposes. You will receive a notification of
distribution upon each occurrence until exhausted.
If you should have any questions do not hesitate to contact me.
Respectfully,
"[Enter Name]"
Investigations Supervisor
Enclosure
Cc: "[Enter Awarding Body]"
"[Enter Prime/General Contractor (if necessary)]"
(Insert Awarding Agency Logo)
"[ENTER DATE]"
"[Click here and type Awarding Body Accounting name]"
"[Click here and type Awarding Body address]"
"[Click here and type Awarding Body city, state, zip]"
Project Name: "[Click here and type Project name]"
Prime Contractor: "[Click here and type Prime Contractor name]"
Sub-Contractor: "[Click here and type Subcontractor name]"
To Whom It May Concern:
After an investigation concerning payment of prevailing wages on the
"[Click here and type Project name]" project it was found that a worker(s) employed by
"[Click here and type Affected Contractor name]" was / were underpaid and penalties were
assessed upon the affected contractor.
Enclosed is a check in the amount of $"[Enter Amount]" for penalties assessed pursuant to
California Labor Code section 1775. These funds should be placed in the districts general fund.
If you have any questions do not hesitate to contact me between 8:00am to 5:00pm Monday
through Friday at "[Enter #]" .
Respectfully,
"[Enter name]"
Investigations Supervisor
Enclosure
Cc: "[Click here and type Prime Contractor name]"
"[Click here and type Affected Contractor name]"
(Insert Awarding Agency Logo)
"[ENTER DATE]"
State of California
Department of Industrial Relations
P.O. Box 420603
San Francisco, CA 94142
Project Name: "[Click here and type Project name]"
Prime Contractor: "[Click here and type Prime Contractor name]"
Sub-Contractor: "[Click here and type Subcontractor name]"
To Whom It May Concern:
After an investigation concerning payment of prevailing wages on the
"[Click here and type Project name]" project it was found that training fund contributions by
"[Click here and type Affected Contractor name]" were not made in accordance with California
Code of Regulations, Title 8, Section 230.2(c).
"[Enter Awarding Body]" Labor Compliance Program collected the required training fund
contributions from the affected contractor and hereby enclose a check in the amount of
$"[Enter Amount]" . The enclosed check represents "[Enter Number of Hours]" labor hours for
workers in the "[Enter Craft]" classification.
If you have any questions do not hesitate to contact me between 8:00am to 5:00pm Monday
through Friday at "[Enter #]" .
Respectfully,
"[Enter Name]"
Investigations Supervisor
Enclosure
Cc: "[Click here and type Prime Contractor name]"
"[Click here and type Affected Contractor name]"
(Insert Awarding Agency Logo)
CERTIFIED MAIL
"[Enter Date]"
"[Enter Affected Worker Name]"
"[Enter Address]"
"[Enter City, State, Zip]"
Awarding Body: "[Enter Awarding Body]"
Project Name: "[Enter Project Name]"
Prime Contractor: "[Enter Prime Contractor]"
Sub-Contractor: "[Enter Sub-Contractor]"
Dear "[Enter Affected Worker Name]" ,
After an investigation concerning payment of prevailing wages on the "[Enter Project Name]" project it
was found that you were underpaid.
We are in receipt of the monies owed you and would like to provide you with the unpaid wages in one
of two ways:
1. Sign the enclosed release, return the signed original to "[Enter Awarding Body]" Labor
Compliance Program with a copy of your photo identification and upon receipt of the two
documents we will mail the unpaid wages in form of a check to you by certified mail;
OR
2. Contact us to set up an appointment for you to come into the offices of
"[Enter Awarding Body]" Labor Compliance Program to sign the release, provide photo
identification and receive your unpaid wages in the form of a check.
If we do not hear from you regarding this matter by "[Enter Date]" the funds will be transferred to the
State of California, Division of Labor Standards Enforcement to be held in an Unpaid Wage Trust.
Please contact me as soon as possible between 8:00am to 5:00pm Monday through Friday at
"[Enter #]" .
Respectfully,
"[Enter Your Name]"
"[Enter Your Title]"
Enclosure
Cc: "[Enter Affected Contractor]"
"[Enter Awarding Body]"
(Insert Awarding Agency Logo)
CERTIFIED MAIL
"[Enter Date]"
"[Enter Affected Worker Name]"
"[Enter Address]"
"[Enter City, State, Zip]"
Awarding Body: "[Enter Awarding Body]"
Project Name: "[Enter Project Name]"
Prime Contractor: "[Enter Prime Contractor]"
Sub-Contractor: "[Enter Sub-Contractor]"
Estimado "[Enter Affected Worker Name]" ,
Después de una investigación referente al pago de salarios que prevalecen en el
"[Enter Project Name]" proyecto fue encontrado que usted era pagó mal.
Estamos en recepción de los dineros le debimos y lo quisiéramos proveer de usted los salarios sin
pagar en una de dos maneras:
1. Firme el lanzamiento incluido, vuelva la original firmada a la conformidad del trabajo del
estado de oro con una copia de su identificación de la foto y sobre el recibo de los dos
documentos enviaremos los salarios sin pagar en forma de un cheque a usted por el correo
certificado;
O
2. Éntrenos en contacto con para instalar cita para que usted entre en las oficinas del trabajo del
estado de oro La conformidad para firmar el lanzamiento, proporciona la identificación de la
foto y la recibe sus salarios sin pagar bajo la forma de cheque.
Si no oímos de usted con respecto a esta materia al lado del "[Enter Date]" los fondos serán
transferidos al estado de California, división de la aplicación de los estándares de trabajo que se
sostendrá en una confianza sin pagar del salario.
Entre en contacto con por favor a "[Enter Your Name]" o mismo cuanto antes entre 8:00am a 5:00pm
lunes a viernes en "[Enter Phone #]" .
Respetuosamente,
"[Enter Your Name]"
"[Enter Your Title]"
Enclosure
Cc: "[Enter Affected Contractor]"
"[Enter Awarding Body]"
1
(Insert Awarding Agency Logo)
PAYMENT APPLICATION HOLD
and
NOTIFICATION OF TEMPORARY WITHHOLDING
"[Click here and type date]"
"[Click here and type Awarding Body Accounting name]"
"[Click here and type Awarding Body street address]"
"[Click here and type Awarding Body city, state, zip]"
Re: "[Click here and type Project name]" PROJECT
"[Click here and type Contractor name]" - PAYMENT APPLICATION # "[Enter #]"
"[Click here and type Contact name]" ,
On "[Enter Date]" , "[Enter Awarding Body]" Labor Compliance Program received Payment Application
#"[Enter #]" , dated "[Enter Date]" , for the period through "[Enter Date]" .
"[Enter Awarding Body]" Labor Compliance Program has conducted a review of submitted payroll
records to determine if the above indicated payment request is suitable for payment pursuant to Public
Contract Code § 20104.50 (c) (1).
For the purposes of this document a Payment Application will be considered unsuitable for payment if a
contractor and/ or subcontractor has failed to submit certified payroll records as required by the contract
documents, California Code of Regulations § 16435 and California Labor Code § 1771.5 (b) (5). Labor
Code Section 1771.5 (b) (5) requires that “The awarding body shall withhold contract payments
when payroll records are delinquent or inadequate.” The contractors listed below have not provided
the required payroll records.
EXCEPTIONS TO RELEASE OF FUNDS FOR DELINQUENT OR INADEQUATE PAYROLL
RECORDS:
"[Click here and type Contractor(s) name(s)]" -
“Specify what records are delinquent or inadequate and the estimated amount to hold”
2
Re: "[Click here and type Project name]"
"[Click here and type Contractor name]" PAYMENT APPLICATION # "[Enter #]"
PAGE 2
Prime Contractor Obligations: If contract payments are being withheld due to the delinquency or
inadequacy of your subcontractor’s payroll records, you are required to cease all payments to that
subcontractor until "[Enter Awarding Body]" provides notice that the subcontractor has cured the
delinquency or deficiency.
NOTE: The contractor or subcontractor have the right to request an expedited hearing under California
Labor Code section 1742. limited to the issue of delinquent or inadequate payroll records.
A signed original of this Payment Exception will be mailed via USPS on "[Enter Date]" .
If I can be of assistance in this matter, please feel free to contact me, 8:00am to 5:00pm Monday through
Friday at "[Enter #]" .
Respectfully,
"[Click here and type name]"
Labor Compliance Specialist
Cc: "[Click here and type Affected Prime/General]"
"[Click here and type Affected Sub-contractor]" (Redact other subs from list above)
"[Click here and type Construction Management Firm]" (if necessary)
3
Re: "[Click here and type Project name]"
"[Click here and type Contractor name]" PAYMENT APPLICATION # "[Enter #]"
PAGE 3
Notice of Right to Obtain Review – Expedited Hearing
An affected contractor or subcontractor may request review an expedited hearing to review this Notice of
Withholding of Contract Payments under Labor Code §1742. The only issue in any such review
proceeding is whether the specified payroll records are in fact delinquent or inadequate within the
meaning of 8 CCR §16435 or whether the Labor Compliance Program has exceeded its authority under
8 CCR §16435. To obtain an expedited hearing, a written request must be transmitted to both
"[Enter Awarding Body]" Labor Compliance program and to the Lead Hearing Officer for the
Director of the Department of Industrial Relations, as follows:
"[Enter Awarding Body]"
Attention: "[Click here and type your name]"
"[Enter Awarding Body]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
"[Enter Fax #]"
Office of the Director – Legal Unit
Attention: Lead Hearing Officer
Expedited Hearing Request
Fax to: (415) 703-4277
The request for expedited hearing should specify the basis for challenging this Notice and include a copy
of this Notice as an attachment. The request should also identify and provide contact information for the
person who will represent the contractor or subcontractor at the hearing.
Important Additional Information: This is a Notice of Temporary Withholding of Contract Payments for
Delinquent or Inadequate Payroll Records only. This is not a determination of liability for wages or
penalties under Labor Code §§1775 and 1776 or any other statute. Contract payments cannot continue
to be withheld pursuant to this notice, once the required records have been produced. However, the
contractor and subcontractor may still be subject to the assessment of back wages and penalties and the
withholding of contract payments if, upon investigation, a determination is made that the contractor or
subcontractor violated the public works requirements of the Labor Code.
This Notice only addresses rights and responsibilities under state law. Awarding bodies, labor
compliance programs, and contractors may have other rights or responsibilities under federal or local
law, where applicable, and may also have additional rights or remedies under the public works contract.
(Insert Awarding Agency Logo)
LABOR COMPLIANCE PROGRAM NOTIFICATION PAYMENT
APPLICATION RELEASE
"[Click here and type date]"
"[Click here and type Awarding Body Accounting name]"
"[Click here and type Awarding Body street address]"
"[Click here and type Awarding Body city, state, zip]"
Re: "[Click here and type Project name]"
"[Click here and type Contractor name]" PAYMENT APPLICATION # "[Enter #]"
"[Click here and type Contact name]" ,
"[Enter Awarding Body]" Labor Compliance Program has received the payroll records from the above
indicated contractor and their known subcontractor(s), as required under the terms of the Awarding
Body’s labor compliance program, for Payment Application #"[Enter #]" , dated "[Enter Date]" and
received on "[Enter Date]" for the period to "[Enter Date]" . Funds on this application may be
released.
All documents are subject to final Audit and acceptance by the program.
This release does not relieve any obligation on the part of the contractor or their subcontractor(s) to
conform to the requirements of the contract documents, Labor Compliance Program or the applicable
statutes of the California Labor Code.
A signed original of this Payment Release will be mailed via USPS on "[Enter Date]" .
If I can be of assistance in this matter, please feel free to contact me, 8:00am to 5:00pm Monday
through Friday at "[Enter #]" .
Respectfully,
"[Click here and type your name]"
Labor Compliance Specialist
Cc: "[Click here and type Prime/General]"
(Insert Awarding Agency Logo)
"[Enter Awarding Body]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
Phone: "[Enter #]" Fax: "[Enter #]"
Payroll Certification
I ______________________________________, the undersigned, am the______________________________________________
Print Name Position in Business
with the authority to act for and on behalf of ______________________________________________________________________
Name of Business/Contractor
certify under penalty of perjury that the records commencing on_____/_____/_____ and ending on_____/_____/_____
submitted herein and consisting of _________ pages are the originals, full and correct documents, which depict the payroll
# of Pages
record(s) of actual disbursements by way of cash, check or whatever form to the individual or individuals named.
(1) That this employer has complied with the requirements of the California Labor Code Sections 1771, 1811, and 1815 for all work performed
on this public works project, and that the classifications set forth therein for each trade rate conform with the work performed.
(2) That any apprentices employed in the above period are duly registered in a bona fide apprenticeship program registered with t he State of
California’s Division of Apprenticeship Standards
PAYROLL/ OTHER DEDUCTIONS
1. I herein certify the full and complete Prevailing Wages were paid as currently published and posted by the DIRECTOR of
INDUSTRIAL RELATIONS, State of California and only deductions as authorized under the Laws of the State of California or the
laws of United States of America have been made from these sums
2. All other deductions are clearly listed for each employee on an attachment as required by the Director of Industrial Relation, State of
California.
OPTIONAL BENEFIT PLANS
I herein certify that all employee deductions for optional benefit plans are authorized and the employee(s) are signed up for the plan(s) and
are receiving the benefit(s) of the plan(s) listed
WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS OR PROGRAMS
In addition to the basic hourly wage rates paid to each laborer or mechanic listed in the above payroll, payment of fringe benefits
as listed in the contract have or will be made to the appropriate programs for the benefit of such employees, except as noted
below.
WHERE FRINGE BENEFITS ARE PAID IN CASH
Each laborer or mechanic listed in the above payroll has been paid as indicated on the payroll, an amount not less than the sum of
the applicable basic hourly rate plus the amount of the required fringe benefits as listed in the determination for the craft, except as
noted below. Exception(s)
Craft Explanation
Craft Explanation
Date Signature (Wet Signature Required) Project Payroll#
I herein certify under penalty of perjury that all of the above is true and correct as submitted.
(Insert Awarding Agency Logo)
"[Enter Awarding Body]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
Phone: "[Enter #]" Fax: "[Enter #]"
Payroll Certification
I, JOHN ATLAS , the undersigned, am the PRESIDENT ,
Print Name Position in Business
with the authority to act for and on behalf of ATLAS CONSTRUCTION CO ,
Name of Business/Contractor
certify under penalty of perjury that the records commencing on 00 / 00 / 0000 and ending on 00 / 00 / 0000
submitted herein and consisting of 1 pages are the originals, full and correct documents, which depict the payroll
# of Pages
record(s) of actual disbursements by way of cash, check or whatever form to the individual or individuals named.
(1) That this employer has complied with the requirements of the California Labor Code Sections 1771, 1811, and 1815 for all work performed
on this public works project, and that the classifications set forth therein for each trade rate conform with the work performed.
(2) That any apprentices employed in the above period are duly registered in a bona fide apprenticeship program registered with t he State of
California’s Division of Apprenticeship Standards
PAYROLL/ OTHER DEDUCTIONS
1. I herein certify the full and complete Prevailing Wages were paid as currently published and posted by the DIRECTOR of
INDUSTRIAL RELATIONS, State of California and only deductions as authorized under the Laws of the State of California or the
laws of United States of America have been made from these sums
2. All other deductions are clearly listed for each employee on an attachment as required by the Director of Industrial Relation, State
of California.
OPTIONAL BENEFIT PLANS
I herein certify that all employee deductions for optional benefit plans are authorized and the employee(s) are signed up for the plan(s) and
are receiving the benefit(s) of the plan(s) listed
WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS OR PROGRAMS
In addition to the basic hourly wage rates paid to each laborer or mechanic listed in the above payroll, payment of fringe
benefits as listed in the contract have or will be made to the appropriate programs for the benefit of such employees, except as
noted below.
WHERE FRINGE BENEFITS ARE PAID IN CASH
Each laborer or mechanic listed in the above payroll has been paid as indicated on the payroll, an amount not less than the sum of
the applicable basic hourly rate plus the amount of the required fringe benefits as listed in the determination for the craft, except as
noted below. Exception(s)
LABORER $3.00 FOR TOOLS/UNIFORMS, ETC...
Craft Explanation
CARPENTER $20.00 GARNISHMENT/JUDGEMENT, ETC...
Craft Explanation
00/00/0000 JOHN ATLAS ABC NEW SCHOOL #1
Date Signature (Wet Signature Required) Project Payroll#
X
X
I herein certify under penalty of perjury that all of the above is true and correct as submitted.
PAYROLL CERTIFICATION (STATEMENT OF COMPLIANCE) Form
(CLC 1776.(a) (1) & (2) or CCR §16401)
Each payroll shall have an attached certification. The certification must contain
specific language as established by the Director of Industrial Relations, The
certification shall have an affirmation of a person with the authority to affirm the
certification, under the penalty of perjury that the records are originals or are full, true
and correct copies of the original.
CERTIFYING PERSON: A person with the authority to affirm under penalty of perjury
that the records provided, depict truly, fully and correctly the type of work performed, the
hours worked, days worked and amounts paid.
CALIFORNIA CODE OF REGULATIONS, TITLE 8, GROUP 3, ARTICLE 1, 16000
DEFINITIONS.
PAYROLL PERIOD: The Payroll period may start and end on any day of the week.
Insert the beginning and ending dates of the payroll period. Each payroll report shall
not include more that seven consecutive days.
NUMBER OF PAGES: Insert the number of pages submitted.
OTHER DEDUCTIONS: These may include, but are not limited to, court ordered
payment and wage garnishments
OPTIONAL BENEFIT PLANS: Deductions for company sponsored programs such as
401k, medical or any other qualifying program which has been a cknowledged, in writing,
by the employee shall be listed and fully described on the Payroll Certification or an
attachment sheet. Provide documentation of the employees’ authorization for
deductions and/or any court ordered payments or wage garnishments.
METHOD OF DISTRIBUTING FRINGE BENEFITS: Check the appropriate box which
indicates how the fringe benefits have been disbursed, to Plans or in Cash to the
employee and list below any exceptions that are applicable.
NOTE: Training Fund Contributions must be paid to an approved Joint Apprenticeship
Training Committee or the California Apprenticeship Committee. The only instance
where the employee may receive the money as a direct payment is if the Trade or Craft
has been determined to be a non-apprenticable trade.
Sign and Date the certification include the Project name and your payroll #.
This certification must be received by "[Enter Awarding Body]" Labor
Compliance Program as a wet signature, original document.
S = STRAIGHT TIME *OTHER – Any other deductions, contributions and/or payments whether or not included or required by prevailing CERTIFICATION MUST be completed
Form A-1-131 (New 2-80) O = OVERTIME wage determinations must be separately listed. Use extra sheet(s) if necessary (See reverse side)
SDI = STATE DISABILITY INSURANCE
California
Department of
Industrial Relations
Page ______ of ______
NAME OF CONTRACTOR: CONTRACTOR'S LICENSE NO.: ADDRESS:
OR SUBCONTRACTOR: SPECIALITY LICENSE NO.:
PAYROLL NO.:
FOR WEEK ENDING:
SELF-INSURED CERTIFICATE NO.:
PROJECT OR CONTRACT NO.:
(4)
DAY
(5)
(6)
WORKERS' COMPENSATION POLICY NO.:
PROJECT AND LOCATION:
(2)
M
T
W
TH
F
S
S
(9)
DATE
(1)
NAME, ADDRESS AND
SOCIAL SECURITY NUMBER
OF EMPLOYEE
NO
.
O
F
W
I
T
H
-
HO
L
D
I
N
G
EX
E
M
P
T
I
O
N
S
(3)
WORK
CLASSIFICATION
HOURS WORKED EACH DAY
TOTAL
HOURS
HOURLY
RATE
OF PAY
(7)
GROSS AMOUNT
EARNED
(8)
DEDUCTIONS, CONTRIBUTIONS AND PAYMENTS
NET WGS
PAID FOR
WEEK
CHECK
NO.
THIS
PROJECT
ALL
PROJECTS
FED.
TAX
FICA
(SOC. SEC.)
STATE
TAX
SDI
VAC/
HOLIDAY
HEALTH
& WELF.
PENSION
S
TRAING.
FUND
ADMIN
DUES
TRAV/
SUBS.
SAVINGS
OTHER*
TOTAL
DEDUC-
TIONS
O
THIS
PROJECT
ALL
PROJECTS
FED.
TAX
FICA
(SOC. SEC.)
STATE
TAX
SDI
VAC/
HOLIDAY
HEALTH
& WELF.
PENSION
S
TRAING.
FUND
ADMIN
DUES
TRAV/
SUBS.
SAVINGS
OTHER*
TOTAL
DEDUC-
TIONS
O
THIS
PROJECT
ALL
PROJECTS
FED.
TAX
FICA
(SOC. SEC.)
STATE
TAX
SDI
VAC/
HOLIDAY
HEALTH
& WELF.
PENSION
S
TRAING.
FUND
ADMIN
DUES
TRAV/
SUBS.
SAVINGS
OTHER*
TOTAL
DEDUC-
TIONS
O
THIS
PROJECT
ALL
PROJECTS
FED.
TAX
FICA
(SOC. SEC.)
STATE
TAX
SDI
VAC/
HOLIDAY
HEALTH
& WELF.
PENSION
S
TRAING.
FUND
ADMIN
DUES
TRAV/
SUBS.
SAVINGS
OTHER*
TOTAL
DEDUC-
TIONS
O
PUBLIC WORKS PAYROLL REPORTING FORM
NOTICE TO PUBLIC ENTITY
For Privacy Considerations
Fold back along dotted line prior to copying for release to general public (private persons).
(Paper Size then 8-1/2 x 11 inches)
I, , the undersigned, am the
(Name – print)
with the authority to act for and on behalf of
(Position in business)
, certify under penalty of perjury
(Name of business and/or contractor)
that the records or copies thereof submitted and consisting of
(Description, number of pages)
are the originals or true, full, and correct copies of the originals which depict the payroll record(s)
of the actual disbursements by way of cash, check, or whatever form to the individual or
individuals named.
Date: Signature:
A public entity may require a stricter and/or more extensive form of certification.
PAYROLL REPORT DATA: DLSE (Form A-I-l3I)
CERTIFIED PAYROLL RECORDS: All payrolls are to be submitted to
"[Enter Awarding Body]" Labor Compliance Program for review during the course of the
contract in conformance with the schedule for submitting payroll as stated within the
General Requirements of the contract documents.
1. All payroll reports must be on forms provided by the DLSE (Form A -I-l3I) or
"[Enter Awarding Body]" or in another format which shall contain the following
information:
• The name, address, and social security number of each worker, are legible and
not blacked out.
• His or her full work classification with description, if necessary, including grou p
#’s and steps/levels of apprentices.
• The rate of pay per hour, including rates of contributions for/or costs assumed
to provide fringe benefits. If the basic hourly rate is indicated, then the fringes
on the fringe benefit statement need to add up with the total prevailing rate
for that classification,
• Regular, overtime and holiday hours indicated daily and the total weekly
number of hours worked,
• Deductions made, and actual wages paid,
• Net Wages and Check #
• The contractors full name and address,
• The project name and location,
• The dates the payroll covers.
• All days for a project MUST be accounted for, including Saturdays, Sundays,
& Holidays.
2. Each individual, laborer, or craftsperson working on the Project must appear on the
CPRs. Each Contractor who pays a worker must report that individual on its CPRs,
including each individual working as an apprentice in an apprenticeable trade.
• This applies as well to Contractors employing owner-operators, sole proprietors,
and partners. Owner-operators, sole proprietors, and partners performing labor
also must report their wages.
• Similarly, rental companies paying rental equipment operator's wages must
report those wages.
3. The contractor must complete a Non-Performance Report Form for all periods of
inactivity.
• This form is filled out when no work is performed on the project for a period of
time.
• On the form the contractor will state that there was no payroll for that period.
• It does not matter what day the weekly payroll period begins and ends.
4. The final payroll form must be marked “final” by the contractor. When the final
payroll is received from each contractor; the log will then be closed out and marked
complete.
CHANGES TO PREVAILING RATE AFTER AWARD:
(California Labor Code §1773.6)
No effect once the contract notice to bidders is published. If during any quarterly
period the Director of Industrial Relations shall determine that there has been a change
in any prevailing rate of per diem wages in any locality he shall make such
change available to the awarding body and his determination shall be final. Such
determination by the Director of Industrial Relations shall not be effective as to any
contract for which the notice to bidders has been published.
PERSONS REQUIRED TO RECEIVE PREVAILING WAGES:
(California Labor Code §1771 and 1774)
The contractor to whom the contract is awarded, and any subcontractor under him, shall
pay not less than the specified prevailing rates of wages to all workmen employed in the
execution of the contract.
The Awarding Body’s General Conditions require all workers not in a prevailing wage
classification to be paid the wage most closely related to the craft or trade the y are
involved with.
GENERAL PREVAILING RATE OF PER DIEM WAGES INCLUDES:
(1) The prevailing basic straight-time hourly rate of pay; and
(2) The prevailing rate for holiday and overtime work; and
(3) The prevailing rate of employer payments for any or all programs or benefits.
GENERAL CONTRACTOR RESPONSIBILITIES FOR SUBCONTRACTORS:
(California Labor Code § 1775.)
Each prime contractor(s) is responsible for ensuring that all its subcontractors of any tier
comply with the prevailing wage requirements. The prime contractor must monitor the
subcontractors' payment of the specified general prevailing wages to their employees by
periodically reviewing the subcontractors' CPRs. Upon becoming aware that a
subcontractor has failed to apply the specified prevailing rate of wages, the prime
contractor must take corrective action to halt or rectify the failure, including, but not
limited to, retaining sufficient funds due the subcontractor for work performed on the
public works project.
Prior to making a final payment to the subcontractor for work performed on the public
works project, the prime contractor should obtain an affidavit signed under penalty of
perjury from the subcontractor that the subcontractor has paid the general prevailing
rate of per diem wages to its employees on the public works project, as well as any
penalties which may have been imposed for working hour’s violations.
(Insert Awarding Agency Logo)
"[Enter Awarding Body]"
PROJECT
PRE-BID CONFERENCE AND JOB WALK
"[Enter Date]"
NOTICE TO ALL BIDDERS
The California Labor Code authorizes Awarding Bodies to adopt and enforce a Labor Compliance
Program on any public works project under their direction or control for the purpose of enforcing
prevailing wage and apprenticeship requirements. In addition, various California statutes require Labor
Compliance Program enforcement on projects that receive funding from certain source funds or that
utilize certain delivery methods.
This project is a public work, subject to the payment of prevailing wages and the employment and
training of apprentices. In addition, the District has adopted and is enforcing a Labor Compliance
Program for all aspects of the project. "[Enter Awarding Body]" Labor Compliance Program is
administering that program. Wage Determinations and a copy of the Labor Compliance Program are on
file with the District and are available for viewing by any party.
Wage Determinations in effect for the this Project are those listed on the Dept. of Industrial Relations
website ( http://www.dir.ca.gov/DLSR/DPreWageDetermination.htm ) as:
General prevailing wage determinations menu (journeyman)
and
General prevailing wage apprentice schedules
Labor compliance is not a hostile process. We are here to help. Should you have any questions, during
the bid process or throughout the project, please don’t hesitate to call us and to enlist our help. W e are
here to answer questions, provide clarifications and resolve issues, preferably without intervention by any
State agency.
For questions or more information, call:
"[Enter #]"
Please see the reverse for Helpful Websites
HELPFUL WEB SITES
Questions about classifications and scope of work, prevailing wage determinations or special
determinations for a specific project:
• Division of Labor Statistics and Research: http://www.dir.ca.gov/DLSR/statistics_research.html
• California Apprenticeship Council: www.dir.ca.gov/CAC/cac.html
• Department of General Services Office of Public School Construction: www.opsc.dgs.ca.gov.
• Department of Industrial Relations: www.dir.ca.gov
• Division of Labor Standards Enforcement: www.dir.ca.gov/DLSE/dlse.html
• Division of Apprenticeship Standards: www.dir.ca.gov/DAS/das.html
Law codes
Law codes must be obtained from the Internet or the Department of Industrial Relations.
• California Code of Regulations: http://ccr.oal.ca.gov/
• California Labor Code: www.leginfo.ca.gov
Forms
• Public Works Contract Award Form DAS 140: http://www.dir.ca.gov/DAS/DASForm140.pdf
• Certified Payroll Reporting Form A-1-131:
http://www.dir.ca.gov/dlse/publicWorksPayrollInstructions.htm
• Statement of Employer Payments of PW 26: http://www.dir.ca.gov/dlse/DLSEForm-PW26.pdf
• California Apprenticeship Council Training Fund Contributions:
http://www.dir.ca.gov/DAS/DASCAC2.pdf
Labor Compliance Program Questions
• Golden State Labor Compliance: http://www.goldenstatelc.com
(Insert Awarding Agency Logo)
"[Enter Date]"
"[Enter Contractor]"
"[Enter Street Address]"
"[Enter City, State, Zip]"
Re: "[ENTER AWARDING BODY]" LABOR COMPLIANCE PROGRAM
PRECONSTRUCTION MEETING
"[Enter Awarding Body]" Labor Compliance Program will be conducting a mandatory
Preconstruction Meeting. Each trade contractor indicated above is required to attend this
meeting and requested to arrive at "[Enter Time]" to take part in a discussion of labor code and
labor compliance topics specific to Prime Contractors. Additionally, each trade contractor,
addressed above, must require the attendance of its listed subcontractor(s).
The general meeting will address the requirements of the Department of Industrial Relat ions
approved "[Enter Awarding Body]" Labor Compliance Program (LCP) and is pertinent to all
contractors performing work on the project. It is vital for those who attend to be the hands on
personnel responsible for the review and submittal of certified payroll records and other
documentation required by California Labor Codes and the LCP. A representative from each
company will be required to sign forms titled “Contractors Acknowledgement” and “Checklist of
Labor Law Requirements” at the close of the meeting.
The meeting will be held on "[Enter Date]" at "[Enter Time]" a.m. –"[Enter Time]" am, at
"[Enter Address of Preconstruction Meeting]"
All questions or comments related to this meeting are to be directed to "[Enter Name]" at
"[Enter #]" , Monday through Friday between 8:00 a.m. and 5:00 p.m.
Thank you,
"[Enter Name]"
Labor Compliance Officer
"[Enter Awarding Body]" Labor Compliance Program
PROJECT CLOSE OUT REPORT
Awarding Body:
Project:
DATE ANNUAL FINAL
REPORT TYPE
PROJECT DOCUMENTS
DOCUMENT RECEIVED DATE
BID ADVERTISEMENT DATE ADVERTISED:
CONTRACT(S)
PRE-CON SIGN IN SHEET
JOB POSTINGS WHERE:
NOTICE OF COMPLETION RECORDED DATE:
COMMENTS: ALL OTHER PROJECT RECORDS ARE IN CONTRACTOR’S INDIVIDUAL FILES
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
LABOR COMPLIANCE SPECIALIST
RECOMMENDS:
Close Keep Open Fines/Penalties Investigation
Notice of Withhold Full Audit DAS Complaint
Name: Signature
PROJECT DATA
AND
KEY ACTIVITY CHECKLIST
"[Name of Project]"
"[Name of Awarding Body]"
"[Awarding Body Mailing Address]"
"[City, State, Zip Code]"
"[Phone #]"
"[Fax #]"
PRIOR TO SERVICE AUTHORIZATION
1. Full Project Name: __________________________________________________________________
2. Physical Location:
Project Name: ________________________________________________________________________
Street Address: ________________________________________________________________________
City, State, Zip: ________________________________________________________________________
3. Brief Description of the Work: ___________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
4. DSA/OPSC Application #: ____________________________________ (i.e. 50-XXXX-00-XXX)
5. Total Project Value: $___________________________ (This is the "Total Project Value" shown on the projects
SAB Form 50-04, less any site acquisition costs indicated on the "SFP Budget Summary". Both source documents are
posted on the OPSC Project Tracking website)
6. Budgeted Construction Value: $________________________ (Estimated cost of all hard construction costs
plus any special inspection, survey or material testing costs not included in the hard construction costs. Do not include
"soft costs" such as architectural fees, site acquisition, CM fees, FF&E or Project Inspection fees.)
NOT LATER THAN 1 MONTH PRIOR TO 1ST ADVERTISEMENT FOR BIDS
7. Name of primary Awarding Body contact: ________________________________________
8. Name of authorized Awarding Body signatory: ______________________________________
9. Name and contact data for Project Architect:
Firm: ________________________________________
Name: ________________________________________
Street: ________________________________________
City, State, Zip: _________________________________
Phone: ___________________ Fax: ________________
10. Name and contact data for Construction Manager (if any):
Firm: ________________________________________
Name: ________________________________________
Street: ________________________________________
City, State, Zip: _________________________________
Phone: ___________________ Fax: ________________
Page 1 of 3
NOT LATER THAN 2 WEEKS PRIOR TO 1ST ADVERTISEMENT FOR BIDS
11. Is a modular manufacturer/provider involved in any aspect of this project? ______ ______
If “Yes”, provide name, address and contact information for the modular provider: Yes No
Provider: _________________________________
Contact Name: _________________________________
Street: ________________________________________
City, State, Zip: _________________________________
Phone: ___________________ Fax: ________________
12. Confirm that proper language for Bid Advertisement, Notice to Bidders and Supplemental
Conditions have been integrated into the bid documents.
Confirmed By : Date:
Advertisement language: ___________________ _________________
Notice to Bidders: ___________________ _________________
Supplementary Conditions: ___________________ _________________
13. Obtain Copy(s) of Proof of Publication of Bids (Need one for each separate bid process. If more than
three bid processes, enter on separate sheet)
Scope P.O.P. Obtained & on File Date of 1st Advertisement
_____________________________ ___________ ____________________
_____________________________ ___________ ____________________
_____________________________ ___________ ____________________
14. Provide a copy of the Project Manual: Received: _____________ _____________
Initials Date
15. Confirm that Project Inspector's agreement with the Awarding Body includes duty to provide semi-
monthly reports that include narrative description of work accomplished and (if inspector is willing)
firms on-site and worker "head-counts" on a daily basis. If inspector will not be on-site on a daily
basis, firm counts and worker counts may not be possible. _____________
Initials
16. Confirm that Awarding Body’s form of contract with the General Contractor (or CM for Multi-prime
CM) contains requirement to produce a Daily Superintendent's Report that contains, at a minimum,
what trade contractors are on site, daily, and "head-count" of personnel on-site, by contractor.
Ensure that contract requires GC or CM to provide copies of this report to Awarding Body on a
weekly basis. ____________
Initials
NOT LATER THAN 1 WEEK FOLLOWING AWARD OF CONTRACT(S)
17. Name and contact data for successful prime contractor(s) (Use separate sheet for multi-prime)
Prime Contractor #1
Name: ________________________________________
Street: ________________________________________
City, State, Zip: _________________________________
Phone: ___________________ Fax: ________________
Prime Contractor #2
Name: ________________________________________
Street: ________________________________________
City, State, Zip: _________________________________
Phone: ___________________ Fax: ________________
Page 2 of 3
Prime Contractor #3
Name: ________________________________________
Street: ________________________________________
City, State, Zip: _________________________________
Phone: ___________________ Fax: ________________
18. Provide a copy of the successful bid(s), to include listing of subcontractors:
Received: _____________ _____________
Initials Date
19. Provide a copy of the bid bond(s) for the successful prime bid(s):
Received: _____________ _____________
Initials Date
NOT LATER THAN 1 WEEK FOLLOWING AWARD OF CONTRACT(S)
20. Provide a copy of the prime contract form. (For Multi-Prime CM, provide a single copy of the form of
agreement and attachments that will be used for the prime contracts.)
Received: _____________ _____________
Initials Date
21. Provide the award date for the contract(s). In most cases, this will be the Board Approval date. (For
Multi-Prime CM; indicate the award date for each prime contract awarded on a separate sheet. If only a
portion of the bid packages were awarded, indicate those that were and notify us of additional awards later,
when they occur).
Prime Contract #1: Award Date: _______________
Prime Contract #2: Award Date: _______________
Prime Contract #3: Award Date: _______________
22. Provide Contract Number for any prime contracts awarded: (Insert additional sheet if required)
Prime Contract #1: _________________________________
Prime Contract #2: _________________________________
Prime Contract #3: _________________________________
23. Provide the construction Notice to Proceed Date(s):
1. _________________________________ 2. _________________________________
3. _________________________________
24. Provide the contractual completion date(s), based on the Notice to Proceed date(s):
1. _________________________________ 2. _________________________________
3. _________________________________
25. Provide the names, addresses and contact information for all special inspectors, soils inspectors ,
surveyors or material testing firms that are retained by the Awarding Body that will be working on
the project during the construction phase. (Insert additional sheet if required)
___________________________________________________________________________________________
___________________________________________________________________________________________
___________________________________________________________________________________________
___________________________________________________________________________________________
___________________________________________________________________________________________
___________________________________________________________________________________________
___________________________________________________________________________________________
Page 3 of 3
(Insert Awarding Agency Logo)
PROOF OF SERVICE
(Code of Civil Procedures § 1013a, § 2015.5)
I, [Click here and type name], do hereby certify that I am a resident of or employed in the County of
"[Enter county]" , over 18 years of age, and not a party to the within action, and that I am
employed at and my business address is:
"[Enter Awarding Body]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
On, "[Click here and enter date]" , I served the within: "[Enter Letter Name]" to
"[Enter Contractor Name]" on the "[Enter Project Name]" Project on the parties listed below by
placing true copies thereof in sealed envelopes addressed as shown below for service as
designated below:
(A) By First Class Mail: I am readily familiar with the practice of "[Enter Awarding Body]" for
the collection and processing of correspondence for mailing with the United States Postal Service. I
caused each such envelope, with first-class postage thereon fully prepared, to be deposited in a
recognized place of deposit of the U. S. Mail in "[Enter county]" County, California, for collection and
mailing to the office of the addressee on the date shown herein.
(B) By Certified Mail: I am readily familiar with the practice of "[Enter Awarding Body]" for
the collection and processing of correspondence for mailing with the United States Postal Service. I
caused each such envelope, with first-class postage and certified mail fees thereon fully prepared, to be
deposited in a recognized place of deposit of the U. S. Mail in "[Enter county]" County, California, for
collection and mailing to the office of the addressee on the date shown herein.
(C) By Personal Service: I caused each such envelope to be personally delivered to the
office of the addressee by a member of the staff of "[Enter Awarding Body]" on the date shown herein.
(D) By Messenger Service: I am readily familiar with the practice of
"[Enter Awarding Body]" for messenger delivery, and I caused each such envelope to be delivered to an
overnight courier, with whom we have a direct billing account, who personally delivered each such
envelope to the office of the address at the place and on the date shown herein.
(E) By Facsimile Transmission: I caused such document to be served via facsimile
electronic equipment transmission (fax) on the parties in this action, pursuant to oral and/or written
agreement between such parties regarding service by facsimile by transmitting a true copy t o the
following fax numbers:
(F) By Electronic Mail (E-Mail): I caused such document to be served via electronic mail
transmission (E-Mail) on the parties in this action, pursuant to oral and/or written agreement between
such parties regarding service by electronic mail by transmitting a true copy to the following electronic
mail addresses:
TYPE OF ADDRESSEE AND FAX NUMBER
SERVICE (IF APPLICABLE)
[A,B,C,D,E] "[Click here and type affected contractor name]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
RE: PROOF OF SERVICE- "[Enter Letter Name]" BY "[ENTER CONTRACTOR NAME]"
ON THE "[ENTER PROJECT NAME]" PROJECT
PAGE 2
[A,B,C,D,E] "[Click here and type prime contractor name]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
I certify under penalty of perjury under the laws of the State of California that the
foregoing is true and correct.
Executed on "[Enter date]" , at "[Enter city]" , County of "[Enter county]" California
_______________________________
SIGNATURE
Labor Commissioner, State of California
Department of Industrial Relations
Division of Labor Standards Enforcement
TAKEN BY:
DIVISION USE ONLY:
CASE #
DATE TAKEN: ASSIGNED TO:
OFFICE: DATE RECEIVED:
DATE ASSIGNED:
PUBLIC WORKS – PUBLIC COMPLAINT
The following information is important and must be provided.
Complainant Information
1. FIRST NAME 2. LAST NAME 3. COMPANY NAME 4. WORK/CELLULAR NO
5. CONTACT ADDRESS 6. CITY 7. STATE / ZIP CODE 8. EMAIL ADDRESS
Project Information
Note: A separate form must be completed for each project in which you are alleging a violation of prevailing wages.
9. PROJECT NAME (If known)
10. LIST ADDRESS(ES) OF PROJECT WHERE WORK WAS PERFORMED:
Complaint Against
11. NAME OF BUSINESS/CONTRACTOR/EMPLOYER 12. CONTRACTOR’S STATE LIC.
NO
13. ADDRESS OF BUSINESS/CONTRACTOR/EMPLOYER (Include Zip Code) 14. BUSINESS TEL. NO
15. EMAIL ADDRESS 16. NAME OF PERSON IN CHARGE 17. TITLE
Awarding Body
18. NAME OF PUBLIC AGENCY/AWARDED CONTRACT ENTITY
19. ADDRESS OF AWARDING BODY 20. BUSINESS TEL. NO/
21. EMAIL ADDRESS 22. NAME OF PERSON IN CHARGE / TITLE 23. AMOUNT OF CONTRACT
24. FIRST BID AD DATE 25.DATE PROJECT BEGAN 26. PROPOSED FINISH DATE 27. DATE OF NOTICE OF COMPLETION
General Contractor (Prime Contractor)
28. NAME OF GENERAL CONTRACTOR 29. CONTRACTOR’S STATE LIC.
30. ADDRESS 31. BUSINESS TEL. NO
32. EMAIL ADDRESS 33. NAME OF PERSON IN CHARGE 34. TITLE
Prevailing Wage Issues (Attach statements substantiating the allegation)
35. BRIEF EXPLAINATION OF ISSUES: (Check all applicable boxes)
Non-payment /Underpayment of wages
Unpaid overtime/Sat/Sun/Holiday rate
Not paid travel and subsistence
Misclassification of worker
Under reporting of hours
Insufficient fund check
Fringe benefits not paid Other
Apprentice Violations 1777.5 proceed to the next page
DLSEPW 1A (Rev 8.2012)
40. Check the box if Proof of Service upon affected contractor and the General Contractor is attached.
I hereby certify that this is a true statement to the best of my knowledge and belief.
MY NAME MAY BE USED IN THIS INVESTIGATION. Yes No
Signature Date
DLSE PW 1A (Rev 8. 2012)
Apprentice Violations 1777.5
37. If the contractor is approved to train- Name of the Apprenticeship Committee:
_______________________________________________________________________
38. Was there a LABOR COMPLIANCE PROGRAM on this project? Yes No
If Yes, Name of the LCP: ______________________________________________ LCP Telephone Number: _________________________
Apprentice Issues
( List any documentation attached substantiating the allegation)
39. BRIEF EXPLAINATION OF ISSUES: (Check all applicable boxes)
Failed to provide Contract award information (DAS 140). California Code of Regulations 230
_______________________________________________________________________________________________________________________
Failed to request dispatch of apprentices (DAS 142). California Code of Regulations 230.1
_______________________________________________________________________________________________________________________
Failed to employ registered apprentices in the correct ratio or not at all. California Code of Regulations 230.1
_______________________________________________________________________________________________________________________
Failed to make apprenticeship training fund contributions. California Code of Regulations 230.2
_______________________________________________________________________________________________________________________
Other (give clear concise statement of the facts constituting the basis of your complaint)
_______________________________________________________________________________________________________________________
_______________________________________________________________________________________________________________________
Proof of Service
Apprentice Occupation
36. Trades and Classifications: _______________________________________________
(Insert Awarding Agency Logo)
PROOF OF SERVICE
(Code of Civil Procedures § 1013a, § 2015.5)
I, [Click here and type name], do hereby certify that I am a resident of or employed in the County of
"[Enter county]" , over 18 years of age, and not a party to the within action, and that I am
employed at and my business address is:
"[Enter Awarding Body]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
On, "[Click here and enter date]" , I served the within: PUBLIC WORKS – PUBLIC COMPLAINT
on the parties listed below by placing true copies thereof in sealed envelopes addressed as
shown below for service as designated below:
(A) By First Class Mail: I am readily familiar with the practice of "[Enter Awarding Body]" for
the collection and processing of correspondence for mailing with the United States Postal Service. I
caused each such envelope, with first-class postage thereon fully prepared, to be deposited in a
recognized place of deposit of the U. S. Mail in "[Enter county]" County, California, for collection and
mailing to the office of the addressee on the date shown herein.
TYPE OF ADDRESSEE AND FAX NUMBER
SERVICE (IF APPLICABLE)
A "[Click here and type affected contractor name]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
A "[Click here and type prime contractor name]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
CHOOSE APPLICABLE BOFE OFFICE BELOW:
A (SOUTHERN) DLSE – BOFE Public Works- Attn: Complaints Unit
300 Oceangate, Suite 850
Long Beach, CA 90802
A (NORTHERN) DLSE – BOFE Public Works- Attn: Complaints Unit
2031 Howe Avenue, Suite 100
Sacramento, CA 95825
RE: PROOF OF SERVICE- PUBLIC WORKS – PUBLIC COMPLAINT BY
"[ENTER CONTRACTOR NAME]" ON THE "[ENTER PROJECT NAME]" PROJECT
PAGE 2
I certify under penalty of perjury under the laws of the State of California that the
foregoing is true and correct.
Executed on "[Enter date]" , at "[Enter city]" , County of "[Enter county]" California
_______________________________
SIGNATURE
(Insert Awarding Agency Logo)
"[Click here and type date]"
"[Click here and type Requesting Agency name]"
"[Click here and type Requesting Agency street address]"
"[Click here and type Requesting Agency city, state, zip]"
RE: Records Request for "[Click here and type Contractor name]"
PROJECT: "[Click here and type Project name]"
"[Click here and type Contact name]" ,
A request for records pertaining to the above indicated public works project, initiated by your
organization, dated "[Click here and type date]" addressed to "[Type Addressee name]" was
received on "[Click here and type date]" . As administer of the labor compliance program, payroll
records and related documents are kept in our office. Please address all future correspondence
or questions regarding this request to our Operations Section, Attention:
"[Click here and type contact name]" , to insure that your request is processed in a timely
manner.
The information requested, as stated in your letter (copy enclosed), is as follows:
1. "[Enter the requests straight from their request letter]"
2. "[Enter the requests straight from their request letter]"
All the records you have requested are not available. Please be advised that due to the fact
that it will be necessary to obtain these documents from the contractor to fulfill your request,
pursuant to Government Code § 6253 (c) we hereby give notice to you that the time required to
complete your request will exceed the Ten (10) days prescribed by statute. The estimated date
that these records will be available for review will be "[Click here and enter date 14 days out]" .
If I can be of any further assistance in this matter please feel free to contact me Monday through
Friday, 8:00 am – 5:00 pm, at "[Enter #]" .
Respectfully,
"[Click here and type your name]"
Operations
Cc: "[Click here and type names of anyone copied]"
(Insert Awarding Agency Logo)
"[Click here and type date]"
"[Click here and type Requesting Agency name]"
"[Click here and type Requesting Agency street address]"
"[Click here and type Requesting Agency city, state, zip]"
RE: Records Request for "[Click here and type Contractor name]"
PROJECT: "[Click here and type Project name]"
"[Click here and type Contact name]" ,
A check in the amount of $ "[Click here and type check amount]" was received in our office on
"[Click here and type date]" , by your organization, for a request, received on
"[Click here and type date request was received]" , for records pertaining to the above indicated
public works project. As administer of the labor compliance program, payroll records and related
documents are kept in our office. Please address all future correspondence or questions
regarding this request to our Operations Section, Attention:
"[Click here and type contact name]" , to insure that your request is processed in a timely
manner.
.
The records requested have been compiled and are enclosed as follows:
"[Choose which of the following paragraphs apply]"
The records requested, pursuant to CLC §1776(b) (3). are enclosed as follows:
1. Copies of all Certified Payroll Records for "[Click here and type Contractor name]"
From "[Click here and type first payroll date]" through
"[Click here and type last payroll date]"
2. Statement of Employer Payments (Fringe Benefits Statement)
The records requested, pursuant to Government Code § 6253 (c): are enclosed as follows:
1. "[Click here and enter all documents included]"
2.
If I can be of any further assistance in this matter please feel free to contact me Monday through
Friday, 8:00 am – 5:00 pm, at "[Enter #]" .
Respectfully,
"[Click here and type your name]"
Cc: "[Click here and type names of anyone copied]"
(Insert Awarding Agency Logo)
"[Click here and type date]"
"[Click here and type Requesting Agency name]"
"[Click here and type Requesting Agency street address]"
"[Click here and type Requesting Agency city, state, zip]"
RE: Records Request for "[Click here and type Contractor name]"
PROJECT: "[Click here and type Project name]"
"[Click here and type Contact name]" ,
A request for records pertaining to the above indicated public works project, initiated by your
organization, dated "[Click here and type date]" addressed to "[Type Addressee name]" was
received on "[Click here and type date]" . As administer of the labor compliance program, payroll
records and related documents are kept in our office. Please address all future correspondence
or questions regarding this request to our Operations Section, Attention:
"[Click here and type contact name]" , to insure that your request is processed in a timely
manner.
The information requested, as stated in your letter (copy enclosed), is as follows:
1. "[Enter the requests straight from their request letter]"
2. "[Enter the requests straight from their request letter]"
The records you have requested are being compiled and copied. As required by CLC §1776(b)
(3), the documents are available at our offices for your review and pick up upon receipt of
$"[Click here and type amount minus postage]" . Or upon your request and receipt of
$"[Click here and type amount including postage]" , in the form of a check or money order, we
will forward copies of the documents directly to your office.
If I can be of any further assistance in this matter please feel free to contact me Monday through
Friday, 8:00 am – 5:00 pm, at "[Enter #]" .
Respectfully,
"[Click here and type your name]"
Operations
Cc: "[Click here and type names of anyone copied]"
RELEASE OF STOP NOTICE
TO: ______________________________________________________________________________________
(Construction Lender, Public Entity or Owner)
__________________________________________________________________________________________
(Address)
YOU ARE HEREBY NOTIFIED that the undersigned claimant releases that certain Stop Notice
dated ______________________, in the amount of $ _____________________ against ___________________
___________________________________ as owner or public body and _______________________________
as prime contractor in connection with the work or improvement known as
_______________________________________________________________________________________ in
the City of _______________________________________, County of _______________________________,
State of California.
Name of Claimant: _____________________________ (Company name)
Address: _____________________________
Telephone: _____________________________
By: _____________________________
(Signature)
Dated: _____________________ _____________________________
(Type name and title)
VERIFICATION
I, the undersigned, state: I am the ________________________ of the claimant named in the foregoing
(Title)
Release; I have read said Release of Stop Notice and know the contents thereof, and I certify that the same is
true of my knowledge.
I certify (or declare) under penalty of perjury under the laws of the State of California that the foregoing is true
and correct.
Executed on ___________________, 20 ____, at _______________________, State of __________________.
_____________________________ Signature of Claimant or Authorized Agent
CESIÓN DE AVISO DE DETENCIÓN
PARA: _____________________________________________________________________________
(PRESTAMISTA DE CONSTRUCCIÓN, ENTIDAD PUBLICA O DUEÑO)
___________________________________________________________________________________
(DIRECCIÓN)
POR LA PRESENTE ESTÁ USTED NOTIFICADO que el abajo firmante renuncia
a un cierto Aviso de Detención fechado __________________, en la cantidad de $_________________
en contra de _________________________________________________________________________
como dueño o entidad publica y _________________________________________________________
como contratista primario en conexión con el trabajo o mejoramiento conocido como ______________
_________________________________________________________________________________ en
la Ciudad de _______________________________________, Condado de _______________________
Estado de California.
Firma del Demandante: ____________________________________________ (Nombre de la Compañía)
Dirección: ____________________________________________
Teléfono: ____________________________________________
Por: ____________________________________________
Fechado: _______________ ____________________________________________ (Escriba nombre y titulo)
VERIFICACIÓN
Yo, el abajo firmante, declaro que: Yo soy el (la) ________________________________ del demandante
(Titulo)
Nombrado en la renuncia previa; E leído el Aviso de Detención y conozco los contenidos de ese, y certifico
que de acuerdo a mi conocimiento lo dicho es verdadero.
Yo certifico (o declaro) bajo pena de perjurio bajo las leyes del Estado de California que lo previo es verda-
dero y correcto.
Ejecutado el _______________________, 20 ____, en, ____________________, Estado de _____________.
______________________________________
(Firma del Demandante o Agente Autorizado)
(Insert Awarding Agency Logo)
BY FAX and FIRST CLASS MAIL: 213-897-6426
"[Enter Date]" (3 pages total)
"[Enter Contact]"
Dept. of Industrial Relations
Division of Labor Standards Enforcement
320 West 4th Street, Room 450
Los Angeles, CA 90013
RE: CASE NUMBER "[Enter Case #]"
Awarding Body: "[Enter Awarding Body]"
Project Name: "[Enter Project Name]"
Affected Contractor: "[Enter Affected Contractor]"
"[Enter Contact Name]" ,
After review of additional evidence provided by "[Enter Affected Contractor]" we request that
the forfeiture amount be modified as follows:
Wages from $"[Enter Amount]" to $"[Enter Amount]"
Training from $"[Enter Amount]" to $"[Enter Amount]"
1775 Penalties from $"[Enter Amount]" to $"[Enter Amount]"
1776 Penalties from $"[Enter Amount]" TO $"[Enter Amount]"
Total Notice of Withholding from $"[Enter Amount]" to $"[Enter Amount]"
Updated underpayment and penalty spreadsheets are enclosed.
The original of this document will be sent by first class mail on "[Enter Date]" . If you have any
questions do not hesitate to contact me at "[Enter #]" between the hours of 8:00am to 5:00pm.
Sincerely,
"[Enter Name]"
"[Enter Title]"
Cc:
"[Enter Affected Contractor]"
"[Enter Prime Contractor]"
Enclosure
"[Ensure that you attach updated spreadsheets]"
Phone:
Fax:
Date:
To:
Subject:
(Awarding Body)
Awarding Body Logo
Labor Compliance Program
Address
City, State, Zip
Request for Information - Complainant
In Reply Refer to Case Number:
Prime Contractor:
Subcontractor:
We are in receipt of your complaint against the above named contractor. However, the information
furnished by you is insufficient to make an adequate determination as to whether or not a formal
Awarding Body:
Project Name:
Project Number:
(Awarding Body) Labor Compliance Officer
investigation is warranted.
Please complete the enclosed document(s) and return them to our office immediately.
Upon receipt of the requested information, we will process your complaint.
Sincerely,
(Insert Awarding Agency Logo)
CERTIFIED MAIL "[Click here and type Certified Mail #]"
"[Click here and enter date]"
"[Click here and type affected contractor name]"
"[Click here and type address]"
"[Click here and type city, state, zip]"
Awarding Body: "[Click here and type Awarding Body]"
Project Name: "[Click here and type Project]"
Prime Contractor: "[Click here and type Prime Contractor]"
Sub-Contractor: "[Click here and type Sub-Contractor]"
RE: ASSESSMENT OF UNDERPAYMENT PENALTIES ON THE
"[ENTER PROJECT NAME]"
To Whom It May Concern:
After investigation and verification of submitted payroll records, tradesmen employed by your
company, in the trade classification of "[Click here and enter classification]" , were receiving less
than the required prevailing wage, as determined by the Department of Industrial Relations
(DIR).
This situation was first brought to your attention via "[Enter type of prior notification]"
on"[Click here and enter date]" , between labor compliance specialist "[Enter your name]"
and"[Enter name]" , a member of your staff. On "[Click here and enter date]" you were
officially notified via certified mail that the wage underpayment had been identified and that
mandatory penalties will be imposed for underpayment of wages and failure to provide payroll
records pursuant to California Labor Code § 1775 (a) and 1776 (h). To date no payroll records
have been received indicating that the underpayment has been corrected.
Therefore be advised that as of "[Click here and enter date]"
"[Click here and type affected contractor name]" has been incurring an assessment of
penalties of two hundred dollars ($200.00) per calendar day or a portion thereof for each
worker paid less than the prevailing wage rates, as well as a penalty assessment of one
hundred dollars ($100.00) per day or portion thereof for each worker until the records are
received, pursuant to California Labor Code § 1775(a) (1), and 1776 (h).
"[Enter Awarding Body]" will immediately proceed with actions to:
1. Withhold an amount from your contract equal to the amount of underpayment and the
mandatory penalties prescribed in California Labor Code § 1775 (a) (1) and 1776 (h).
2. Initiate documentation for presentation to the Labor Commissioner for the determination
of the amount of penalties to be imposed.
"[CLICK HERE AND TYPE AFFECTED CONTRACTOR NAME]"
RE: ASSESSMENT OF UNDERPAYMENT PENALTIES ON THE
"[ENTER PROJECT NAME]"
"[Click here and enter date]"
Page 2
A copy of this correspondence copied to "[Click here and type Awarding Body]" will serve as
notice that any contractor payment requests submitted by your company for the referenced
public works project, subsequent to the date of this letter shall be withheld pending
determination of the amount of underpayment and penalty assessment of $
"[Click here and enter underpayment & penalty amount]" as of the date of this letter. The
penalties indicated hereon are subject to increase until all requested corrections have been
received by "[Enter Awarding Body]" .
If I can be of assistance in this matter, please feel free to contact me, 8:00am to 5:00pm
Monday through Friday at "[Enter Phone Number]" .
Respectfully,
"[Enter your name]"
Labor Compliance Specialist
Cc: "[Click here and type Prime Contractor]" "[Click here and type Certified Mail #]"
NOTICE TO WORKERS
AS A WORKER ON THIS PUBLIC WORKS PROJECT, YOU ARE
TO RECEIVE PREVAILING WAGES FOR THE TYPE OF WORK
YOU ARE PERFORMING. IF YOU HAVE ANY QUESTIONS
REGARDING WHAT WAGES YOU ARE TO BE PAID, CONTACT
"[Enter Awarding Body]" LABOR COMPLIANCE PROGRAM AT:
"[Enter #]"
THE DIRECTORS PREVAILING WAGE DETERMINATIONS ARE ON FILE
IN THE PROJECT OFFICE OR OWNERS ADMINISTRATIVE OFFICE FOR
YOU TO REVIEW AT ANY TIME.
ALL INQUIRES, QUESTIONS OR COMPLAINTS SHOULD INCLUDE
PROJECT IDENTIFICATION, LOCATION AND NAME OF THE PUBLIC
AGENCY THAT AWARDED THE CONTRACT.
SUBMIT WRITTEN INQUIRES, QUESTIONS OR COMPLAINTS TO:
"[Enter Awarding Body]" LABOR COMPLIANCE PROGRAM
LABOR COMPLIANCE OFFICER
"[Click here and type address]"
"[Click here and type city, state, zip]"
NOTICE TO CONTRACTORS
THIS PROJECT IS A PUBLIC WORK, SUBJECT TO THE
PAYMENT OF PREVAILING WAGES AND THE EMPLOYMENT
OF APPRENTICES AS REQUIRED BY LAW.
THE AWARDING AGENCY HAS ADOPTED AND IS IMPLEMENTING A
LABOR COMPLIANCE PROGRAM APPROVED BY THE DEPARTMENT OF
INDUSTRIAL RELATIONS ON "[Enter Approval Date]" .
THE LIMITED EXEMPTION TO PAY PREVALING WAGES PURSUANT TO
LABOR CODE SECTION 1771.5(a), DOES NOT APPLY TO CONTRACTS ON
THIS PROJECT.
(Insert Awarding Agency Logo)
AVISO A LOS TRABAJADORES
COMO UN TRABAJADOR EN ESTE PROYECTO DE OBRAS PUBLICAS, QUE
HAN DE RECIBIR LOS SALARIOS QUE PREVALECEN PARA EL TIPO DE
TRABAJO QUE ESTA LLEVANDO A CABO. SI TIENE ALGUNA PREGUNTA
CON RESPECTO A LO QUE LOS SALARIOS QUE SE PAGAN, PONGASE EN
CONTACTO CON "[Enter Awarding Body]" LABOR COMPLIANCE AL:
"[Enter Phone #]"
LOS DIRECTORES DE LAS DETERMINACIONES SALARIA PREDOMINANTES SE
ENCUENTRAN ARCHIVADOS EN LA OFICINA DE PROYECTOS O LOS
PROPIETARIOS DE OFICINA ADMINISTRATIVA PARA QUE PUEDA REVISAR
LOS EN CUALQUIER MOMENTO.
TODAS LAS CONSULTAS, PREGUNTAS O QUEJAS DEBEN INCLUIR LA
IDENTIFICACION, UBICACION Y EL NOMBRE DE LA AGENCIA PUBLICA QUE
ADJUDICO EL CONTRATO.
PRESENTAR POR ESCRITO SUS CONSULTAS, PREGUNTAS O QUEJAS A:
"[Enter Awarding Body]" LABOR COMPLIANCE PROGRAM
LABOR COMPLIANCE OFFICER
"[Click here and type address]"
"[Click here and type city, state, zip]"
AVISO A LOS CONTRATISTAS
ESTE PROYECTO ES UNA OBRA PUBLICA, SUJETA AL PAGO DE SALARIOS
PREVALECIENTES Y EL EMPLEO DE APRENDICES COMO LO EXIGE LA
LEY.
EL ORGANISMO DE ADJUDICACION HA ADOPTADO Y ESTA EJECUTANDO UN PROGRAMA
DE TRABAJO DE CUMPLIMIENTO APROBADO POR EL DEPARTAMENTO DE RELACIONES
LABORALES A "[Enter Approval Date]" .
LA EXENCION LIMITADA PARA PAGAR LOS SALARIOS PREVALECIENTES EN VIRTUD DEL
CODIGO LABORAL SECION 1771.5 (a), NO SE APLICA A LOS CONTRATOS EN ESTE
PROYECTO.
(Insert Awarding Agency Logo)
(Insert Awarding Agency Logo)
"[Enter Date]"
"[Enter Worker name]"
"[Enter Street Address]"
"[Enter City, State, Zip]"
RE: DISTRIBUTION OF GROSS WAGES FOR THE "[ENTER PROJECT NAME]"
"[Enter Worker name]" :
Pursuant to an investigation and recovery of prevailing wages on the above referenced public
works project, "[Enter Awarding Body]" Labor Compliance Program
recovered underpayments on your behalf.
The enclosed check represents gross wages owed to you while employed by
"[Enter Affected Contractor]" on the "[Enter Project Name]" during the time period of
"[Enter Month(s)]" & "[Enter Year(s)]" .
If you should have any questions do not hesitate to contact me.
Respectfully,
"[Enter Name]"
Investigations Supervisor
Enclosure
Cc:
"[Enter Prime Contractor]"
"[Enter Affected Contractor]"
(Insert Awarding Agency Logo)
"[Enter Date]"
"[Enter Worker name]"
"[Enter Street Address]"
"[Enter City, State, Zip]"
RE: DISTRIBUCIÓN DE LOS SALARIOS GRUESOS PARA
"[ENTER PROJECT NAME]"
"[Enter Worker name]" :
De conformidad con una investigación y una recuperación de salarios que prevalecen
en las obras públicas arriba referidas proyecte, la conformidad del trabajo del estado de
oro, "[Enter Awarding Body]" Labor Compliance Program, underpayments recuperados
en su favor.
El cheque incluido representa los salarios gruesos debidos a usted mientras que es
empleado por "[Enter Affected Contractor]" en "[Enter Project Name]" durante el
período de "[Enter Month(s)]" y de"[Enter Year(s)]" ..
Si usted tiene ninguna preguntas no vacilan entrarme en contacto con.
Respetuosamente,
"[Enter Name]"
Supervisor de las investigaciones
Recinto
Cc:
"[Enter Prime Contractor]"
"[Enter Affected Contractor]"
(Insert Awarding Agency Logo)
"[Enter Date]" By Fax: "[Enter Fax #]"
Original by First Class Mail
"[Enter Affected Contractor]"
"[Enter Street Address]"
"[Enter City, State, Zip]"
ATTN: "[Enter Primary Contact]"
RE: CASE NUMBER "[Enter Case #]"
AWARDING BODY: "[ENTER AWARDING BODY]"
PROJECT NAME: "[ENTER PROJECT NAME]"
PRIME CONTRACTOR: "[ENTER PRIME CONTRACTOR]"
"[Enter Primary Contact]" ,
This letter is in response to your faxed letter of "[Enter Date]" offering a settlement for records
penalties in the amount of "[Enter Amount]" under California Labor Code § 1776 (h) and
underpayment of prevailing wage penalties in the amount of "[Enter Amount]" under California
Labor Code § 1775 after an informal conference on "[Enter Date]" between
"[Enter Affected Contractor]" and "[Enter Awarding Body]" .
The purpose of this conference was to discuss the penalties assessed due to underpayment of
prevailing wages and payroll documents requested not received.
Based on the explanations submitted at that conference and the lack of intent on the part of
"[Enter Affected Contractor]" , along with "[Enter any other applicable statements]" , I find this
offer to be acceptable and reasonable.
"[Enter Awarding Body]" will withhold the sum of "[Enter Amount]" through the issuance of a
deductive change order to the prime contractor, "[Enter Prime Contractor]" .
When the change order is signed and returned to "[Enter Awarding Body]" , the associated
Notice to Withhold Contract Payments shall cease to have any effect and shall be withdrawn.
Sincerely,
"[Enter Name]"
Investigations Supervisor
Cc:
"[Enter Prime Contractor]"
(Insert Awarding Agency Logo)
BY FAX: "[Enter Fax #]"
"[Enter Date]"
"[Enter Affected Contractor]"
"[Enter Street Address]"
"[Enter City, State, Zip]"
ATTN: "[Enter Primary Contact]"
RE: SETTLEMENT MEETING FOR CASE NUMBER "[Enter Case #]"
Awarding Body: "[ENTER AWARDING BODY]"
Project Name: "[ENTER PROJECT NAME]"
Prime Contractor: "[ENTER PRIME CONTRACTOR]"
"[Enter Primary Contact]" ,
This letter is in response to your letter of "[Enter Date]" requesting a settlement meeting. This
is to notify you that a mandatory settlement conference is scheduled for "[Enter Time & Date]"
at the offices of "[Enter Awarding Body]" Labor Compliance Program
, "[Click here and type address]" "[Click here and type city, state, zip]" .
The purpose of this conference is to discuss the penalties assessed due to documents
requested not received and underpayment of prevailing wage. An individual having authority to
bind and act on behalf of "[Enter Affected Contractor]" must be present.
The original of this document will be sent by first class mail on "[Enter Date]" .
If you have any questions do not hesitate to contact me at "[Enter #]" between the hours of
8:00am to 5:00pm.
Sincerely,
"[Enter Name]"
Investigations Supervisor
Cc:
"[Enter Prime Contractor]"
"[Enter Awarding Body]" Labor Compliance Program
Site Visit Form Date _____/_____/_____
PROJECT DATA
Awarding Agency: _________________________________________________________________
Project Name: _____________________________________________________________________
Site Address: _____________________________________________________________________
PROJECT MANAGEMENT DATA
Construction Management: __________________________________Telephone:_______________
Prime Contractor: ___________________________________________Telephone:______________
Project Superintendent: _____________________________________Telephone:_______________
REQUIRED POSTINGS AND PREVAILING WAGE DETERMINATIONS PRESENT:
NOTICE TO WORKERS AND CONTRACTORS OF LCP: Yes ______ No_______
PREVAILING WAGE DETERMINATIONS AVAILABLE TO VIEW: Yes ______ No______
Visitors Notes: _________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
Confirmed By: __________________________________________ Date: _____________________
Printed Name
Signature: _______________________________________________________________________
"[Enter Awarding Body]" Labor Compliance Program
Site Visit and Interview Form Date _____/_____/_____
PROJECT DATA
Awarding Agency: _________________________________________________________________
Project Name: _____________________________________________________________________
Site Address: _____________________________________________________________________
PROJECT MANAGEMENT DATA
Construction Management: __________________________________Telephone:_______________
Prime Contractor: ___________________________________________Telephone:______________
Project Superintendent: _____________________________________Telephone:_______________
DSA Inspector on Site: Yes_____No_____Name:_________________________________________
REQUIRED POSTINGS AND PREVAILING WAGE DETERMINATIONS PRESENT:
NOTICE TO WORKERS AND CONTRACTORS OF LCP: Yes ______ No_______
PREVAILING WAGE DETERMINATIONS AVAILABLE TO VIEW: Yes ______ No______
SITE OBSERVATIONS: Approximate Number of Tradesmen observed during this visit: __________
Description of work in Progress________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
EMPLOYEE INTERVIEW DATA: Company Name________________________________________
Employee Name________________________________________________SS#: XX/XXX/________
Classification/Position/Duties: ____________________________________ Hourly Wage $________
Task being performed at time of Interview? ______________________________________________
Did Superintendent/Foreman Accompany you during interviews? Yes_____No_____
Additional Information Discussed By Employee___________________________________________
________________________________________________________________________________
________________________________________________________________________________
PROJECT DATA: Page _____ of_____ Date: ______________________
Awarding Agency: _________________________________________________________________
Project Name: _____________________________________________________________________
Site Address: _____________________________________________________________________
EMPLOYEE INTERVIEW DATA: Company Name________________________________________
Employee Name__________________________________________________SS#: XX/XXX/______
Classification/Position/Duties: ____________________________________ Hourly Wage $________
Task being performed at time of Interview? ______________________________________________
Did Superintendent/Foreman Accompany you during interviews? Yes_____No_____
Additional Information Discussed By Employee___________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
EMPLOYEE INTERVIEW DATA: Company Name________________________________________
Employee Name__________________________________________________SS#: XX/XXX/______
Classification/Position/Duties: ____________________________________ Hourly Wage $________
Task being performed at time of Interview? ______________________________________________
Did Superintendent/Foreman Accompany you during interviews? Yes_____No_____
Additional Information Discussed By Employee___________________________________________
________________________________________________________________________________
________________________________________________________________________________
EMPLOYEE INTERVIEW DATA: Company Name________________________________________
Employee Name__________________________________________________SS#: XX/XXX/______
Classification/Position/Duties: ____________________________________ Hourly Wage $________
Task being performed at time of Interview? ______________________________________________
Did Superintendent/Foreman Accompany you during interviews? Yes_____No_____
Additional Information Discussed By Employee___________________________________________
________________________________________________________________________________
________________________________________________________________________________
PROJECT DATA: Page _____ of_____ Date: ______________________
Awarding Agency: _________________________________________________________________
Project Name: _____________________________________________________________________
Site Address: _____________________________________________________________________
Interviewers Notes: _________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
Interview Conducted By: _________________________________________ Date: ______________
**STATEMENT OF NON-PERFORMANCE PAYROLL**
Payroll Report #_______ Your Job # ________
Company Name:
Address:
Phone:
I do hereby state that our Company did not provide Tradesmen on
the Public Work Project listed below:
Name:
Location:
During the period commencing on the _____ day of __________,
_______
and ending the _____ day of ______________, _________.
____________________________ ____________________
Signature Date
____________________________ ____________________
Printed Name/Title Contact phone number
STATEMENT OF PAYMENT OF PREVAILING WAGES
I declare: I am ____________________________________________, my address is
___________________________________________________________ and my social
security number is ______________________. I was employed by
_________________________________________________ (“Employer”) on the
_______________________________________________ project (“Project”).
My Employer did not pay me the proper prevailing wages I am due for work I
performed on the Project for the period from _______________ to _____________ as
described on the attached Prevailing Wage Underpayment Spreadsheet.
I am receiving a gross wage distribution by "[Enter Awarding Body]" on behalf of
"[Click here and type Contractor name]" in compensation for the underpayment to work I
performed for my Employer on the Project. The gross wage payment of $
_________________ represents full and complete payment for all unpaid wages and othe r
compensation I am due for the time frame and underpayment issues referenced herein on
this Project from my Employer.
I understand this is a gross wage distribution and I am responsible to report and pay
any applicable income taxes attendant to this payment.
I make this statement voluntarily. I have not been threatened by any person or
promised any benefits to which I am not entitled in order to induce me to sign this statement.
I declare under penalty of perjury under the laws of the United States of America and
of the State of California that the foregoing is true and correct and that this statement was
executed on ________________, 20____ in ___________________, California.
_______________________________________
Signature
DECLARACIÓN DEL PAGO DE SALARIOS QUE PREVALECEN
Declaro: Soy ____________________________________________, mi dirección es
______________________________________________________ y mi número de
Seguridad Social es ______________________. El
_________________________________________________ (“patrón”) en el proyecto del
_______________________________________________ me empleé (“proyecto”).
Mi patrón no me pagó los salarios que prevalecían apropiados que soy debido para
el trabajo me realicé en el proyecto para el período del _______________ al
_____________ según lo descrito en la hoja de balance unida de Underpayment del salario
que prevalecía.
Estoy recibiendo una distribución gruesa del salario por la conformidad del trabajo
del estado de oro, "[Enter Awarding Body]" "[Click here and type Contractor name]" en la
remuneración para que el underpayment trabaje me me realicé para mi patrón en el
proyecto. El pago grueso del salario del _________________ de $ representa el pago
completo y completo para todos los salarios sin pagar y la otra remuneración que soy debido
para las ediciones del marco y del underpayment de tiempo referidas adjunto en este
proyecto de mi patrón.
Entiendo que que es una distribución gruesa del salario y soy responsable divulgar y
pagar cualquier impuesto sobre la renta aplicable en relación a este pago.
Hago esta declaración voluntariamente. A ninguna persona me no he amenazado ni
prometí ninguna ventajas a las cuales me no dan derecho en orden a inducirme a que firme
esta declaración.
Declaro bajo pena del perjurio bajo leyes de los Estados Unidos de América y del
estado de California que el precedente está verdad y correcto y que fue ejecutada esta
declaración en ________________, 20____ en el ___________________, California.
_______________________________________
Su Firma
(Insert Awarding Agency Logo)
"[Enter Date]"
State of California
Department of Industrial Relations
Division of Labor Standards Enforcement
2031 Howe Avenue, Suite 100
Sacramento, CA 95825
Attn: Public Works Unit
RE: WAGES FOR WORKERS WHO CANNOT BE LOCATED
To Whom It May Concern:
Pursuant to Labor Code 1743 (c) enclosed find check number ________ in the amount
of $__________ for wages owed to the below named worker(s) who cannot be
contacted after a diligent effort to locate:
PROJECT NAME: "[ENTER PROJECT NAME]"
PROJECT NO.: "[ENTER PROJECT NUMBER]"
AFFECTED CONTRACTOR: "[ENTER AFFECTED CONTRACTOR]"
AFFECTED WORKER(S): "[ENTER AFFECTED WORKER]"
SOCIAL SECURITY NO.(S): "[ENTER SS#]"
LAST KNOWN ADDRESS: "[ENTER STREET ADDRESS]"
"[ENTER CITY, STATE, ZIP]"
WAGE AMOUNT DUE: "[ENTER AMOUNT]"
If you have any questions do not hesitate to contact me at "[Enter #]" Monday through
Friday between the hours of 8:00am and 5:00pm.
Sincerely,
"[Enter Name]"
Investigations Supervisor
Cc: "[Enter Awarding Body]"
Insert Awarding Agency Logo
Verification of Apprentice and Journeyman Hours
(CLC 1777.5 (e) Within 60 days after concluding work on the contract, each contractor and subcontractor
shall submit to the awarding body, if requested, AND to the apprenticeship program a verified statement
of the journeyman and apprentice hours performed on the contract. The information under this
subdivision shall be public. The apprenticeship committee shall retain this information for 12 months).
I declare under penalty of perjury that:
I am the of
(Owner, officer, partner, etc.) (Company)
responsible for the payment of persons employed by
(Company)
who performed work on the , in the classification of
(Name of project)
The labor performed by these workers can be best described as:
During the payroll period(s) commencing on and ending on
all persons employed by my company on this project have been paid the specified general prevailing rate of
per diem wages for the specified craft or classification pursuant to Labor Code 1771. *
No Apprentices were dispatched in response to my submission(s) of a DAS 142 or “Public Works
Contract Award Information” and therefore all workers were classified as Journeymen.
-OR-
Apprentice(s) worked a total of hours and Journeymen worked a
total of hours establishing an apprentice/journeyman ratio in hours of to .
Executed this day of 200 , at in California.
(Signature)
* Except for public works projects of one thousand dollars ($1,000) or less, not less than the general prevailing rate of per diem wages
for work of a similar character in the locality in which the public work is performed, and not less than the general prevaili ng rage of
per diem wages for holiday and overtime work fixed as provided in this chapter, shall be paid to all workers employed on public
works. This section is applicable only to work performed under contract, and is not applicable to work carried out by a publ ic agency
with its own forces. This section is applicable to contracts let for maintenance work.
Leaving Office: Date Left //
(Check one)
The period covered is January 1, 2014, through the date of
leaving office.
The period covered is //, through
the date of leaving office.
Annual: The period covered is January 1, 2014, through
December 31, 2014.
The period covered is //, through
December 31, 2014.
STATEMENT OF ECONOMIC INTERESTS
COVER PAGE
FPPC Form 700 (2014/2015)
FPPC Advice Email: advice@fppc.ca.gov
FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov
I have used all reasonable diligence in preparing this statement. I have reviewed this statement and to the best of my knowledge the information contained
herein and in any attached schedules is true and complete. I acknowledge this is a public document.
I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Date Signed
(month, day, year)
3. Type of Statement (Check at least one box)
State Judge or Court Commissioner (Statewide Jurisdiction)
Multi-County County of
City of Other
2. Jurisdiction of Office (Check at least one box)
Candidate: Election year and office sought, if different than Part 1:
Assuming Office: Date assumed //
Date Initial Filing
Received
Official Use Only
Please type or print in ink.
700
FAIR POLITICAL PRACTICES COMMISSION
CALIFORNIA FORM
Agency Name (Do not use acronyms)
Division, Board, Department, District, if applicable Your Position
1. Office, Agency, or Court
4. Schedule Summary
NAME OF FILER (LAST) (FIRST) (MIDDLE)
Check applicable schedules or “None.”
Schedule A-1 - Investments – schedule attached
Schedule A-2 - Investments – schedule attached
Schedule B - Real Property – schedule attached
► Total number of pages including this cover page:
MAILING ADDRESS STREET CITY STATE ZIP CODE
( )
DAYTIME TELEPHONE NUMBER E-MAIL ADDRESS
(Business or Agency Address Recommended - Public Document)
Signature
(File the originally signed statement with your filing official.)
5. Verification
Schedule C - Income, Loans, & Business Positions – schedule attached
Schedule D - Income – Gifts – schedule attached
Schedule E - Income – Gifts – Travel Payments – schedule attached
-or-
None - No reportable interests on any schedule
A PUBLIC DOCUMENT
► If filing for multiple positions, list below or on an attachment. (Do not use acronyms)
Agency: Position:
-or-
Which Schedule Do I Use?
FPPC Form 700 (2014/2015)
FPPC Advice Email: advice@fppc.ca.gov
FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov
Instructions - 3
Common Reportable Interests
Schedule A-1 Stocks, including those held in an IRA or a 401K
Schedule A-2 Business entities (including certain independent contracting), sole proprietorships,
partnerships, LLCs, corporations, and trusts
Schedule B Rental property in the jurisdiction
Schedule C Non-governmental salaries of public official and spouse/registered domestic partner
Schedule D Gifts from businesses (such as tickets to sporting or entertainment events)
Schedule E Travel payments from third parties (not your employer)
Common Non-Reportable Interests
Schedule A-1 Insurance policies, government bonds, diversified mutual funds, certain funds similar
to diversified mutual funds (such as exchange traded funds) and investments held
in certain retirement accounts. See Reference Pamphlet, page 13, for detailed
information. (Regulation 18237)
Schedule A-2 Savings and checking accounts and annuities
Schedule B A residence used exclusively as a personal residence (such as a home or vacation
cabin)
Schedule C Governmental salary (such as a school district)
Schedule D Gifts from family members
Schedule E Travel paid by your government agency
Remember:
9 Mark the “No reportable interests” box on Part 4 of the Schedule Summary on the Cover Page
if you determine you have nothing to disclose and file the Cover Page only. Make sure you
carefully read all instructions to ensure proper reporting.
9 The Form 700 is a public document.
9 Most individuals must consult their agency’s conflict of interest code for reportable
interests.
9 Most individuals file the Form 700 with their agencies.
9 When you file your statement, bring a copy to have date stamped for your records.
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
14 14 14 14
1414
141414
Name
► NAME OF BUSINESS ENTITY
GENERAL DESCRIPTION OF THIS BUSINESS
► NAME OF BUSINESS ENTITY
GENERAL DESCRIPTION OF THIS BUSINESS
► NAME OF BUSINESS ENTITY
GENERAL DESCRIPTION OF THIS BUSINESS
► NAME OF BUSINESS ENTITY
GENERAL DESCRIPTION OF THIS BUSINESS
► NAME OF BUSINESS ENTITY
GENERAL DESCRIPTION OF THIS BUSINESS
► NAME OF BUSINESS ENTITY
GENERAL DESCRIPTION OF THIS BUSINESS
Comments:
SCHEDULE A-1
Investments
Stocks, Bonds, and Other Interests
(Ownership Interest is Less Than 10%)
Do not attach brokerage or financial statements.
700
FAIR POLITICAL PRACTICES COMMISSION
CALIFORNIA FORM
FPPC Form 700 (2014/2015) Sch. A-1
FPPC Advice Email: advice@fppc.ca.gov
FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov
FAIR MARKET VALUE
$2,000 - $10,000 $10,001 - $100,000
$100,001 - $1,000,000 Over $1,000,000
FAIR MARKET VALUE
$2,000 - $10,000 $10,001 - $100,000
$100,001 - $1,000,000 Over $1,000,000
FAIR MARKET VALUE
$2,000 - $10,000 $10,001 - $100,000
$100,001 - $1,000,000 Over $1,000,000
FAIR MARKET VALUE
$2,000 - $10,000 $10,001 - $100,000
$100,001 - $1,000,000 Over $1,000,000
FAIR MARKET VALUE
$2,000 - $10,000 $10,001 - $100,000
$100,001 - $1,000,000 Over $1,000,000
FAIR MARKET VALUE
$2,000 - $10,000 $10,001 - $100,000
$100,001 - $1,000,000 Over $1,000,000
14
NATURE OF INVESTMENT
Stock Other (Describe)
Partnership Income Received of $0 - $499
Income Received of $500 or More (Report on Schedule C)
NATURE OF INVESTMENT
Stock Other (Describe)
Partnership Income Received of $0 - $499
Income Received of $500 or More (Report on Schedule C)
NATURE OF INVESTMENT
Stock Other (Describe)
Partnership Income Received of $0 - $499
Income Received of $500 or More (Report on Schedule C)
NATURE OF INVESTMENT
Stock Other (Describe)
Partnership Income Received of $0 - $499
Income Received of $500 or More (Report on Schedule C)
NATURE OF INVESTMENT
Stock Other (Describe)
Partnership Income Received of $0 - $499
Income Received of $500 or More (Report on Schedule C)
NATURE OF INVESTMENT
Stock Other (Describe)
Partnership Income Received of $0 - $499
Income Received of $500 or More (Report on Schedule C)
1414
► 3. LIST THE NAME OF EACH REPORTABLE SINGLE SOURCE OF
INCOME OF $10,000 OR MORE (Attach a separate sheet if necessary.)
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
14 14
14 1414 14
SCHEDULE A-2
Investments, Income, and Assets
of Business Entities/Trusts
(Ownership Interest is 10% or Greater)
Comments:
Name
Address (Business Address Acceptable)
Name
Address (Business Address Acceptable)
FAIR MARKET VALUE
$0 - $1,999
$2,000 - $10,000
$10,001 - $100,000
$100,001 - $1,000,000
Over $1,000,000
FAIR MARKET VALUE
$0 - $1,999
$2,000 - $10,000
$10,001 - $100,000
$100,001 - $1,000,000
Over $1,000,000
GENERAL DESCRIPTION OF THIS BUSINESS
GENERAL DESCRIPTION OF THIS BUSINESS
INVESTMENT REAL PROPERTY
Name of Business Entity, if Investment, or Assessor’s Parcel Number or Street Address of Real Property
Description of Business Activity or
City or Other Precise Location of Real Property
INVESTMENT REAL PROPERTY
Name of Business Entity, if Investment, or Assessor’s Parcel Number or Street Address of Real Property
Description of Business Activity or
City or Other Precise Location of Real Property
► 4. INVESTMENTS AND INTERESTS IN REAL PROPERTY HELD OR
LEASED BY THE BUSINESS ENTITY OR TRUST
► 4. INVESTMENTS AND INTERESTS IN REAL PROPERTY HELD OR
LEASED BY THE BUSINESS ENTITY OR TRUST
Check one
Trust, go to 2 Business Entity, complete the box, then go to 2
Check one
Trust, go to 2 Business Entity, complete the box, then go to 2
► 3. LIST THE NAME OF EACH REPORTABLE SINGLE SOURCE OF
INCOME OF $10,000 OR MORE (Attach a separate sheet if necessary.)
► 2. IDENTIFY THE GROSS INCOME RECEIVED (INCLUDE YOUR PRO RATA
SHARE OF THE GROSS INCOME TO THE ENTITY/TRUST)
► 2. IDENTIFY THE GROSS INCOME RECEIVED (INCLUDE YOUR PRO RATA
SHARE OF THE GROSS INCOME TO THE ENTITY/TRUST)
Name
700
Check one box:Check one box:
YOUR BUSINESS POSITION YOUR BUSINESS POSITION
FPPC Form 700 (2014/2015) Sch. A-2
FPPC Advice Email: advice@fppc.ca.gov
FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov
FAIR MARKET VALUE
$2,000 - $10,000
$10,001 - $100,000
$100,001 - $1,000,000
Over $1,000,000
FAIR MARKET VALUE
$2,000 - $10,000
$10,001 - $100,000
$100,001 - $1,000,000
Over $1,000,000
$0 - $499
$500 - $1,000
$1,001 - $10,000
$0 - $499
$500 - $1,000
$1,001 - $10,000
$10,001 - $100,000
OVER $100,000
$10,001 - $100,000
OVER $100,000
FAIR POLITICAL PRACTICES COMMISSION
CALIFORNIA FORM
► 1. BUSINESS ENTITY OR TRUST ► 1. BUSINESS ENTITY OR TRUST
NATURE OF INTEREST
Property Ownership/Deed of Trust Stock Partnership
Leasehold Other
Check box if additional schedules reporting investments or real property
are attached
Yrs. remaining
NATURE OF INTEREST
Property Ownership/Deed of Trust Stock Partnership
Leasehold Other
Check box if additional schedules reporting investments or real property
are attached
Yrs. remaining
14 14
Other
NATURE OF INVESTMENT
Partnership Sole Proprietorship Other
NATURE OF INVESTMENT
Partnership Sole Proprietorship
None Noneor or Names listed below Names listed below
NAME OF LENDER*
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF LENDER
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
IF APPLICABLE, LIST DATE:
// //
ACQUIRED DISPOSED
14 1414 14
SCHEDULE B
Interests in Real Property
(Including Rental Income)
Name
► ASSESSOR’S PARCEL NUMBER OR STREET ADDRESS
► ASSESSOR’S PARCEL NUMBER OR STREET ADDRESS
CITY CITY
INTEREST RATE TERM (Months/Years)
% None
SOURCES OF RENTAL INCOME: If you own a 10% or greater
interest, list the name of each tenant that is a single source of
income of $10,000 or more.
SOURCES OF RENTAL INCOME: If you own a 10% or greater
interest, list the name of each tenant that is a single source of
income of $10,000 or more.
NATURE OF INTEREST
Ownership/Deed of Trust Easement
Leasehold
Yrs. remaining Other
NATURE OF INTEREST
Ownership/Deed of Trust Easement
Leasehold
Yrs. remaining Other
Comments:
FAIR MARKET VALUE
$2,000 - $10,000
$10,001 - $100,000
$100,001 - $1,000,000
Over $1,000,000
FAIR MARKET VALUE
$2,000 - $10,000
$10,001 - $100,000
$100,001 - $1,000,000
Over $1,000,000
IF RENTAL PROPERTY, GROSS INCOME RECEIVED
OVER $100,000
$500 - $1,000 $0 - $499 $1,001 - $10,000
$10,001 - $100,000
IF RENTAL PROPERTY, GROSS INCOME RECEIVED
OVER $100,000
$500 - $1,000 $0 - $499 $1,001 - $10,000
$10,001 - $100,000
HIGHEST BALANCE DURING REPORTING PERIOD
Guarantor, if applicable
OVER $100,000
$500 - $1,000 $1,001 - $10,000
$10,001 - $100,000
FPPC Form 700 (2014/2015) Sch. B
FPPC Advice Email: advice@fppc.ca.gov
FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov
700
FAIR POLITICAL PRACTICES COMMISSION
CALIFORNIA FORM
NAME OF LENDER*
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF LENDER
INTEREST RATE TERM (Months/Years)
% None
Guarantor, if applicable
HIGHEST BALANCE DURING REPORTING PERIOD
OVER $100,000
$500 - $1,000 $1,001 - $10,000
$10,001 - $100,000
* You are not required to report loans from commercial lending institutions made in the lender’s regular course of
business on terms available to members of the public without regard to your official status. Personal loans and
loans received not in a lender’s regular course of business must be disclosed as follows:
None None
FPPC Form 700 (2014/2015) Sch. C
FPPC Advice Email: advice@fppc.ca.gov
FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov
(Real property, car, boat, etc.)(Real property, car, boat, etc.)
SCHEDULE C
Income, Loans, & Business
Positions
(Other than Gifts and Travel Payments)
GROSS INCOME RECEIVED GROSS INCOME RECEIVED
Name
OVER $100,000 OVER $100,000
$500 - $1,000 $500 - $1,000 $1,001 - $10,000 $1,001 - $10,000
$10,001 - $100,000 $10,001 - $100,000
700
FAIR POLITICAL PRACTICES COMMISSION
CALIFORNIA FORM
► 1. INCOME RECEIVED
NAME OF SOURCE OF INCOME
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF SOURCE
YOUR BUSINESS POSITION
► 1. INCOME RECEIVED
NAME OF SOURCE OF INCOME
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF SOURCE
YOUR BUSINESS POSITION
NAME OF LENDER*
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF LENDER
INTEREST RATE TERM (Months/Years)
% None
HIGHEST BALANCE DURING REPORTING PERIOD
$500 - $1,000
$1,001 - $10,000
$10,001 - $100,000
OVER $100,000
Comments:
► 2. LOANS RECEIVED OR OUTSTANDING DURING THE REPORTING PERIOD
* You are not required to report loans from commercial lending institutions, or any indebtedness created as part of a
retail installment or credit card transaction, made in the lender’s regular course of business on terms available to
members of the public without regard to your official status. Personal loans and loans received not in a lender’s
regular course of business must be disclosed as follows:
SECURITY FOR LOAN
None Personal residence
Real Property
Guarantor
Other
Street address
City
(Describe)
CONSIDERATION FOR WHICH INCOME WAS RECEIVED
Salary Spouse’s or registered domestic partner’s income
(For self-employed use Schedule A-2.)
Partnership (Less than 10% ownership. For 10% or greater use
Schedule A-2.)
Sale of
Other
CONSIDERATION FOR WHICH INCOME WAS RECEIVED
Salary Spouse’s or registered domestic partner’s income
(For self-employed use Schedule A-2.)
Partnership (Less than 10% ownership. For 10% or greater use
Schedule A-2.)
Sale of
Other
(Describe)(Describe)
(Describe)(Describe)
Rental Income, list each source of $10,000 or more Rental Income, list each source of $10,000 or moreCommission or Commission or
Loan repayment Loan repayment
SCHEDULE D
Income – Gifts
Comments:
Name
FPPC Form 700 (2014/2015) Sch. D
FPPC Advice Email: advice@fppc.ca.gov
FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov
700
FAIR POLITICAL PRACTICES COMMISSION
CALIFORNIA FORM
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF SOURCE
DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)
// $
// $
// $
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF SOURCE
DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)
// $
// $
// $
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF SOURCE
DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)
// $
// $
// $
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF SOURCE
DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)
// $
// $
// $
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF SOURCE
DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)
// $
// $
// $
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
BUSINESS ACTIVITY, IF ANY, OF SOURCE
DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S)
// $
// $
// $
TYPE OF PAYMENT: (must check one) Gift Income
SCHEDULE E
Income – Gifts
Travel Payments, Advances,
and Reimbursements
Name
Comments:
FPPC Form 700 (2014/2015) Sch. E
FPPC Advice Email: advice@fppc.ca.gov
FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov
TYPE OF PAYMENT: (must check one) Gift Income
700
FAIR POLITICAL PRACTICES COMMISSION
CALIFORNIA FORM
• Mark either the gift or income box.
• Mark the “501(c)(3)” box for a travel payment received from a nonprofit 501(c)(3) organization
or the “Speech” box if you made a speech or participated in a panel. These payments are not
subject to the $440 gift limit, but may result in a disqualifying conflict of interest.
DATE(S): // - // AMT: $
(If gift)
DATE(S): // - // AMT: $
(If gift)
TYPE OF PAYMENT: (must check one) Gift Income TYPE OF PAYMENT: (must check one) Gift Income
DATE(S): // - // AMT: $
(If gift)
DATE(S): // - // AMT: $
(If gift)
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
CITY AND STATE
501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
CITY AND STATE
501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
CITY AND STATE
501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE
► NAME OF SOURCE (Not an Acronym)
ADDRESS (Business Address Acceptable)
CITY AND STATE
501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE
Made a Speech/Participated in a Panel
Other - Provide Description
Made a Speech/Participated in a Panel
Other - Provide Description
Made a Speech/Participated in a Panel
Other - Provide Description
Made a Speech/Participated in a Panel
Other - Provide Description
LCP-AR1
LCP ANNUAL REPORT 8 CCR § 16431 -- AB limited 2008
LABOR COMPLIANCE PROGRAM ANNUAL REPORT
Format for Awarding Body that enforces its own Labor Compliance Program for some but not all projects
Report for the reporting period ______________ to _____________
(mm/dd/yyyy) (mm/dd/yyyy)
1. Name of Labor Compliance Program (LCP) :
2. LCP I.D. Number (assigned by DIR):
3. Date of Initial Approval:
4. Contact person (include name, title, address, telephone, fax, and e-mail, if available):
5. Did LCP perform any LC § 1771.5 enforcement activities during the 12 months in the reporting period?
Please check one: Yes If Yes, proceed to item 6 on the next page
No If No, complete the information below, sign the form and submit to DIR, Office of the Director, Attn: LCP Special Assistant,
455 Golden Gate Avenue, 10th Floor, San Francisco CA 94102
What suggestions do you have for the Department of Industrial Relations to better assist you with your program in the coming year? (attach additional sheets if
necessary)
SUBMITTED BY:
___________________________________________ ________________________________________________________ ________________________________
Signature Name and Title Date
LCP-AR1
LCP ANNUAL REPORT 8 CCR § 16431 -- AB limited 2008
6. LC § 1771.5 enforcement activities (provide all information requested, attaching as many sheets as necessary).
A. List projects handled by LCP within the past 12 months.
Project Name Bid Advertisement Date Prime Contractor Contract Amount
Total
B. Summary of all wages and penalties assessed and/or recovered.
Project Name
Affected Contractor
(who directly employed the
worker)
Amount
Assessed
Amount
Recovered
Approval of
Forfeiture
Requested from
Labor
Commissioner?
Description of Violation
Yes No
Yes No
Yes No
Yes No
Yes No
Yes No
Yes No
Yes No
Total
LCP-AR1
LCP ANNUAL REPORT 8 CCR § 16431 -- AB limited 2008
C. For any amount identified in item B for which approval of forfeiture not requested from the Labor Commissioner, please explain below.
Project Name Amount Assessed Amount
Recovered Explanation
Total
D. For any amount identified in item B for which approval of forfeiture was requested from the Labor Commissioner, please provide the following:
Project Amount Assessed Amount Recovered
Name LC §1776(g) LC § 1775 LC § 1813 Wages Total LC § 1776(g) LC § 1775 LC § 1813 Wages Total
Total
E. Identify cases that are or were the subject of LC § 1742 proceedings.
Project Name Contractor Nature of Violation ODL Case # Current Status
F. Did you refer any contractor to the Labor Commissioner for debarment per LC § 1777.1?
Please check one: Yes No
If yes, identify affected contractor(s) or subcontractor(s) and date(s) of referral: __________________________________________________________________
G. Did you refer any apprenticeship violation to the Division of Apprenticeship Standards (DAS)?
Please check one: Yes No
If yes, identify affected contractor(s) or subcontractor(s) and date(s) of referral:
DIR-PWC 100 (rev. 10/11) successor to the DAS 13 form
STATE OF CALIFORNIA – DEPARTMENT OF INDUSTRIAL RELATIONS
TO: California Department of Industrial Relations
Division of Apprenticeship Standards
P.O. Box 420603
San Francisco, CA 94142
FROM:
EXTRACT OF
PUBLIC WORKS CONTRACT AWARD
A CONTRACT TO PERFORM PUBLIC WORKS UNDER LABOR CODE SECTION 1777.5 HAS BEEN AWARDED TO:
1. NAME OF GENERAL CONTRACTOR
2. CONTRACTOR’S LICENSE NO
3. MAILING ADDRESS (STREET NUMBER OR P.O. BOX)
4. CITY
5. ZIP CODE
6. TELEPHONE NUMBER
7. GENERAL CONTRACTOR’S CONTACT EMAIL ADDRESS
8. ADDRESS/LOCATION OF PUBLIC WORKS SITE (INCLUDE CITY AND
COUNTY):
8a. County
9. . NAME OF PROJECT
10. CONTRACT NUMBER
11. PROJECT NUMBER
12. DOLLAR AMOUNT OF CONTRACT AWARD
13 . FIRST ADVERTISED BID DATE
MONTH DAY YEAR
14 CONTRACT AWARD DATE
MONTH DAY YEAR
12a ESTIMATED TOTAL PROJECT COSTS, IF DIFFERENT FROM
ITEM 12 (see instructions).
15. WHICH STATUTE, IF ANY, APPLIES TO THIS PROJECT?
16. STATE CONSTRUCTION BONDS YES NO
If YES, List the Sources and Dollar Amount of Bond Proceeds: SOURCES DOLLAR AMOUNT
17. WILL YOU OPERATE A DIR-APPROVED LABOR COMPLIANCE
PROGRAM (LCP) FOR THIS PROJECT?
YES NO
18. IS THERE A PROJECT LABOR AGREEMENT (PLA) ASSOCIATED
WITH THIS PROJECT? If yes, please email a copy to cmupla@dir.ca.gov
YES NO
19. STARTING DATE (ESTIMATED OR ACTUAL)
(MM/DD/YYYY)
20. COMPLETION DATE (ESTIMATED OR ACTUAL)
(MM/DD/YYYY)
21. BRIEF DESCRIPTION OF WORK TO BE PERFORMED
22
. NEW CONSTRUCTION REMODELING
ALTERATION, DEMOLITION, REPAIR OR MAINTENANCE
23. CLASSIFICATION OR TYPE OF WORKER (CARPENTER, PLUMBER, ETC.) THAT WILL BE EMPLOYED BY THE CONTRACTOR(S)
Please list Sub-contractors and their worker classifications on page 2
24.
Is language included in the Contract Award to effectuate the requirements of
sections 1771, 1774, 1775, 1776, 1777.5, 1813, and 1815 of the Labor Code?
YES NO
25. SIGNATURE
26. TITLE
27. DATE
28. PRINTED OR TYPED NAME
29. E-MAIL ADDRESS
30. TELEPHONE NUMBERS
If different from above, name, title, and contact information of person responsible for carrying out Awarding Body’s LCP or CMU responsibilities.
31. NAME
32. TITLE
33. E-MAIL ADDRESS
34. TELEPHONE NUMBER
Duplication of this form is permissible
AWARDING AGENCY ID NUMBER
If you do not have an ID number please contact DAS
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DIR-PWC 100 (rev. 10/11) successor to the DAS 13 form
EXTRACT OF PUBLIC WORKS CONTRACT AWARD (Continued)
Listing of Sub Contractors
Con. Lic. # Contractor Classification of workers
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GSLC #6 (2/15)
State of California
Department of Industrial Relations
California Apprenticeship Council
P.O. Box 511283 TRAINING FUND CONTRIBUTIONS
Los Angeles, CA 90051-7838
https://www.dir.ca.gov/DAS/tf/cac2.asp
CALIFORNIA APPRENTICESHIP
COUNCIL
Online form found at: https://www.dir.ca.gov/DAS/tf/cac2.asp
Please complete, print and send to the address above .
One check payable to the California Apprenticeship Council,
may be submitted for all jobsites and/or occupations.
Training fund contributions are not accepted by the
California Apprenticeship Council for federal public
works projects, unless the project is administered by a
public agency or for non – apprenticeable occupations
such as utility technicians, lead abatement worker, etc.
Name and Address of Contractor/Subcontractor making Contribution Contractors License Number
Contract or Project Number
Name and Address of Public Agency Awarding Contract Jobsite Location (including County)
Period Covered by Contribution
From:
To:
Classification(s) of Workers (Carpenter, Plumber, Electrician, Etc...) Hours Contribution Rate Amount
per hour
IF APPRENTICES WERE EMPLOYED, PLEASE LIST THE APPRENTICESHIP PROGRAM AND NUMBER OF APPRENTICE HOURS WORKED BELOW
TYPE OR PRINT YOUR NAME AND TITLE Date
E-mail Area Code & Telephone Number
REQUEST FOR DISPATCH OF AN APPRENTICE – DAS 142 FORM
DO NOT SEND THIS FORM TO DAS
You may use this form to request dispatch of an apprentice from the Apprenticeship Committee in the craft or
trade in the area of the public work. Go to: ŚƚƚƉ͗ͬͬǁǁǁ͘Ěŝƌ͘ĐĂ͘ŐŽǀͬĚĂƚĂďĂƐĞƐͬĚĂƐͬƉǁĂĚĚƌƐƚĂƌƚ͘ĂƐƉ for
ŝŶĨŽƌŵĂƚŝŽŶabout programs in your area and trade. You may also consult your local Division Apprenticeship
^ƚĂŶĚĂƌĚƐ(DAS) office whose telephone number may be found in your local directory under California, State of,
/ŶĚƵƐƚƌŝĂůRelations, Division of Apprenticeship Standards. Except for projects with less than 40 hours of
ũŽƵƌŶĞLJŵĂŶwork, you must request and employ apprentices in no less than 8 hour increments.
Date:
Contractor Requesting Dispatch:
To Applicable Apprenticeship Committee:
Name:____________________________________________
Address:__________________________________________
__________________________________________
Tel. No. _______________ Fax No. ___________________
Name: ______________________________________
Address: ____________________________________
_________________________________
License No. __________________________________
Tel. No. _______________ Fax No. _______________
Project Information:
Contract No. _____________________________________________________________________________________
Name of the Project:_______________________________________________________________________________
Address:_________________________________________________________________________________________
Dispatch Request Information:
Number of Apprentice(s) Needed: _________________ Craft or Trade: ___________________________________
Date Apprentice(s) to Report: _______________ (72 hrs. notice required) Time to Report: _________________
Name of Person to Report to: ______________________________________
Address to Report to: _____________________________________________
_____________________________________________
You may use this form to make your written request for the dispatch of an apprentice. Requests for dispatch must be in
writing and submitted at least 72 hours in advance (excluding weekends and holidays) via first class mail, fax or email. Proof
of submission may be required. Please take note of California Code of Regulations, Title 8, § 230.1 (a) for all app licable
requirements regarding apprenticeship requests and/or visit
http://www.dir.ca.gov/DAS/DASApprenticesOnPublicWorksSummaryOfRequirements.htm
DAS 142 (Revised 04/14)
1.
2.
Enter name of the Committee
3.
Date
Apprenticeship Committee. We will employ and train under their Standards.Enter name of the Committee
We will employ and train apprentices in accordance with the California Apprenticeship Council regulations,
including § 230.1 (c) which requires that apprentices employed on public projects can only be assigned to
perform work of the craft or trade to which the apprentice is registered and that the apprentices must at all
times work with or under the direct supervision of journeyman/men.
We will comply with the standards of
Apprenticeship Committee for the duration of this job only.
We are already approved to train apprentices by the
THIS FORM IS BEING SENT TO: (NAME & ADDRESS OF APPRENTICESHIP PROGRAM(S))
Check One Of The Boxes Below
PUBLIC WORKS CONTRACT AWARD INFORMATION
NAME & ADDRESS OF PUBLIC AGENCY AWARDING CONTRACT
Contract award information must be sent to your Apprenticeship Committee if you are approved to train.If you are not approved to train,you
must send the information (which may be this form)to ALL applicable Apprenticeship Committees in your craft or trade in the area of the site
of the public work.Go to:http://www.dir.ca.gov/das/PublicWorksForms.htm for information about programs in your area and trade.You may
also consult your local Division of Apprenticeship Standards (DAS)office whose telephone number may be found in your local directory under
California, State of, Industrial Relations, Division of Apprenticeship Standards.
Do not send this form to the Division of Apprenticeship Standards.
NAME OF YOUR COMPANY
MAILING ADDRESS- NUMBER & STREET, CITY, ZIP CODE
CONTRACTOR'S STATE LICENSE NO
APPROXIMATE DATES TO BE EMPLOYED
ESTIMATED NUMBER OF APPRENTICE HOURS
AREA CODE & TELEPHONE NO.
DATE OF EXPECTED OR ACTUAL START OF PROJECT
ESTIMATED NUMBER OF JOURNEYMEN HOURS
This is not a request for dispatch of apprentices.
Contractors must make a separate request for actual dispatch, in accordance with Section 230.1(a) California Code of Regulations
DATE YOUR CONTRACT EXECUTED
OCCUPATION OF APPRENTICE
NAME & ADDRESS OF PUBLIC WORKS PROJECT
DAS 140 (REV. 1/04)
State of California - Department of Industrial Relations DIVISION
OF APPRENTICESHIP STANDARDS
Signature
Typed Name
Title
B O AR D AGE N D A S TAF F R E P ORT
Agenda Item #6.
Meeting Date: Dec emb er 12, 2018
Dis c ussion Item
To: G o verning Board Memb ers
F rom: G eneral Manager/C EO
Subject: C ons id er Wastewater Main R ehabilitation C o nstruc tion C o ntract
R E C O MME N D AT IO N:
S taff rec o mmends that the Bo ard of Direc to rs authorize the G eneral Manager/C E O to execute a c o ntrac t with
T K C o nstruc tio n fo r a not-to-exc eed amo unt of $356,000 to rehabilitate wastewater mains in Modesto Drive,
35th S treet, and F erndale Avenue.
B AC KGR O UN D / AN ALYS IS :
Two was tewater main rehabilitatio n pro jects , Modesto Drive and 35th S treet, were includ ed in this year ’s C ap ital
Bud get with a total alloc ation of $430,000. During the proc ess of o b taining bid s , it was apparent that the c urrent
b id d ing environment was res ulting in c o nstruc tion c o s ts that were lo wer than expec ted . C onsequently,
Engineering staff took this as an opportunity to includ e a third was tewater main rehabilitation that was planned
fo r the future, F ernd ale Avenue, within the ap p ro ved bud get for this year. A s ummary o f the rehab ilitatio n wo rk
fo r the three wastewater mains is given b elo w.
Mod es to Drive - T his wo rk req uires rep lac ing 735 lineal feet of undersized s ewer main to match the
ups tream and downstream s ewer main size o f 8-inches in diameter.
35th S treet - T his work req uires replacing 315 lineal feet of unders ized s ewer main to matc h the up s tream
and downs tream s ewer main size o f 8-inches in diameter.
F ernd ale Avenue - T his wo rk req uires replacing 650 lineal feet of unders ized s ewer main to matc h the
ups tream and downstream s ewer main size o f 8-inches in diameter.
T he mo s t favo rab le b id fo r the rehabilitatio n of the three was tewater mains was rec eived fro m T K C ons tructio n
fo r $356,000.
AG E N C Y G O ALS AN D OB J E C T IVE S :
G o al and O bjec tives I V - P romo te P lanning, Maintenanc e and P res ervatio n o f Dis tric t R esources
a) Develop P ro jec ts and P ro grams to Ens ure S afe and R eliable S ervices
c) Ded ic ate Effo rts To ward S ys tem Maintenance and Mo d ernization
R ecommended b y:
Jo hn Mura
G eneral Manager/C EO
R espec tfully sub mitted:
Jeff No elte
Direc tor o f Engineering & O p eratio ns
R E VIE W B Y O T HE R S :
T his agenda item has been reviewed by the executive management team.
F IS C AL IMPAC T
T his p ro jec t is ap p roved in the F Y 2018-19 C apital I mprovement P ro gram in the amount of $430,000.
B O AR D AGE N D A S TAF F R E P ORT
Agenda Item #7.
Meeting Date: Dec emb er 12, 2018
Dis c ussion Item
To: G o verning Board Memb ers
F rom: G eneral Manager/C EO
Subject: C ons id er P ro gram Management S ervic es C o ntract for the S terling Natural R esources C enter
(S NR C )
R E C O MME N D AT IO N:
S taff rec o mmends that the Bo ard of Direc to rs authorize the G eneral Manager/C E O to execute a c o ntrac t with
AKD C o ns ulting to p ro vid e P rogram Management S ervic es for the S NR C pro ject for a not-to-exc eed amount
of $485,000.
B AC KGR O UN D / AN ALYS IS :
O n O c tober 26, 2016, the Bo ard o f Directo rs ap p ro ved the c o ntent o f a pro p o s al fro m AKD C ons ulting d ated
O c tober 19, 2016 fo r P rogram Management S ervic es for the S NR C and referred the ac tion to S an Bernard ino
Valley Municipal Water Dis tric t (Valley Dis tric t) in ac c o rd anc e with the framewo rk agreement. T his resulted in a
two -year contract fo r a not-to-exc eed amount of $950,000 that exp ired on Novemb er 15, 2018. T he antic ip ated
s ervic es were not utilized during the two-year c o ntrac t period d ue to p ro jec t delays assoc iated with litigatio n
b ro ught b y outs id e p arties. C o ns equently, $485,000 o f the c o ntract amo unt of $950,000 were no t utilized.
P ro gram Management S ervic es are s till need ed in sup p o rt o f the S NR C p ro jec t, and staff is recommending that
a new c o ntrac t b e exec uted , no w that the c o nditions of the framewo rk agreement no longer apply, with AKD
C o nsulting for $485,000.
AG E N C Y G O ALS AN D OB J E C T IVE S :
G oal and O b jectives I - Implement Effec tive S o lutio ns T hrough Visionary Leadership
a) Identify O pportunities to O p timize Natural R esourc es
G o al and O bjec tives I V - P romo te P lanning, Maintenanc e and P res ervatio n o f Dis tric t R esources
a) Develop P ro jec ts and P ro grams to Ens ure S afe and R eliable S ervices
c) D edicate E fforts Toward S ystem M aintenance and Modernization
R ecommended b y:
Jo hn Mura
G eneral Manager/C EO
R espec tfully sub mitted:
Jeff No elte
Direc tor o f Engineering & O p eratio ns
R E VIE W B Y O T HE R S :
T his agenda item has been reviewed by the executive management team.
F IS C AL IMPAC T
T he not-to-exceed contrac t amo unt o f $485,000 is a covered exp ens e und er the Dis tric t’s S R F lo ad . S ervic es
will be p rovid ed on a time and materials b as is with the Dis tric t b illed fo r ac tual time s p ent.