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22-0607_ALL AMERICAN ASPHALT, INC._Specifications61147.02100\34514883.2 <Month> <Year> -i- TABLE OF CONTENTS TABLE OF CONTENTS Page 00 11 16 – NOTICE INVITING BIDS ........................................................................................... 5 00 21 13 – INSTRUCTIONS TO BIDDERS ................................................................................. 8 ARTICLE 1. SECURING DOCUMENTS ............................................................................. 8 ARTICLE 2. EXAMINATION OF SITE AND CONTRACT DOCUMENTS ............................ 8 ARTICLE 3. INTERPRETATION OF DRAWINGS AND DOCUMENTS .............................. 8 ARTICLE 4. PRE-BID CONFERENCE ............................................................................... 9 ARTICLE 5. ADDENDA ...................................................................................................... 9 ARTICLE 6. ALTERNATE BIDS ......................................................................................... 9 ARTICLE 7. COMPLETION OF BID FORMS ..................................................................... 9 ARTICLE 8. MODIFICATIONS OF BIDS .......................................................................... 10 ARTICLE 9. SUBCONTRACTORS ................................................................................... 10 ARTICLE 10. LICENSING REQUIREMENTS ................................................................... 10 ARTICLE 11. BID GUARANTEE (BOND) ......................................................................... 10 ARTICLE 12. IRAN CONTRACTING ACT OF 2010 ......................................................... 11 ARTICLE 13. NONCOLLUSION DECLARATION ............................................................. 11 ARTICLE 14. PUBLIC WORKS CONTRACTOR DIR REGISTRATION CERTIFICATION ..................................................................................................... 11 ARTICLE 15. BIDDER INFORMATION AND EXPERIENCE FORM ................................. 11 ARTICLE 16. WORKERS' COMPENSATION CERTIFICATION ....................................... 12 ARTICLE 17. SIGNING OF BIDS ..................................................................................... 12 ARTICLE 18. SUBMISSION OF BIDS .............................................................................. 12 ARTICLE 19. OPENING OF BIDS .................................................................................... 13 ARTICLE 20. WITHDRAWAL OF BID ............................................................................... 13 ARTICLE 21. BIDDERS INTERESTED IN MORE THAN ONE BID .................................. 13 ARTICLE 22. SUBSTITUTION OF SECURITY ................................................................. 13 ARTICLE 23. PREVAILING WAGES ................................................................................ 14 ARTICLE 24. DEBARMENT OF CONTRACTORS AND SUBCONTRACTORS ............... 14 ARTICLE 25. INSURANCE REQUIREMENTS ................................................................. 14 ARTICLE 26. PERFORMANCE BOND AND PAYMENT BOND REQUIREMENTS .................................................................................................... 14 ARTICLE 27. SALES AND OTHER APPLICABLE TAXES, PERMITS, LICENSES AND FEES ............................................................................................ 14 ARTICLE 28. PERMIT AND INSPECTION FEE ALLOWANCE ........................................ 15 ARTICLE 29. FILING OF BID PROTESTS ....................................................................... 15 ARTICLE 30. BASIS OF AWARD; BALANCED BID ......................................................... 15 61147.02100\34514883.2 TABLE OF CONTENTS (Continued) Page -ii- 00 11 16 – NOTICE INVITING BIDS ARTICLE 31. CONTRACTING WITH SMALL AND MINORITY FIRMS, WOMEN’S BUSINESS ENTERPRISE AND LABOR SURPLUS AREA FIRMS (2 C.F.R. § 200.321) .................................................................................... 15 ARTICLE 32. AWARD PROCESS .................................................................................... 16 ARTICLE 33. EXECUTION OF CONTRACT .................................................................... 16 ARTICLE 34. QUESTIONS ............................................................................................... 17 00 41 43 – BID FORMS ............................................................................................................ 18 ARTICLE 1. INFORMATION ABOUT BIDDER ................................................................. 29 ARTICLE 2. LIST OF CURRENT PROJECTS (BACKLOG) .............................................. 32 ARTICLE 3. LIST OF COMPLETED PROJECTS – LAST THREE YEARS ....................... 33 ARTICLE 4. EXPERIENCE AND TECHNICAL QUALIFICATIONS QUESTIONNAIRE ................................................................................................... 34 ARTICLE 5. VERIFICATION AND EXECUTION ............................................................... 35 00 52 13 – CONTRACT ............................................................................................................ 40 00 61 13 – BOND FORMS ........................................................................................................ 44 00 72 13 – GENERAL CONDITIONS ........................................................................................ 54 ARTICLE 1. DEFINED TERMS ........................................................................................ 54 ARTICLE 2. CONTRACT DOCUMENTS .......................................................................... 58 ARTICLE 3. PRECONSTRUCTION AND CONSTRUCTION COMMUNICATION .................................................................................................. 59 ARTICLE 4. CONTRACT DOCUMENTS: COPIES & MAINTENANCE ............................ 59 ARTICLE 5. EXAMINATION OF DRAWINGS, SPECIFICATIONS AND SITE OF WORK ............................................................................................................... 59 ARTICLE 6. MOBILIZATION ............................................................................................ 60 ARTICLE 7. EXISTENCE OF UTILITIES AT THE WORK SITE ........................................ 61 ARTICLE 8. SOILS INVESTIGATIONS ............................................................................ 61 ARTICLE 9. CONTRACTOR’S SUPERVISION ................................................................ 62 ARTICLE 10. WORKERS ................................................................................................. 62 ARTICLE 11. INDEPENDENT CONTRACTORS .............................................................. 62 ARTICLE 12. SUBCONTRACTS ...................................................................................... 62 ARTICLE 13. VERIFICATION OF EMPLOYMENT ELIGIBILITY ...................................... 63 ARTICLE 14. REQUESTS FOR SUBSTITUTION ............................................................. 63 ARTICLE 15. SHOP DRAWINGS ..................................................................................... 64 ARTICLE 16. SUBMITTALS ............................................................................................. 65 ARTICLE 17. MATERIALS ............................................................................................... 65 61147.02100\34514883.2 TABLE OF CONTENTS (Continued) Page -iii- 00 11 16 – NOTICE INVITING BIDS ARTICLE 18. PERMITS AND LICENSES ......................................................................... 66 ARTICLE 19. TRENCHES ................................................................................................ 66 ARTICLE 20. TRAFFIC CONTROL .................................................................................. 67 ARTICLE 21. DIVERSION OF RECYCLABLE WASTE MATERIALS ............................... 68 ARTICLE 22. REMOVAL OF HAZARDOUS MATERIALS ................................................ 68 ARTICLE 23. SANITARY FACILITIES .............................................................................. 68 ARTICLE 24. AIR POLLUTION CONTROL ...................................................................... 69 ARTICLE 25. LAYOUT AND FIELD ENGINEERING ........................................................ 69 ARTICLE 26. TESTS AND INSPECTIONS ....................................................................... 69 ARTICLE 27. PROTECTION OF WORK AND PROPERTY .............................................. 70 ARTICLE 28. CONTRACTOR’S MEANS AND METHODS ............................................... 70 ARTICLE 29. AUTHORIZED REPRESENTATIVES ......................................................... 70 ARTICLE 30. HOURS OF WORK ..................................................................................... 70 ARTICLE 31. PAYROLL RECORDS; LABOR COMPLIANCE .......................................... 71 ARTICLE 32. PREVAILING RATES OF WAGES ............................................................. 72 ARTICLE 33. PUBLIC WORKS CONTRACTOR REGISTRATION ................................... 73 ARTICLE 34. EMPLOYMENT OF APPRENTICES ........................................................... 73 ARTICLE 35. NONDISCRIMINATION/EQUAL EMPLOYMENT OPPORTUNITY ............. 74 ARTICLE 36. DEBARMENT OF CONTRACTORS AND SUBCONTRACTORS ............... 75 ARTICLE 37. LABOR/EMPLOYMENT SAFETY ............................................................... 75 ARTICLE 38. INSURANCE ............................................................................................... 75 ARTICLE 39. FORM AND PROOF OF CARRIAGE OF INSURANCE .............................. 78 ARTICLE 40. TIME FOR COMPLETION AND LIQUIDATED DAMAGES ......................... 79 ARTICLE 41. COST BREAKDOWN AND PERIODIC ESTIMATES .................................. 80 ARTICLE 42. PROGRESS ESTIMATES AND PAYMENT ................................................ 80 ARTICLE 43. SECURITIES FOR MONEY WITHHELD..................................................... 82 ARTICLE 44. CHANGES AND EXTRA WORK. ................................................................ 82 ARTICLE 45. FINAL ACCEPTANCE AND PAYMENT ...................................................... 96 ARTICLE 46. OCCUPANCY ............................................................................................. 97 ARTICLE 47. INDEMNIFICATION .................................................................................... 97 ARTICLE 48. PROCEDURE FOR RESOLVING DISPUTES ............................................ 98 ARTICLE 49. CITY’S RIGHT TO TERMINATE CONTRACT .......................................... 102 ARTICLE 50. WARRANTY AND GUARANTEE OF WORK ............................................ 105 ARTICLE 51. DOCUMENT RETENTION & EXAMINATION ........................................... 107 61147.02100\34514883.2 TABLE OF CONTENTS (Continued) Page -iv- 00 11 16 – NOTICE INVITING BIDS ARTICLE 52. SEPARATE CONTRACTS ........................................................................ 107 ARTICLE 53. NOTICE AND SERVICE THEREOF ......................................................... 108 ARTICLE 54. NOTICE OF THIRD PARTY CLAIMS ........................................................ 108 ARTICLE 55. STATE LICENSE BOARD NOTICE .......................................................... 108 ARTICLE 56. INTEGRATION ......................................................................................... 109 ARTICLE 57. ASSIGNMENT OF CONTRACT ................................................................ 109 ARTICLE 58. CHANGE IN NAME AND NATURE OF CONTRACTOR’S LEGAL ENTITY 109 ARTICLE 59. ASSIGNMENT OF ANTITRUST ACTIONS ............................................... 109 ARTICLE 60. PROHIBITED INTERESTS ....................................................................... 109 ARTICLE 61. CONTROLLING LAW ............................................................................... 110 ARTICLE 62. JURISDICTION; VENUE ........................................................................... 110 ARTICLE 63. LAWS AND REGULATIONS ..................................................................... 110 ARTICLE 64. PATENTS ................................................................................................. 110 ARTICLE 65. OWNERSHIP OF CONTRACT DOCUMENTS ......................................... 110 ARTICLE 66. NOTICE OF TAXABLE POSSESSORY INTEREST ................................. 110 ARTICLE 67. SURVIVAL OF OBLIGATIONS ................................................................. 110 00 73 13 – SPECIAL CONDITIONS ........................................................................................ 112 00 73 23 – FEDERAL REQUIREMENTS ................................................................................ 116 01 00 00 – GENERAL REQUIREMENTS ................................................................................ 127 EXHIBIT “A” CHANGE ORDER FORM ....................................................................................... 1 EXHIBIT “B” DAVIS-BACON WAGE DECISIONS ....................................................................... 1 SPECIAL PROVISIONS PART II - CONSTRUCTION MATERIALS ............................................... SP-1 THROUGH SP-11 PART III - CONSTRUCTION METHODS .............................................. SP-12 THROUGH SP-23 61147.02100\34514883.2 -5-00 11 16 – NOTICE INVITING BIDS 00 11 16 – NOTICE INVITING BIDS NOTICE IS HEREBY GIVEN that the City of San Juan Capistrano (“City”) invites and will receive sealed Bids up to but not later than 2:00 P.M. on May 26, 2022 through the City’s online bid management system (“PlanetBids”), for the furnishing to City of all labor, equipment, materials, tools, services, transportation, permits, utilities, and all other items necessary for SPRING STREET AND EL CAMINO REAL ADA IMPROVEMENT PROJECT, CIP 22103 (the “Project”). After said time, Bids will be publicly posted on PlanetBids. Bids received after said time shall be returned unopened. Bids shall be valid for a period of 90 calendar days after the Bid opening date. The project provides for ADA improvements within the vicinity of Spring Street and El Camino Real, adjacent to the San Juan Elementary School, widening of an existing sidewalk, new ADA ramps at the Spring Street and El Camino Real intersection, relocation of existing crosswalk, reconfiguration of curbside parking, modifications of existing curb ramps at the NW and SW corner of El Camino Real and Ortega Highway, and associated street improvements. Bids must be submitted on the City’s Bid Forms. Bidders may obtain a copy of the Contract Documents from PlanetBids once registered with the City. To the extent required by section 20103.7 of the Public Contract Code, upon request from a contractor plan room service, the City shall provide an electronic copy of the Contract Documents at no charge to the contractor plan room. Bids must be submitted on the City’s Bid Forms. Bidders may also obtain a copy of the Contract Documents from http://www.coastalblue.com, 33091 Calle Perfecto, Suite B., San Juan Capistrano, CA 92675 - (949) 240-9911 at a cost of approximately $100.00. A non-refundable charge of $100.00 will be required of any bidder who requests that the Contract Documents be mailed within California (costs for out-of-state mailings will be higher). To the extent required by section 20103.7 of the Public Contract Code, upon request from a contractor plan room service, the City shall provide an electronic copy of the Contract Documents at no charge to the contractor plan room. It is the responsibility of each prospective bidder to download and print all Contract Documents for review and to verify the completeness of Contract Documents before submitting a bid. Any Addenda will be posted on PlanetBids. It is the responsibility of each prospective bidder to check PlanetBids on a daily basis through the close of bids for any applicable addenda or updates. The City does not assume any liability or responsibility based on any defective or incomplete copying, excerpting, scanning, faxing, downloading or printing of the Bid Documents. Information on PlanetBids may change without notice to prospective bidders. The Contract Documents shall supersede any information posted or transmitted by PlanetBids Each Bid shall be accompanied by cash, a certified or cashier’s check, or Bid Bond secured from a surety company satisfactory to the City, the amount of which shall not be less than ten percent (10%) of the submitted Total Bid Price, made payable to City of San Juan Capistrano as bid security. The bid security must be submitted in hard copy directly to the City prior to the specified date and time for bid opening as set forth in the Instructions to Bidders. The bid security shall be provided as a guarantee that within ten (10) working days after the City provides the successful bidder the Notice of Award, the successful Bidder will enter into a contract and provide the necessary bonds and certificates of insurance. The bid security will be declared forfeited if the 61147.02100\34514883.2 -6- 00 11 16 – NOTICE INVITING BIDS successful Bidder fails to comply within said time. No interest will be paid on funds deposited with City. The bid security must be submitted in original hard copy in sealed envelope directly to the City Clerk’s office prior to the specified time and date for the Bid opening. The sealed envelope shall be labeled “Bid Guarantee”, bear the title of the Project, and include the name of the Bidder. A “MANDATORY” Pre-Bid Conference at the project site is scheduled for May 16, 2022, at 10:00 A.M. to review the Project's existing conditions. Representatives of the City and consulting engineers, if any, will be present. Questions asked by Bidders at the Pre-Bid Conference not specifically addressed within the Contract Documents shall be answered in writing, and shall be sent to all Bidders present at the Pre-Bid Conference. Bids will not be accepted from any bidder who did not attend the mandatory Pre-Bid Conference. The successful Bidder will be required to furnish a Faithful Performance Bond and a Labor and Material Payment Bond each in an amount equal to one hundred percent (100%) of the Contract Price. Each bond shall be in the forms set forth herein, shall be secured from a surety company that meets all State of California bonding requirements, as defined in California Code of Civil Procedure Section 995.120, and that is a California admitted surety insurer. Pursuant to Section 22300 of the Public Contract Code of the State of California, the successful Bidder may substitute certain securities for funds withheld by City to ensure its performance under the contract. The Project will be funded in whole or in part by the following funding source in addition to City funds: Community Development Block Grant (“CDBG”). The successful Bidder will be required to comply with all requirements associated with CDGB funding in carrying out the Project, as further set forth in the Contract Documents. Pursuant to Labor Code Section 1773, City has obtained the prevailing rate of per diem wages and the prevailing wage rate for holiday and overtime work applicable in Orange County from the Director of the Department of Industrial Relations for each craft, classification, or type of worker needed to execute this contract. A copy of these prevailing wage rates may be obtained via the internet at: www.dir.ca.gov/dlsr/ In addition, a copy of the prevailing rate of per diem wages is available at the City’s Office of City Clerk and shall be made available to interested parties upon request. The successful bidder shall post a copy of the prevailing wage rates at each job site. It shall be mandatory upon the Bidder to whom the Contract is awarded, and upon any subcontractors, to comply with all Labor Code provisions, which include but are not limited to the payment of not less than the said specified prevailing wage rates to all workers employed by them in the execution of the Contract, employment of apprentices, hours of labor and debarment of contractors and subcontractors. Pursuant to Labor Code sections 1725.5 and 1771.1, all contractors and subcontractors that wish to bid on, be listed in a bid proposal, or enter into a contract to perform public work must be registered with the Department of Industrial Relations. No Bid will be accepted nor any contract entered into without proof of the contractor’s and subcontractors’ current registration with the Department of Industrial Relations to perform public work. If awarded a contract, the Bidder and its subcontractors, of any tier, shall maintain active registration with the Department of Industrial Relations for the duration of the Project. Notwithstanding the foregoing, the contractor registration 61147.02100\34514883.2 -7- 00 11 16 – NOTICE INVITING BIDS requirements mandated by Labor Code Sections 1725.5 and 1771.1 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Sections 1725.5 and 1771.1. This Project is subject to compliance monitoring and enforcement by the Department of Industrial Relations. In bidding on this Project, it shall be the Bidder’s sole responsibility to evaluate and include the cost of complying with all labor compliance requirements under this contract and applicable law in its Bid. Unless otherwise provided in the Instructions for Bidders, each Bidder shall be a licensed contractor pursuant to sections 7000 et seq. of the Business and Professions Code in the following classification(s) throughout the time it submits its Bid and for the duration of the contract: Class A. Substitution requests shall be made within 35 calendar days after the award of the contract. Pursuant to Public Contract Code Section 3400(b), the City may make findings designating that certain additional materials, methods or services by specific brand or trade name other than those listed in the Contract Documents be used for the Project. Such findings, if any, as well as the materials, methods or services and their specific brand or trade names that must be used for the Project may be found in the Special Conditions. City shall award the contract for the Project to the lowest responsive, responsible Bidder as determined by the City from the: BASE BID ALONE City reserves the right to reject any or all bids or to waive any irregularities or informalities in any bids or in the bidding process. For further information, contact Name: Paul Meshkin, P.E. Title: Senior Civil Engineer Email: PMeshkin@sanjuancapistrano.org Phone: (949) 443-6350 END OF NOTICE INVITING BIDS 61147.02100\34514883.2 -8- 00 21 13 – INSTRUCTIONS TO BIDDERS 00 21 13 – INSTRUCTIONS TO BIDDERS ARTICLE 1. SECURING DOCUMENTS Bids must be submitted through PlanetBids to the City on the Bid Forms which are a part of the Contract Documents for the Project. Bid and Contract Documents may be obtained as specified in the Notice Inviting Bids. The City may also make the Contract Documents available for review at one or more plan rooms, as indicated in the Notice Inviting Bids. Please Note: Prospective Bidders who choose to review the Contract Documents at a plan room must also register with the City through PlanetBids to obtain the required Contract Documents if they decide to submit a bid for the Project. “Any Addenda will be posted on PlanetBids. Failure to acknowledge addenda may make a bid nonresponsive and not eligible for award of the contract. ARTICLE 2. EXAMINATION OF SITE AND CONTRACT DOCUMENTS At its own expense and prior to submitting its Bid, each Bidder shall visit the site of the proposed work and fully acquaint itself with the conditions relating to the construction and labor required so that the Bidder may fully understand the work, including but not limited to difficulties and restrictions attending the execution of the work under the contract. Each Bidder shall carefully examine the Drawings, and shall read the Specifications, Contract, and all other documents referenced herein and made part of the Contract Documents. Each Bidder shall also determine the local conditions which may in any way affect the performance of the work, including local tax structure, contractors’ licensing requirements, availability of required insurance, the prevailing wages and other relevant cost factors, shall familiarize itself with all federal, state and local laws, ordinances, rules, regulations and codes affecting the performance of the work, including the cost of permits and licenses required for the work, and shall make such surveys and investigations, including investigations of subsurface or latent physical conditions at the site or where work is to be performed as may be required. Bidders are responsible for consulting the standards referenced in the Contract Documents. The failure or omission of any Bidder to receive or examine any Contract Documents, forms, instruments, addenda, or other documents, or to visit the site and acquaint itself with conditions there existing shall in no way relieve any Bidder from any obligation with respect to its Bid or to the contract and no relief for error or omission will be given except as required under State law. The submission of a Bid shall be taken as conclusive evidence of compliance with this Article. ARTICLE 3. INTERPRETATION OF DRAWINGS AND DOCUMENTS Prospective Bidders unclear as to the true meaning of any part of the Drawings, Specifications or other Contract Documents may submit a written request for interpretation through PlanetBids. The prospective Bidder submitting the request is responsible for prompt delivery. Interpretation of the Drawings, Specifications or other Contract Documents will be made only by a written addendum posted on PlanetBids. The City will not be responsible for any other explanation or interpretations of the Contract Documents. If a prospective Bidders becomes aware of any errors or omissions in any part of the Contract Documents, it is the obligation of the prospective Bidder to promptly bring it to the attention of the City. 61147.02100\34514883.2 -9- 00 21 13 – INSTRUCTIONS TO BIDDERS ARTICLE 4. PRE-BID CONFERENCE A MANDATORY Pre-Bid Conference at the Project site is scheduled for May 16, 2022, at 10:00 A.M. to review the Project's existing conditions. Representatives of the City and consulting engineers, if any, will be present. Oral statements regarding this Bid at the Pre-Bid Conferences should be considered unverified information unless confirmed in writing. Bids will not be accepted from any bidder who did not attend the mandatory Pre-Bid Conference. ARTICLE 5. ADDENDA The City reserves the right to revise the Contract Documents prior to the Bid opening date. Revisions, if any, shall be made by written Addenda. All Addenda issued by the City shall be included in the Bid and made part of the Contract Documents. Pursuant to Public Contract Code Section 4104.5, if the City issues an Addendum which includes material changes to the Project less than 72 hours prior to the deadline for submission of Bids, the City will extend the deadline for submission of Bids. The City may determine, in its sole discretion, whether an Addendum warrants postponement of the Bid submission date. Each prospective Bidder shall register with the City through PlanetBids. Addenda will be uploaded to PlanetBids. Please Note: Bidders are responsible for ensuring that they have received any and all Addenda. To this end, each Bidder should visit PlanetBids to verify that it has received all Addenda issued, if any, prior to the Bid opening. The Bidder shall indicate the Addenda received prior to bidding in the space provided in the Bid Form. Failure to indicate all Addenda may be sufficient cause for rejecting the Bid. ARTICLE 6. ALTERNATE BIDS If alternate bid items are called for in the Contract Documents, the time required for completion of the alternate bid items has already been factored into the Contract duration and no additional Contract time will be awarded for any of the alternate bid items. The City may elect to include one or more of the alternate bid items, or to otherwise remove certain work from the Project scope of work. Accordingly, each bidder must ensure that each bid item contains a proportionate share of profit, overhead, and other costs or expenses which will be incurred by the bidder. ARTICLE 7. COMPLETION OF BID FORMS Bids shall only be prepared using copies of the Bid Forms which are included in the Contract Documents. The use of substitute Bid Forms other than clear and correct photocopies of those provided by the City will not be permitted. Bids shall be executed by an authorized signatory as described in these Instructions to Bidders. In addition, Bidders shall fill in all blank spaces (including inserting “N/A” where applicable), and initial all interlineations, alterations, or erasures to the Bid Forms. Bidders shall neither delete, modify, nor supplement the printed matter on the Bid Forms nor make substitutions thereon. USE OF BLACK OR BLUE INK, INDELIBLE PENCIL, OR A TYPEWRITER IS REQUIRED. Deviations in the Bid Forms may result in the Bid being deemed non-responsive. The Bid Schedule is available on PlanetBids through the “Line Items” tab. Bidders must insert and submit their Bid prices directly through PlanetBids by selecting “Place eBid” under the “Line Items” tab. The Bid Schedule will be incorporated into the Contract Documents. Failure to submit the Bid Schedule will render a bid nonresponsive. Bidders must provide pricing for every bid item. The costs of any Work shown or required in the Contract Documents, but not specifically identified as a Pay Item are to be included in related Pay Items and no additional compensation shall be due Contractor by virtue of Contractor’s compliance with the Contract Documents. The estimated 61147.02100\34514883.2 -10- 00 21 13 – INSTRUCTIONS TO BIDDERS quantities for unit price items are for purposes of comparing bids only and City makes no representation that the actual quantities of Work performed will not vary from the estimates. ARTICLE 8. MODIFICATIONS OF BIDS Each Bidder shall submit its Bid in strict conformity with the requirements of the Contract Documents. Unauthorized additions, modifications, revisions, conditions, limitations, exclusions or provisions attached to a Bid may render it non-responsive and may cause its rejection. Bidders shall not delete, modify, or supplement the printed matter on the Bid Forms, or make substitutions thereon. Oral, telephonic and electronic modifications will not be considered. ARTICLE 9. SUBCONTRACTORS Bidder shall set forth the name, address of the place of business, contractor license number, and public works contractor DIR registration number of each subcontractor who will perform work, labor, furnish materials or render services to the bidder on said contract and each subcontractor licensed by the State of California who, under subcontract to bidder, specially fabricates and installs a portion of the Work described in the Drawings and Specifications in an amount in excess of one half of one percent (0.5%) of the total bid price, and shall indicate the portion of the work to be done by such subcontractor in accordance with Public Contract Code Section 4104.. Notwithstanding the foregoing, if the work involves the construction of streets and highways, then the Bidder shall list each subcontractor who will perform work or labor or render service to the Bidder in or about the work in an amount in excess of one-half of one percent (0.5%) of the Bidder’s Total Bid Price or $10,000, whichever is greater. If a Bidder fails to specify a subcontractor or if a Bidder specifies more than one subcontractor for the same portion of work, then the Bidder shall be deemed to have agreed that it is fully qualified to perform that portion of work and that it shall perform that portion itself. Substitution of listed subcontractors shall only be permitted in accordance with Public Contract Code Section 4107. ARTICLE 10. LICENSING REQUIREMENTS Pursuant to Business and Professions Code Section 7028.15 and Public Contract Code Section 3300, all bidders must possess proper licenses for performance of this Contract. Subcontractors must possess the appropriate licenses for each specialty subcontracted. Pursuant to Business and Professions Code Section 7028.5, the City shall consider any bid submitted by a contractor not currently licensed in accordance with state law and pursuant to the requirements found in the Contract Documents to be nonresponsive, and the City shall reject the Bid. The City shall have the right to request, and Bidders shall provide within ten (10) calendar days, evidence satisfactory to the City of all valid license(s) currently held by that Bidder and each of the Bidder’s subcontractors, before awarding the Contract. Notwithstanding anything contained herein, because the Work involves federal funds, the Contractor shall be properly licensed by the time the Contract is awarded, pursuant to the provisions of Public Contract Code section 20103.5. ARTICLE 11. BID GUARANTEE (BOND) Each bid shall be accompanied by: (a) cash; (b) a certified or cashier’s check made payable to City of San Juan Capistrano; or (c) a Bid Bond secured from a surety company satisfactory to the City, the amount of which shall not be less than ten percent (10%) of the Total Bid Price, made payable to City of San Juan Capistrano as bid security. Personal sureties and unregistered surety 61147.02100\34514883.2 -11- 00 21 13 – INSTRUCTIONS TO BIDDERS companies are unacceptable. The surety insurer shall be California admitted surety insurer, as defined in Code of Civil Procedure Section 995.120. The bid security shall be provided as a guarantee that within ten (10) working days after the City provides the successful bidder the Notice of Award, the successful bidder will enter into a contract and provide the necessary bonds and certificates of insurance. The bid security will be declared forfeited if the successful bidder fails to comply within said time, and City may enter into a contract with the next lowest responsive responsible bidder, or may call for new bids. No interest shall be paid on funds deposited with the City. City will return the security accompanying the bids of all unsuccessful bidders no later than 60 calendar days after award of the contract. The bid security must be submitted in original hard copy in sealed envelope directly to the City Clerk’s office prior to the specified time and date for the Bid opening. The sealed envelope shall be labeled “Bid Guarantee”, bear the title of the Project, and include the name of the Bidder. ARTICLE 12. IRAN CONTRACTING ACT OF 2010 In accordance with Public Contract Code Section 2200 et seq., the City requires that any person that submits a bid with the City of one million dollars ($1,000,000) or more, certify at the time the bid is submitted or the contract is renewed, that the person is not identified on a list created pursuant to subdivision (b) of Public Contract Code Section 2203 as a person engaging in investment activities in Iran described in subdivision (a) of Public Contract Code Section 2202.5, or as a person described in subdivision (b) of Public Contract Code Section 2202.5, as applicable. The form of such Iran Contracting Certificate is included with the Bid Forms and must be signed and dated under penalty of perjury. ARTICLE 13. NONCOLLUSION DECLARATION Bidders on all public works contracts are required to submit a declaration of noncollusion with their bid. This form is included with the Bid Forms and must be signed and dated under penalty of perjury. ARTICLE 14. PUBLIC WORKS CONTRACTOR DIR REGISTRATION CERTIFICATION Pursuant to Labor Code sections 1725.5 and 1771.1, all contractors and subcontractors that wish to bid on, be listed in a bid proposal, or enter into a contract to perform public work must be registered with the Department of Industrial Relations. No bid will be accepted nor any contract entered into without proof of the contractor’s and subcontractors’ current registration with the Department of Industrial Relations to perform public work. If awarded a contract, the bidder and its subcontractors, of any tier, shall maintain active registration with the Department of Industrial Relations for the duration of the Project. To this end, Bidder shall sign and submit with its Bid the Public Works Contractor DIR Registration Certification on the form provided, attesting to the facts contained therein. Failure to submit this form may render the bid non-responsive. In addition, each Bidder shall provide the registration number for each listed subcontractor in the space provided in the Designation of Subcontractors form. ARTICLE 15. BIDDER INFORMATION AND EXPERIENCE FORM Each Bidder shall complete the questionnaire provided herein and shall submit the questionnaire along with its Bid. Failure to provide all information requested within the questionnaire along with the Bid may cause the bid to be rejected as non-responsive. The City reserves the right to reject 61147.02100\34514883.2 -12- 00 21 13 – INSTRUCTIONS TO BIDDERS any Bid if an investigation of the information submitted does not satisfy the Engineer that the Bidder is qualified to properly carry out the terms of the contract. ARTICLE 16. WORKERS' COMPENSATION CERTIFICATION In accordance with the provisions of Labor Code Section 3700, Contractor shall secure the payment of compensation to its employees. Contractor shall sign and file with the City certificate Workers’ Compensation Certificate prior to performing the work under this Contract: I am aware of the provisions of Section 3700 of the Labor Code, which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract. The form of such Workers' Compensation Certificate is included as part of the Bid Forms. ARTICLE 17. SIGNING OF BIDS All Bids submitted shall be executed by the Bidder or its authorized representative. Bidders may be asked to provide evidence in the form of an authenticated resolution of its Board of Directors or a Power of Attorney evidencing the capacity of the person signing the Bid to bind the Bidder to each Bid and to any Contract arising therefrom. If a Bidder is a joint venture or partnership, it may be asked to submit an authenticated Power of Attorney executed by each joint venturer or partner appointing and designating one of the joint venturers or partners as a management sponsor to execute the Bid on behalf of Bidder. Only that joint venturer or partner shall execute the Bid. The Power of Attorney shall also: (1) authorize that particular joint venturer or partner to act for and bind Bidder in all matters relating to the Bid; and (2) provide that each venturer or partner shall be jointly and severally liable for any and all of the duties and obligations of Bidder assumed under the Bid and under any Contract arising therefrom. The Bid shall be executed by the designated joint venturer or partner on behalf of the joint venture or partnership in its legal name. ARTICLE 18. SUBMISSION OF BIDS Bids shall be submitted electronically through the PlanetBids. Unless otherwise specified herein, the Bid Forms shall be uploaded (.pdf file) as a single attachment and submitted through PlanetBids. No other method of submitting Bids will be accepted. Bidders may not submit Bids by fax, email, telephone, mail, or other means; any Bids received through any means other than PlanetBids will be returned unopened. It is the responsibility solely of Bidder to see that its Bid is properly submitted to PlanetBids in proper form and prior to the stated closing time. THE ELECTRONIC BID MANAGEMENT SYSTEM WILL NOT ACCEPT LATE BIDS. City will only consider Bids that have transmitted successfully and have been issued a confirmation number with a time stamp from PlanetBids indicating that the Bid was submitted successfully. Bidders shall be solely responsible for informing themselves with respect to the proper utilization of the online bid management system, for ensuring the capability of their computer system to upload the required documents, and for the stability of their internet service. Failure of the Bidder to successfully submit an electronic Bid shall be at the Bidder’s sole risk, and no relief will be given for late and/or improperly submitted Bids. 61147.02100\34514883.2 -13- 00 21 13 – INSTRUCTIONS TO BIDDERS Proposers experiencing any technical difficulties with the proposal submission process may contact PlanetBids Support at (818) 992-1771. If you continue to have difficulty, please contact Paul Meshkin at (949) 443-6350. Neither the City nor PlanetBids make any guarantee as to the timely availability of assistance or assurance that any given problem will be resolved by the proposal submission date and/or time. ARTICLE 19. OPENING OF BIDS At the time set for the opening of bids, or any time thereafter, each and every bid received prior to the time and day set for the receipt of bids will be publicly opened and posted on PlanetBids. It is the bidder’s sole responsibility to ensure that its Bid is received as specified. Bids may be submitted earlier than the date(s) and time(s) indicated. The public posting of each bid will include the following information: A. The name and business location of the bidder. B. The bid amount. The City may, in its sole discretion, elect to postpone the opening of the submitted Bids. The City reserves the right to reject any or all Bids and to waive any informality or irregularity in any Bid. ARTICLE 20. WITHDRAWAL OF BID Any bid may be withdrawn through PlanetBids, incurring no penalty, at any time prior to the scheduled closing time for receipt of bids. Withdrawn bids may be resubmitted until the time and day set for the receipt of bids, provided that resubmitted bids are in conformance with the instructions herein. Bids may be withdrawn after bid opening only by providing written notice to City within five (5) working days of the bid opening and in compliance with Public Contract Code Section 5100 et seq., or as otherwise may be allowed with the consent of the City. ARTICLE 21. BIDDERS INTERESTED IN MORE THAN ONE BID No Bidder shall be allowed to make, file or be interested in more than one bid for the same work unless alternate bids are specifically called for. A person, firm or corporation that has submitted a sub-proposal to a Bidder, or that has quoted prices of materials to a Bidder, is not thereby disqualified from submitting a sub-proposal or quoting prices to other bidders or from simultaneously submitting its own bid as a prime contractor. ARTICLE 22. SUBSTITUTION OF SECURITY The Contract Documents call for monthly progress payments based upon the percentage of the Work completed. The City will retain a percentage of each progress payment as provided by the Contract Documents. At the request and expense of the successful Bidder, the City will substitute securities for the amount so retained in accordance with Public Contract Code Section 22300. 61147.02100\34514883.2 -14- 00 21 13 – INSTRUCTIONS TO BIDDERS ARTICLE 23. PREVAILING WAGES The City has obtained from the Director of the Department of Industrial Relations the general prevailing rate of per diem wages in the locality in which this work is to be performed for each craft or type of worker needed to execute the Contract. These rates are available at the City Clerks of the City or may be obtained online at http://www.dir.ca.gov. Bidders are advised that a copy of these rates must be posted by the successful Bidder at the job site(s). Because the Work involves federal funds or otherwise requires compliance with the Davis-Bacon Fair Labor Standards Act, the Contractor and all its subcontractors shall pay the higher of the state or federal prevailing wage rates. ARTICLE 24. DEBARMENT OF CONTRACTORS AND SUBCONTRACTORS In accordance with the provisions of the Labor Code, contractors or subcontractors may not perform work on a public works project with a subcontractor who is ineligible to perform work on a public project pursuant to Labor Code Sections 1777.1 or 1777.7. Any contract on a public works project entered into between a contractor and a debarred subcontractor is void as a matter of law. A debarred subcontractor may not receive any public money for performing work as a subcontractor on a public works contract. Any public money that is paid to a debarred subcontractor by the Contractor for the Project shall be returned to the City. The Contractor shall be responsible for the payment of wages to workers of a debarred subcontractor who has been allowed to work on the Project. ARTICLE 25. INSURANCE REQUIREMENTS Prior to commencing work, the successful bidder shall purchase and maintain insurance as set forth in the General Conditions. ARTICLE 26. PERFORMANCE BOND AND PAYMENT BOND REQUIREMENTS The successful bidder will be required to furnish a Labor and Material Payment Bond and a Faithful Performance Bond each in an amount equal to one hundred percent (100%) of the contract price. Each bond shall be secured from a surety company that meets all State of California bonding requirements, as defined in California Code of Civil Procedure Section 995.120 and is admitted by the State of California. Each bond shall be accompanied, upon the request of City, with all documents required by California Code of Civil Procedure Section 995.660 to the extent required by law. All bonding and insurance requirements shall be completed and submitted to City within ten (10) working days from the date the City provides the successful bidder with the Notice of Award. ARTICLE 27. SALES AND OTHER APPLICABLE TAXES, PERMITS, LICENSES AND FEES Contractor and its subcontractors performing work under this Contract will be required to pay California sales tax and other applicable taxes, and to pay for permits, licenses and fees required by the agencies with authority in the jurisdiction in which the Work will be located, unless otherwise expressly provided by the Contract Documents. 61147.02100\34514883.2 -15- 00 21 13 – INSTRUCTIONS TO BIDDERS ARTICLE 28. PERMIT AND INSPECTION FEE ALLOWANCE Notwithstanding anything contained herein, the Bid Schedule may contain an allowance for the Contractor’s cost of acquiring traffic control permits and for construction inspection fees that may be charged to the Contractor by the Agency of Jurisdiction. The allowance is included within the Bid Schedule to eliminate the need by bidders to research or estimate the costs of traffic control permits and construction inspection fees prior to submitting a bid. The allowance is specifically intended to account for the costs of traffic control permits and construction inspection fees charged by the local Agency of Jurisdiction only. No other costs payable by Contractor to the Agency of Jurisdiction are included within the allowance. ARTICLE 29. FILING OF BID PROTESTS Bidders may file a “protest” of a Bid with the City’s Public Works Department . In order for a Bidder’s protest to be considered valid, the protest must: A. Be filed in writing within five (5) calendar days after the bid opening date or any City determination or recommendation regarding the Bidder’s bid; B. Clearly identify the specific irregularity or accusation; C. Clearly identify the specific City staff determination or recommendation being protested; D. Specify in detail the grounds for protest and the facts supporting the protest; and E. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, the City may reject the protest without further review. If the protest is timely and complies with the above requirements, the City’s Public Works Director, or other designated City staff member, shall review the protest, any response from the challenged Bidder(s), and all other relevant information. The Public Works Director will provide a written decision to the protestor. The procedure and time limits set forth in this Article are mandatory and are the sole and exclusive remedy in the event of a Bid protest. Failure to comply with these procedures shall constitute a failure to exhaust administrative remedies and a waiver of any right to further pursue the Bid protest, including filing a Government Code Claim or legal proceedings. ARTICLE 30. BASIS OF AWARD; BALANCED BID The City shall award the Contract to the lowest responsible Bidder submitting a responsive Bid. The lowest Bid will be determined on the basis of the Total Bid Price. The City may reject any Bid which, in its opinion when compared to other Bids received or to the City’s internal estimates, does not accurately reflect the cost to perform the Work. The City may reject as non-responsive any Bid which unevenly weights or allocates costs, including but not limited to overhead and profit to one or more particular bid items. 61147.02100\34514883.2 -16- 00 21 13 – INSTRUCTIONS TO BIDDERS ARTICLE 31. CONTRACTING WITH SMALL AND MINORITY FIRMS, WOMEN’S BUSINESS ENTERPRISE AND LABOR SURPLUS AREA FIRMS (2 C.F.R. § 200.321) (a) Contractor shall be subject to 2 C.F.R. § 200.321 and will take affirmative steps to assure that minority firms, women’s business enterprises, and labor surplus area firms are used when possible and will not be discriminated against on the grounds of race, color, religious creed, sex, or national origin in consideration for an award. (b) Affirmative steps shall include: (i) Placing qualified small and minority businesses and women's business enterprises on solicitation lists; (ii) Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources; (iii) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority business, and women's business enterprises; (iv) Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority business, and women's business enterprises; and (v) Using the services/assistance of the Small Business Administration (SBA), and the Minority Business Development Agency (MBDA) of the Department of Commerce. Contractor shall submit evidence of compliance with the foregoing affirmative steps when requested by the City. ARTICLE 32. AWARD PROCESS Once all Bids are opened and reviewed to determine the lowest responsive and responsible Bidder, the City may award the contract. The apparent successful Bidder should begin to prepare the following documents: (1) the Performance Bond; (2) the Payment Bond; and (3) the required insurance certificates and endorsements. Once the City notifies the Bidder of the award, the Bidder will have ten (10) working days from the date of this notification to execute the Contract and supply the City with all of the required documents and certifications. Regardless of whether the Bidder supplies the required documents and certifications in a timely manner, the Contract time will begin to run twenty (20) working days from the date of the notification. Once the City receives all of the properly drafted and executed documents and certifications from the Bidder, the City will issue a Notice to Proceed to that Bidder. ARTICLE 33. EXECUTION OF CONTRACT As required herein the Bidder to whom an award is made shall execute the Contract in the amount determined by the Contract Documents. The City may require appropriate evidence that the persons executing the Contract are duly empowered to do so. The Contract and bond forms to be executed by the successful Bidder are included within these Specifications and shall not be detached. 61147.02100\34514883.2 -17- 00 21 13 – INSTRUCTIONS TO BIDDERS ARTICLE 34. QUESTIONS Questions regarding the Contract Documents, requests for interpretations or clarifications, either administrative or technical, may be submitted through PlanetBids by 2:00 P.M on May 19, 2022. All written questions, if answered, will be answered in writing, conveyed to all interested Bidders, and posted through PlanetBids. Oral statements regarding this Bid by any persons should be considered unverified information unless confirmed in writing. No members of the City’s staff or governing body should be contacted about this procurement during the bidding process. Any and all inquiries and comments regarding this Bid must be communicated in writing, unless otherwise instructed by the City. The City may, in its sole discretion, disqualify any Bidder who engages in any prohibited communications. 61147.02100\34514883.2 -18- 00 41 43 – BID FORMS 00 41 43 – BID FORMS 1.1 Bid. Bids will be received up to but not later than 2:00 P.M. on May 26, 2022 through the City’s online bid management system (“PlanetBids”). NAME OF BIDDER: ______________________________________________ The undersigned hereby declare that we have carefully examined the location of the proposed Work, and have read and examined the Contract Documents, including all plans, specifications, and all addenda, if any for the following Project: Spring Street and El Camino Real ADA Improvements Project, CIP 22103 We hereby propose to furnish all labor, materials, equipment, tools, transportation, and services, and to discharge all duties and obligations necessary and required to perform and complete the Project, as described and in strict conformity with the Drawings, and these Specifications for TOTAL BID PRICE indicated herein. The undersigned acknowledges receipt, understanding, and full consideration of the following addenda to the Contract Documents: Addenda No. ________________________________________________ 1. Attached is the required Bid Guarantee in the amount of not less than 10% of the Total Bid Price. 2. Attached is the completed Designation of Subcontractors form. 3. Attached is the fully executed Noncollusion Declaration form. 4. Attached is the completed Iran Contracting Act Certification form. 5. Attached is the completed Public Works Contractor Registration Certification form. 6. Attached is the completed Contractor’s Certificate Regarding Workers’ Compensation form. 7. Attached is the completed Bidder Information and Experience form. 61147.02100\34514883.2 -19-00 41 43 – BID FORMS BID SCHEDULE (FOR INFORMATION ONLY) THE ELECTRONIC BID SCHEDULE MUST BE COMPLETED BY EACH BIDDER AND PROPERLY SUBMITTED ON PLANETBIDS. ITEM NO. ITEM DESCRIPTION UNIT OF MEASURE EST. QTY. UNIT PRICE ITEM COST GENERAL ITEMS 1. Mobilization & Demobilization (Not to Exceed 5% of Bid). LS 1 2. Site Maintenance/SWPPP/Erosion Control BMPs. LS 1 3. Traffic Control and Public Convenience. LS 1 4. Construction Survey and Re-Establishing Centerline Ties and Monuments. LS 1 SITE DEMOLITION 5. Sawcut, Remove. And Dispose of Existing AC Pavement. SF 5500 6. Sawcut, Remove, And Dispose of 1' Wide Maximum Strip of Existing AC Pavement. SF 70 7. Cold Mill Existing AC Pavement to A Depth Of 2". SF 4480 8. Sawcut, Remove, And Dispose of Existing Concrete Sidewalk. SF 350 9. Sawcut, Remove, And Dispose of Existing Concrete Curb Ramp. EA 4 10. Sawcut, Remove, And Dispose of Existing Concrete Curb & Gutter. LF 50 11. Sawcut, Remove, And Dispose of Existing Concrete Curb Only. LF 105 12. Remove Existing SW 24-2 School Crossing Sign and Post. EA 2 13. Remove And Dispose of Existing Parkway Culvert. LS 1 14. Grind Top of Existing Traffic Signal Pole Concrete Pad to Accommodate New Sidewalk Construction. LS 1 15. Remove And Dispose of Existing Concrete Driveway Approach. SF 210 16. Remove Existing Cast Iron Tree Well Tree Well to Be Turned In To Public Works Department. EA 1 17. Remove Existing Tree. EA 1 SITE IMPROVEMENTS 18. Construct 8" Thick Minimum Deep Lift AC Pavement With "Forta-Fi" Fiber Reinforcement or Approved Equal. TON 231 19. Construct 2" AC Pavement Overlay With "Forta-Fi" Fiber Reinforcement or Approved Equal. TON 54 20. Construct AC Pavement Join Per Detail on Sheet C-2. LS 253 21. Remove Existing Concrete Pavers and Reinstall Per Plan. SF 815 22. Construct 4" Thick Concrete Sidewalk Per City of San Juan Capistrano Standard Plan No. 330. SF 325 23. Construct Type A Concrete Curb Only Per City of San Juan Capistrano Standard Plan No. 300. Curb Height (CF) Per Plan. LF 17 24. Construct Type C Concrete Curb & Gutter Per City of San Juan Capistrano Standard Plan No. 301. Curb Height (CF) Per Plan. LF 215 25. Construct Case A, Type 3 Concrete Curb Ramp with Detail B Retaining Curb Per SPPWC Standard Plan 111- 5. EA 1 26. Construct Case B, Type 1 Concrete Curb Ramp with Detail B Retaining Curb Per SPPWC Standard Plan 111- 5. EA 1 61147.02100\34514883.2 -20-00 41 43 – BID FORMS ITEM NO. ITEM DESCRIPTION UNIT OF MEASURE EST. QTY. UNIT PRICE ITEM COST 27. Construct Case A Type 1 Concrete Curb Ramp Per SPPWC Standard Plan 111-5. EA 2 28. Construct Case D, Type 2 Concrete Curb Ramp With Detail D Retaining Curb Per SPPWC Standard Plan 111- 5. EA 1 29. Construct 1' Wide Max. Strip of Full Depth AC Pavement with "Forta-Fi" Fiber Reinforcement or Approved Equal. LF 67 30. Adjust Existing Utility Cover to Proposed Grade. EA 2 31. Construct Modified Type A Concrete Driveway Approach Per SPPWC Plan 110-2 (X=3.0', Y=3.80'). SF 211 32. Adjust Existing Utility Manhole Or Valve To Proposed Grade. Prevent Debris Entry Into Manhole Or Valve Can Per SMWD Std. Dwg. S1, Sheet 5. EA 4 33. Prevent Debris Entry Into Valve Can Per SMWD Std. Dwg. S1, Sheet 5. EA 3 SIGNING, STRIPING AND SIGNAL DETECTOR LOOP REPLACEMENTS 34. Pavement Striping, Marking and Markers, Red Curbing (Removals and Reinstallation) LS 1 35. Remove and Relocate Existing R1-1 and R1-3P Stop Signs EA 2 36. Remove and Relocate Existing Street Name Signs EA 1 37. Sawcut and Install Type "E" Detector Per Caltrans Std. Plan ES-5A and ES-5B. Splice Detector Conductors to Detector Lead-In Cable Per Caltrans Std. Plan ES-50 (Single Location) LS 1 ALTERNATE BID ITEMS A. Purchase of Additional Interlocking Paver Materials From Olsen Pavingston, Inc., If Required Per Special Provisions Section 202-2.2. LS 1 IMPORTANT: THE ELECTRONIC BID SCHEDULE MUST BE COMPLETED BY EACH BIDDER AND PROPERLY SUBMITTED ON PLANETBIDS. FAILURE TO COMPLETE THE BID SCHEDULE WILL RESULT IN AN INCOMPLETE AND NON-RESPONSIVE BID. THE ELECTRONIC BID SCHEDULE WILL BE INCORPORATED INTO THE CONTRACT DOCUMENTS. The costs for any Work shown or required in the Contract Documents, but not specifically identified as a line item are to be included in the related line items and no additional compensation shall be due to Contractor for the performance of the Work. All blank spaces appearing in the Electronic Bid Schedule must be filled in. Failure to fill in any blank spaces may render the bid non-responsive. The estimated quantities for Unit Price items are for purposes of comparing Bids only and the City makes no representation that the actual quantities of work performed will not vary from the estimates. Final payment shall be determined by the Engineer from measured quantities of work performed based upon the Unit Price. 61147.02100\34514883.2 -21- 00 41 43 – BID FORMS If the Contract Documents specify Alternate Bid items, the City can choose to include any, all, or none of the Alternate Bid items in the Work. If the City selects any of the Alternate Bid items, the corresponding Alternate Bid prices shall be added to or deducted from Base Bid Price for the Work. The City can award/select Alternate Bid items at any time(s). The successful bidder hereby agrees to sign the contract and furnish the necessary bonds and certificates of insurance within ten (10) working days after the City provides the successful bidder with the Notice of Award. Upon receipt of the signed contract and other required documents, the contract will be executed by the City, after which the City will prepare a letter giving Contractor Notice to Proceed. The official starting date shall be the date of the Notice to Proceed, unless otherwise specified. The undersigned agrees to begin the Work within ten (10) working days of the date of the Notice to Proceed, unless otherwise specified. The undersigned has examined the location of the proposed work and is familiar with the Drawings and Specifications and the local conditions at the place where work is to be done. If awarded the contract, the undersigned agrees that there shall be paid by the undersigned and by all subcontractors to all laborers, workers and mechanics employed in the execution of such contract no less than the prevailing wage rate within Orange County for each craft, classification, or type of worker needed to complete the Work contemplated by this contract as established by the Director of the Department of Industrial Relations. A copy of the prevailing rate of per diem wages are on file at the City’s Administration Office and shall be made available to interested parties upon request. Enclosed find cash, bidder’s bond, or cashier’s or certified check No. _________ from the _______________ Bank in the amount of ________________________________, which is not less than ten percent (10%) of this bid, payable to City of San Juan Capistrano as bid security and which is given as a guarantee that the undersigned will enter into a contract and provide the necessary bonds and certificates of insurance if awarded the Work. The bidder furthermore agrees that in case of bidder’s default in executing said contract and furnishing required bonds and certificates of insurance, the cash, bidder’s bond, or cashier’s or certified check accompanying this proposal and the money payable thereon shall become and shall remain the property of the City of San Juan Capistrano. Bidder is an individual ______, or corporation ______, or partnership ______, organized under the laws of the State of _______________________________. Bidder confirms license(s) required by California State Contractor’s License Law for the performance of the subject project are in full effect and proper order. The following are the Bidder’s applicable license number(s), with their expiration date(s) and class of license(s): If the Bidder is a joint venture, each member of the joint venture must include the required licensing information. 61147.02100\34514883.2 -22- 00 41 43 – BID FORMS Sureties that will furnish the Faithful Performance Bond and the Labor and Material Payment Bond, in the form specified herein, in an amount equal to one hundred percent (100%) of the contract price within ten (10) working days from the date the City provides the successful bidder the Notice of Award. Sureties must meet all of the State of California bonding requirements, as defined in California Code of Civil Procedure Section 995.120 and must be authorized by the State of California. The insurance company or companies to provide the insurance required in the contract documents must have a Financial Strength Rating of not less than “A-” and a Financial Size Category of not less than “Class VII” according to the latest Best Key Rating Guide. At the sole discretion of the City, the City may waive the Financial Strength Rating and the Financial Size Category classifications for Workers’ Compensation insurance. (signatures continued on next page) 61147.02100\34514883.2 -23- 00 41 43 – BID FORMS I hereby certify under penalty of perjury under the laws of the State of California that all of the information submitted in connection with this Bid and all of the representations made herein are true and correct. Executed at _________________________, on this ____ day of __________, _____. (Bidders Name – Print or Type) ________________________________ (Name and Title) (Corporate Seal) ________________________________ (Signature) Names of individual members of firm or names and titles of all officers of corporation and their addresses are listed below: Name Title Complete Address Phone FAX Name Title Complete Address Phone FAX Name Title Complete Address Phone FAX Name Title Complete Address Phone FAX 61147.02100\34514883.2 -24- 00 41 43 – BID FORMS 1.2 Bid Bond [Note: Not required when other form of Bidder’s Security, e.g. cash, certified check or cashier’s check, accompanies bid.] The makers of this bond are, _____________________________________________, as Principal, and ______________________________________________________, as Surety and are held and firmly bound unto the City of San Juan Capistrano, hereinafter called the City, in the penal sum of TEN PERCENT (10%) OF THE TOTAL BID PRICE of the Principal submitted to City for the work described below, for the payment of which sum in lawful money of the United States, well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH that whereas the Principal has submitted the accompanying bid dated _____________, 20 ____, for Spring Street and El Camino Real ADA Improvements Project, CIP 22103. If the Principal does not withdraw its Bid within the time specified in the Contract Documents; and if the Principal is awarded the Contract and provides all documents to the City as required by the Contract Documents; then this obligation shall be null and void. Otherwise, this bond will remain in full force and effect. Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract Documents shall in affect its obligation under this bond, and Surety does hereby waive notice of any such changes. In the event a lawsuit is brought upon this bond by the City and judgment is recovered, the Surety shall pay all litigation expenses incurred by the City in such suit, including reasonable attorneys’ fees, court costs, expert witness fees and expenses. By their signatures hereunder, Surety and Principal hereby confirm under penalty of perjury that surety is an admitted surety insurer authorized to do business in the State of California. IN WITNESS WHEREOF, the above-bound parties have executed this instrument under their several seals this _______ day of ________________, 20____, the name and corporate seal of each corporation. (Corporate Seal) Contractor/ Principal By Title (Corporate Seal) Surety By Attorney-in-Fact (Attach Attorney-in-Fact Certificate) Title 61147.02100\34514883.2 -25- 00 41 43 – BID FORMS Notary Acknowledgment A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF ______________ On , 20___, before me, _______________________________, Notary Public, personally Date Name And Title Of Officer (e.g. “Jane Doe, Notary Public”) appeared , who proved to me on the basis of satisfactory Name(s) of Signer(s) evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Place Notary Seal Above Signature of Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT  Individual  Corporate Officer Title(s) Title or Type of Document  Partner(s)  Limited  General Number of Pages  Attorney-In-Fact  Trustee(s)  Guardian/Conservator Date of Document  Other: Signer is representing: Name Of Person(s) Or Entity(ies) Signer(s) Other Than Named Above NOTE: This acknowledgment is to be completed for Contractor/Principal. 61147.02100\34514883.2 -26- 00 41 43 – BID FORMS Notary Acknowledgment A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF ______________ On , 20___, before me, _______________________________, Notary Public, personally Date Name And Title Of Officer (e.g. “Jane Doe, Notary Public”) appeared , who proved to me on the basis of satisfactory Name(s) of Signer(s) evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Place Notary Seal Above Signature of Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT  Individual  Corporate Officer Title(s) Title or Type of Document  Partner(s)  Limited  General Number of Pages  Attorney-In-Fact  Trustee(s)  Guardian/Conservator Date of Document  Other: Signer is representing: Name Of Person(s) Or Entity(ies) Signer(s) Other Than Named Above NOTE: This acknowledgment is to be completed for the Attorney-in-Fact. The Power-of-Attorney to local representatives of the bonding company must also be attached. END OF BID BOND 61147.02100\34514883.2 -27- 00 41 43 – BID FORMS 1.3 List of Subcontractors In compliance with the Subletting and Subcontracting Fair Practices Act Chapter 4 (commencing at Section 4100), Part 1, Division 2 of the Public Contract Code of the State of California and any amendments thereof, Bidder shall set forth below: (a) the name and the location of the place of business, (b) the California contractor license number, (c) the DIR public works contractor registration number unless exempt pursuant to Labor Code Sections 1725.5 and 1771.1, and (d) the portion of the work which will be done by each subcontractor who will perform work or labor or render service to the Bidder in or about the construction of the work or improvement to be performed under this Contract in an amount in excess of one-half of one percent (0.5%) of the Bidder’s Total Bid Price. Notwithstanding the foregoing, if the work involves the construction of streets and highways, then the Bidder shall list each subcontractor who will perform work or labor or render service to the Bidder in or about the work in an amount in excess of one-half of one percent (0.5%) of the Bidder’s Total Bid Price or $10,000, whichever is greater. No additional time shall be granted to provide the below requested information. If a Bidder fails to specify a subcontractor or if a contractor specifies more than one subcontractor for the same portion of work, then the Bidder shall be deemed to have agreed that it is fully qualified to perform that portion of work and that it shall perform that portion itself. Work to be done by Subcontractor Name of Subcontractor Location of Business CSLB Contractor License No. DIR Registration Number % of Work 61147.02100\34514883.2 -28- 00 41 43 – BID FORMS Work to be done by Subcontractor Name of Subcontractor Location of Business CSLB Contractor License No. DIR Registration Number % of Work (Attach additional sheets if necessary) Name of Bidder Signature Name and Title Dated 61147.02100\34514883.2 -29- 00 41 43 – BID FORMS 1.4 Bidder Information and Experience Form ARTICLE 1. INFORMATION ABOUT BIDDER (Indicate not applicable (“N/A”) where appropriate.) NOTE: Where Bidder is a joint venture, pages shall be duplicated and information provided for all parties to the joint venture. 1.0 Name of Bidder: ___________________________________________ 2.0 Type, if Entity: ___________________________________________ 3.0 Bidder Address: ___________________________________________ _____________________________________________________________ _____________________________________________________________ Facsimile Number Telephone Number _____________________________________________________________ Email Address 4.0 How many years has Bidder’s organization been in business as a Contractor? ______________________________ 5.0 How many years has Bidder’s organization been in business under its present name? ________________________ 5.1 Under what other or former names has Bidder’s organization operated?_______________________________________________ 6.0 If Bidder’s organization is a corporation, answer the following: 6.1 Date of Incorporation: ________________________________ 6.2 State of Incorporation: ________________________________ 6.3 President’s Name: ________________________________ 6.4 Vice-President’s Name(s): ________________________________ ________________________________ 6.5 Secretary’s Name: ________________________________ 6.6 Treasurer’s Name: ________________________________ 61147.02100\34514883.2 -30- 00 41 43 – BID FORMS 7.0 If an individual or a partnership, answer the following: 7.1 Date of Organization: ______________________________________ 7.2 Name and address of all partners (state whether general or limited partnership): ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ 8.0 If other than a corporation or partnership, describe organization and name principals: ___________________________________________________________ ___________________________________________________________ 9.0 List other states in which Bidder’s organization is legally qualified to do business. ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ 10.0 What type of work does the Bidder normally perform with its own forces? ___________________________________________________________ ___________________________________________________________ 11.0 Has Bidder ever failed to complete any work awarded to it? If so, note when, where, and why: ___________________________________________________________ ___________________________________________________________ 12.0 Within the last five years, has any officer or partner of Bidder’s organization ever been an officer or partner of another organization when it failed to complete a contract? If so, attach a separate sheet of explanation: ___________________________________________________________ ___________________________________________________________ 61147.02100\34514883.2 -31- 00 41 43 – BID FORMS 13.0 List Trade References: ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ 14.0 List Bank References (Bank and Branch Address): ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ 15.0 Name of Bonding Company and Name and Address of Agent: ___________________________________________________________ ___________________________________________________________ ___________________________________________________________ [REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK] 61147.02100\34514883.2 -32- 00 41 43 – BID FORMS ARTICLE 2. LIST OF CURRENT PROJECTS (BACKLOG) [**Duplicate Page if needed for listing additional current projects.**] Project Description of Bidder’s Work Completion Date Cost of Bidder’s Work 61147.02100\34514883.2 -33- 00 41 43 – BID FORMS ARTICLE 3. LIST OF COMPLETED PROJECTS – LAST THREE YEARS [**Duplicate Page if needed for listing additional completed projects.**] Please include only those projects which are similar enough to demonstrate Bidder’s ability to perform the required Work. Project Description of Bidder’s Work Completion Date Cost of Bidder’s Work 61147.02100\34514883.2 -34- 00 41 43 – BID FORMS ARTICLE 4. EXPERIENCE AND TECHNICAL QUALIFICATIONS QUESTIONNAIRE Personnel: The Bidder shall identify the key personnel to be assigned to this project in a management, construction supervision or engineering capacity. 1. List each person’s job title, name and percent of time to be allocated to this project: 2. Summarize each person’s specialized education: 3. List each person’s years of construction experience relevant to the project: 4. Summarize such experience: Bidder agrees that personnel named in this Bid will remain on this Project until completion of all relevant Work, unless substituted by personnel of equivalent experience and qualifications approved in advance by the City. Changes Occurring Since Prequalification If any substantive changes have occurred since Bidder submitted its prequalification package for this Project, Bidder shall list them below. If none are listed, Bidder certifies that no substantive changes have occurred. _______ 61147.02100\34514883.2 -35- 00 41 43 – BID FORMS Additional Bidder’s Statements: If the Bidder feels that there is additional information which has not been included in the questionnaire above, and which would contribute to the qualification review, it may add that information in a statement here or on an attached sheet, appropriately marked: _______ ARTICLE 5. VERIFICATION AND EXECUTION These Bid Forms shall be executed only by a duly authorized official of the Bidder: I declare under penalty of perjury under the laws of the State of California that the foregoing information is true and correct: Name of Bidder Signature Name Title Date 61147.02100\34514883.2 -36- 00 41 43 – BID FORMS 1.5 Non-Collusion Declaration The undersigned declares: I am the ___________________ of ______________________________, the party making the foregoing Bid. The Bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation. The Bid is genuine and not collusive or sham. The Bidder has not directly or indirectly induced or solicited any other Bidder to put in a false or sham bid. The Bidder has not directly or indirectly colluded, conspired, connived, or agreed with any Bidder or anyone else to put in a sham bid, or to refrain from bidding. The Bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the Bid Price of the Bidder or any other Bidder, or to fix any overhead, profit, or cost element of the Bid Price, or of that of any other Bidder. All statements contained in the Bid are true. The Bidder has not, directly or indirectly, submitted his or her Bid Price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, to any corporation, partnership, company, association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid, and has not paid, and will not pay, any person or entity for such purpose. Any person executing this declaration on behalf of a Bidder that is a corporation, partnership, joint venture, limited liability company, limited liability partnership, or any other entity, hereby represents that he or she has full power to execute, and does execute, this declaration on behalf of the Bidder. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that this declaration is executed on __________ [date], at ___________________ [city], ___________________ [state]. Name of Bidder Signature Name Title 61147.02100\34514883.2 <Month> <Year> Pipeline Project XXXX -37- 00 41 43 – BID FORMS 1.6 Iran Contracting Act Certification. (Public Contract Code section 2200 et seq.) As required by California Public Contract Code Section 2204, the Contractor certifies subject to penalty for perjury that the option checked below relating to the Contractor’s status in regard to the Iran Contracting Act of 2010 (Public Contract Code Section 2200 et seq.) is true and correct: The Contractor is not: (1) identified on the current list of person and entities engaged in investment activities in Iran prepared by the California Department of General Services in accordance with subdivision (b) of Public Contract Code Section 2203; or (2) a financial instruction that extends, for 45 days or more, credit in the amount of $20,000,000 or more to any other person or entity identified on the current list of persons and entities engaging in investment activities in Iran prepared by the California Department of General Services in accordance with subdivision (b) of Public Contract Code Section 2203, if that person or entity uses or will use the credit to provide goods or services in the energy sector in Iran. The City has exempted the Contractor from the requirements of the Iran Contracting Act of 2010 after making a public finding that, absent the exemption, the City will be unable to obtain the goods and/or services to be provided pursuant to the Contract. The amount of the Contract payable to the Contractor for the Project does not exceed $1,000,000. Signature: Printed Name: Title: Firm Name: Date: Note: In accordance with Public Contract Code Section 2205, false certification of this form shall be reported to the California Attorney General and may result in civil penalties equal to the greater of $250,000 or twice the Contract amount, termination of the Contract and/or ineligibility to bid on contracts for three years. 61147.02100\34514883.2 <Month> <Year> Pipeline Project XXXX -38- 00 41 43 – BID FORMS 1.7 Public Works Contractor Registration Certification Pursuant to Labor Code sections 1725.5 and 1771.1, all contractors and subcontractors that wish to bid on, be listed in a bid proposal, or enter into a contract to perform public work must be registered with the Department of Industrial Relations. See http://www.dir.ca.gov/Public- Works/PublicWorks.html for additional information. No bid will be accepted nor any contract entered into without proof of the contractor’s and subcontractors’ current registration with the Department of Industrial Relations to perform public work. Bidder hereby certifies that it is aware of the registration requirements set forth in Labor Code sections 1725.5 and 1771.1 and is currently registered as a contractor with the Department of Industrial Relations.1 Name of Bidder: DIR Registration Number: DIR Registration Expiration:_________________________ Small Project Exemption: _____ Yes or _____ No Unless Bidder is exempt pursuant to the small project exemption, Bidder further acknowledges: 1. Bidder shall maintain a current DIR registration for the duration of the project. 2. Bidder shall include the requirements of Labor Code sections 1725.5 and 1771.1 in its contract with subcontractors and ensure that all subcontractors are registered at the time of bid opening and maintain registration status for the duration of the project. 3. Failure to submit this form or comply with any of the above requirements may result in a finding that the bid is non-responsive. Name of Bidder Signature Name and Title Dated 1 If the Project is exempt from the contractor registration requirements pursuant to the small project exemption under Labor Code Sections 1725.5 and 1771.1, please mark “Yes” in response to “Small Project Exemption.” 61147.02100\34514883.2 <Month> <Year> Pipeline Project XXXX -39- 00 41 43 – BID FORMS 1.8 Contractor’s Certificate Regarding Workers’ Compensation. I am aware of the provisions of section 3700 of the Labor Code which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this Contract. Name of Bidder Signature Name Title Dated ______________________________ 61147.02100\34514883.2 -40- 00 52 13 – CONTRACT 00 52 13 – CONTRACT This CONTRACT, No. ________ is made and entered into this ____ day of _______, ______, by and between City of San Juan Capistrano, sometimes hereinafter called “City,” and _______________________________________________, sometimes hereinafter called “Contractor.” WITNESSETH: That the parties hereto have mutually covenanted and agreed, and by these presents do covenant and agree with each other as follows: a. SCOPE OF WORK. The Contractor shall perform all Work within the time stipulated in the Contract, and shall provide all labor, materials, equipment, tools, utility services, and transportation to complete all of the Work required in strict compliance with the Contract Documents as specified in Article 5, below, for the following Project: SPRING STREET AND EL CAMINO REAL ADA IMPROVEMENTS PROJECT, CIP 22103 The Contractor and its surety shall be liable to the City for any damages arising as a result of the Contractor’s failure to comply with this obligation. a. TIME FOR COMPLETION. Time is of the essence in the performance of the Work. The Work shall be commenced on the date stated in the City’s Notice to Proceed. The Contractor shall complete all Work required by the Contract Documents within 30 calendar days from the commencement date stated in the Notice to Proceed. By its signature hereunder, Contractor agrees the time for completion set forth above is adequate and reasonable to complete the Work. b. CONTRACT PRICE. The City shall pay to the Contractor as full compensation for the performance of the Contract, subject to any additions or deductions as provided in the Contract Documents, and including all applicable taxes and costs, the sum of ___________________________________________________________________ Dollars ($_________________________________). Payment shall be made as set forth in the General Conditions. c. LIQUIDATED DAMAGES. In accordance with Government Code section 53069.85, it is agreed that the Contractor will pay the City the sum set forth in Section 00 73 13, Article 1.11 for each and every calendar day of delay beyond the time prescribed in the Contract Documents for finishing the Work, as Liquidated Damages and not as a penalty or forfeiture. In the event this is not paid, the Contractor agrees the City may deduct that amount from any money due or that may become due the Contractor under the Contract. This Article does not exclude recovery of other damages specified in the Contract Documents. d. COMPONENT PARTS OF THE CONTRACT. The “Contract Documents” include the following: Notice Inviting Bids Instructions to Bidders Bid Form Bid Bond Designation of Subcontractors Information Required of Bidders 61147.02100\34514883.2 -41- Spring Street and El Camino Real ADA Improvements Project, CIP 22103 Non-Collusion Declaration Form Iran Contracting Act Certification Public Works Contractor Registration Certification Performance Bond Payment (Labor and Materials) Bond General Conditions Special Conditions General Requirements Technical Specifications Addenda Plans and Drawings Standard Specifications for Public Works Construction “Greenbook”, latest edition, Except Sections 1-9 Applicable Local Agency Standards and Specifications, as last revised Approved and fully executed change orders Federal Requirements Federal Labor Standards Provisions Form HUD-4010 Section3 Requirements NEW SECTION 3 REQUIREMENTS Davis-Bacon Wage Decisions Any other documents contained in or incorporated into the Contract The Contractor shall complete the Work in strict accordance with all of the Contract Documents. All of the Contract Documents are intended to be complementary. Work required by one of the Contract Documents and not by others shall be done as if required by all. This Contract shall supersede any prior agreement of the parties. e. PROVISIONS REQUIRED BY LAW AND CONTRACTOR COMPLIANCE. Each and every provision of law required to be included in these Contract Documents shall be deemed to be included in these Contract Documents. The Contractor shall comply with all requirements of applicable federal, state and local laws, rules and regulations, including, but not limited to, the provisions of the California Labor Code and California Public Contract Code which are applicable to this Work. Because the Work involves federal funds, the Contractor and all its subcontractors shall comply with all requirements set forth in the attached Federal Requirements. f. INDEMNIFICATION. Contractor shall provide indemnification and defense as set forth in the General Conditions. g. PREVAILING WAGES. Contractor shall be required to pay the prevailing rate of wages in accordance with the Labor Code which such rates shall be made available at the City’s Administrative Office or may be obtained online at http://www.dir.ca.gov and which must be posted at the job site. [REMAINDER OF PAGE LEFT INTENTIONALLY BLANK] 61147.02100\34514883.2 -42- Spring Street and El Camino Real ADA Improvements Project, CIP 22103 IN WITNESS WHEREOF, this Contract has been duly executed by the above-named parties, on the day and year above written. CITY OF SAN JUAN CAPISTRANO [INSERT NAME OF CONTRACTOR] By: By: Benjamin Siegel City Manager Its: Printed Name: ATTEST: By: City Clerk (CONTRACTOR’S SIGNATURE MUST BE NOTARIZED AND CORPORATE SEAL AFFIXED, IF APPLICABLE) END OF CONTRACT 61147.02100\34514883.2 -43- Spring Street and El Camino Real ADA Improvements Project, CIP 22103 Notary Acknowledgment A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF ______________ On , 20___, before me, _______________________________, Notary Public, personally Date Name And Title Of Officer (e.g. “Jane Doe, Notary Public”) appeared , who proved to me on the basis of satisfactory Name(s) of Signer(s) evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Place Notary Seal Above Signature of Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT  Individual  Corporate Officer Title(s) Title or Type of Document  Partner(s)  Limited  General Number of Pages  Attorney-In-Fact  Trustee(s)  Guardian/Conservator Date of Document  Other: Signer is representing: Name Of Person(s) Or Entity(ies) Signer(s) Other Than Named Above 61147.02100\34514883.2 -44- 00 61 13 – BOND FORMS 00 61 13 – BOND FORMS 1.1 Performance Bond. KNOW ALL PERSONS BY THESE PRESENTS: THAT WHEREAS, the City of San Juan Capistrano, (hereinafter referred to as “City”) has awarded to _________________________, (hereinafter referred to as the “Contractor”) an agreement for Contract No. CIP 22103, (hereinafter referred to as the “Project”). WHEREAS, the work to be performed by the Contractor is more particularly set forth in the Contract Documents for the Project dated ________________, (hereinafter referred to as “Contract Documents”), the terms and conditions of which are expressly incorporated herein by reference; and WHEREAS, the Contractor is required by said Contract Documents to perform the terms thereof and to furnish a bond for the faithful performance of said Contract Documents. NOW, THEREFORE, we, ______________________, the undersigned Contractor and ________________________________________________ as Surety, a corporation organized and duly authorized to transact business under the laws of the State of California, are held and firmly bound unto the City in the sum of ___________________________ DOLLARS, ($____________), said sum being not less than one hundred percent (100%) of the total amount of the Contract, for which amount well and truly to be made, we bind ourselves, our heirs, executors and administrators, successors and assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH, that, if the Contractor, his or its heirs, executors, administrators, successors or assigns, shall in all things stand to and abide by, and well and truly keep and perform the covenants, conditions and agreements in the Contract Documents and any alteration thereof made as therein provided, on its part, to be kept and performed at the time and in the manner therein specified, and in all respects according to their intent and meaning; and shall faithfully fulfill all obligations including the one (1) year guarantee of all materials and workmanship; and shall indemnify and save harmless the City, its officials, officers, employees, and authorized volunteers, as stipulated in said Contract Documents, then this obligation shall become null and void; otherwise it shall be and remain in full force and effect. As a part of the obligation secured hereby and in addition to the face amount specified therefore, there shall be included costs and reasonable expenses and fees including reasonable attorney’s fees, incurred by City in enforcing such obligation. As a condition precedent to the satisfactory completion of the Contract Documents, unless otherwise provided for in the Contract Documents, the above obligation shall hold good for a period of one (1) year after the acceptance of the work by City, during which time if Contractor shall fail to make full, complete, and satisfactory repair and replacements and totally protect the City from loss or damage resulting from or caused by defective materials or faulty workmanship. The obligations of Surety hereunder shall continue so long as any obligation of Contractor remains. Nothing herein shall limit the City’s rights or the Contractor or Surety’s obligations under the Contract, law or equity, including, but not limited to, California Code of Civil Procedure Section 337.15. 61147.02100\34514883.2 -45- 00 61 13 – BOND FORMS Whenever Contractor shall be, and is declared by the City to be, in default under the Contract Documents, the Surety shall remedy the default pursuant to the Contract Documents, or shall promptly, at the City’s option: i. Take over and complete the Project in accordance with all terms and conditions in the Contract Documents; or ii. Obtain a bid or bids for completing the Project in accordance with all terms and conditions in the Contract Documents and upon determination by Surety of the lowest responsive and responsible bidder, arrange for a Contract between such bidder, the Surety and the City, and make available as work progresses sufficient funds to pay the cost of completion of the Project, less the balance of the contract price, including other costs and damages for which Surety may be liable. The term “balance of the contract price” as used in this paragraph shall mean the total amount payable to Contractor by the City under the Contract and any modification thereto, less any amount previously paid by the City to the Contractor and any other set offs pursuant to the Contract Documents. iii. Permit the City to complete the Project in any manner consistent with California law and make available as work progresses sufficient funds to pay the cost of completion of the Project, less the balance of the contract price, including other costs and damages for which Surety may be liable. The term “balance of the contract price” as used in this paragraph shall mean the total amount payable to Contractor by the City under the Contract and any modification thereto, less any amount previously paid by the City to the Contractor and any other set offs pursuant to the Contract Documents. Surety expressly agrees that the City may reject any contractor or subcontractor which may be proposed by Surety in fulfillment of its obligations in the event of default by the Contractor. Surety shall not utilize Contractor in completing the Project nor shall Surety accept a bid from Contractor for completion of the Project if the City, when declaring the Contractor in default, notifies Surety of the City’s objection to Contractor’s further participation in the completion of the Project. The Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract Documents or to the Project to be performed thereunder shall in any way affect its obligations on this bond, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract Documents or to the Project. By their signatures hereunder, Surety and Contractor hereby confirm under penalty of perjury that surety is an admitted surety insurer authorized to do business in the State of California. [REMAINDER OF PAGE LEFT INTENTIONALLY BLANK] 61147.02100\34514883.2 -46- 00 61 13 – BOND FORMS IN WITNESS WHEREOF, we have hereunto set our hands and seals this _______ day of ______________, 20___. (Corporate Seal) Contractor/ Principal By Title (Corporate Seal) Surety By Attorney-in-Fact (Attach Attorney-in-Fact Certificate) Title The rate of premium on this bond is ____________ per thousand. The total amount of premium charges is $_______________________________. (The above must be filled in by corporate attorney.) THIS IS A REQUIRED FORM Any claims under this bond may be addressed to: (Name and Address of Surety) ___________________________________________ ___________________________________________ ___________________________________________ (Name and Address of Agent or ___________________________________________ Representative for service of ___________________________________________ process in California, if different ___________________________________________ from above) (Telephone number of Surety ___________________________________________ and Agent or Representative for service of process in California) 61147.02100\34514883.2 -47- 00 61 13 – BOND FORMS Notary Acknowledgment A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF ______________ On , 20___, before me, _______________________________, Notary Public, personally Date Name And Title Of Officer (e.g. “Jane Doe, Notary Public”) appeared , who proved to me on the basis of satisfactory Name(s) of Signer(s) evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Place Notary Seal Above Signature of Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT  Individual  Corporate Officer Title(s) Title or Type of Document  Partner(s)  Limited  General Number of Pages  Attorney-In-Fact  Trustee(s)  Guardian/Conservator Date of Document  Other: Signer is representing: Name Of Person(s) Or Entity(ies) Signer(s) Other Than Named Above NOTE: This acknowledgment is to be completed for Contractor/Principal. 61147.02100\34514883.2 -48- 00 61 13 – BOND FORMS Notary Acknowledgment A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF ______________ On , 20___, before me, _______________________________, Notary Public, personally Date Name And Title Of Officer (e.g. “Jane Doe, Notary Public”) appeared , who proved to me on the basis of satisfactory Name(s) of Signer(s) evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Place Notary Seal Above Signature of Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT  Individual  Corporate Officer Title(s) Title or Type of Document  Partner(s)  Limited  General Number of Pages  Attorney-In-Fact  Trustee(s)  Guardian/Conservator Date of Document  Other: Signer is representing: Name Of Person(s) Or Entity(ies) Signer(s) Other Than Named Above NOTE: This acknowledgment is to be completed for the Attorney-in-Fact. The Power-of Attorney to local representatives of the bonding company must also be attached. END OF PERFORMANCE BOND 61147.02100\34514883.2 -49- 00 61 13 – BOND FORMS 1.2 Payment Bond (Labor and Materials). KNOW ALL MEN BY THESE PRESENTS That WHEREAS, the City of San Juan Capistrano (hereinafter designated as the “City”), by action taken or a resolution passed ___________________ , 20_____, has awarded to ________________________ hereinafter designated as the “Principal,” a contract for the work described as follows: Contract No. CIP 22103 (the “Project”); and WHEREAS, said Principal is required to furnish a bond in connection with said contract; providing that if said Principal or any of its Subcontractors shall fail to pay for any materials, provisions, provender, equipment, or other supplies used in, upon, for or about the performance of the work contracted to be done, or for any work or labor done thereon of any kind, or for amounts due under the Unemployment Insurance Code or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department from the wages of employees of said Principal and its Subcontractors with respect to such work or labor the Surety on this bond will pay for the same to the extent hereinafter set forth. NOW THEREFORE, we, the Principal and __________________________ as Surety, are held and firmly bound unto the City in the penal sum of ______________ Dollars ($___________) lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH that if said Principal, his or its subcontractors, heirs, executors, administrators, successors or assigns, shall fail to pay any of the persons named in Civil Code Section 9100, fail to pay for any materials, provisions or other supplies, used in, upon, for or about the performance of the work contracted to be done, or for any work or labor thereon of any kind, or amounts due under the Unemployment Insurance Code with respect to work or labor performed under the contract, or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department or Franchise Tax Board from the wages of employees of the contractor and his subcontractors pursuant to Revenue and Taxation Code Section 18663, with respect to such work and labor the Surety or Sureties will pay for the same, in an amount not exceeding the sum herein above specified, and also, in case suit is brought upon this bond, all litigation expenses incurred by the City in such suit, including reasonable attorneys’ fees, court costs, expert witness fees and investigation expenses. This bond shall inure to the benefit of any of the persons named in Civil Code Section 9100 so as to give a right of action to such persons or their assigns in any suit brought upon this bond. It is further stipulated and agreed that the Surety on this bond shall not be exonerated or released from the obligation of this bond by any change, extension of time for performance, addition, alteration or modification in, to, or of any contract, plans, specifications, or agreement pertaining or relating to any scheme or work of improvement herein above described, or pertaining or relating to the furnishing of labor, materials, or equipment therefore, nor by any change or modification of any terms of payment or extension of the time for any payment pertaining or relating to any scheme or work of improvement herein above described, nor by any rescission or attempted rescission or attempted rescission of the contract, agreement or bond, nor by any conditions precedent or subsequent in the bond attempting to limit the right of recovery of claimants otherwise entitled to recover under any such contract or agreement or under the bond, nor by any 61147.02100\34514883.2 -50- 00 61 13 – BOND FORMS fraud practiced by any person other than the claimant seeking to recover on the bond and that this bond be construed most strongly against the Surety and in favor of all persons for whose benefit such bond is given, and under no circumstances shall Surety be released from liability to those for whose benefit such bond has been given, by reason of any breach of contract between the owner or City and original contractor or on the part of any obligee named in such bond, but the sole conditions of recovery shall be that claimant is a person described in Civil Code Section 9100, and has not been paid the full amount of his claim and that Surety does hereby waive notice of any such change, extension of time, addition, alteration or modification herein mentioned, including but not limited to the provisions of sections 2819 and 2845 of the California Civil Code. By their signatures hereunder, Surety and Principal hereby confirm under penalty of perjury that surety is an admitted surety insurer authorized to do business in the State of California. IN WITNESS WHEREOF, we have hereunto set our hands and seals this _______ day of ______________, 20__. (Corporate Seal) Contractor/ Principal By Title (Corporate Seal) Surety By Attorney-in-Fact (Attach Attorney-in-Fact Certificate) Title 61147.02100\34514883.2 -51- 00 61 13 – BOND FORMS Notary Acknowledgment A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF ______________ On , 20___, before me, _______________________________, Notary Public, personally Date Name And Title Of Officer (e.g. “Jane Doe, Notary Public”) appeared , who proved to me on the basis of satisfactory Name(s) of Signer(s) evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Place Notary Seal Above Signature of Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT  Individual  Corporate Officer Title(s) Title or Type of Document  Partner(s)  Limited  General Number of Pages  Attorney-In-Fact  Trustee(s)  Guardian/Conservator Date of Document  Other: Signer is representing: Name Of Person(s) Or Entity(ies) Signer(s) Other Than Named Above NOTE: This acknowledgment is to be completed for Contractor/Principal. 61147.02100\34514883.2 -52- 00 61 13 – BOND FORMS 61147.02100\34514883.2 -53- 00 61 13 – BOND FORMS Notary Acknowledgment A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF ______________ On , 20___, before me, _______________________________, Notary Public, personally Date Name And Title Of Officer (e.g. “Jane Doe, Notary Public”) appeared , who proved to me on the basis of satisfactory Name(s) of Signer(s) evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Place Notary Seal Above Signature of Notary Public OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT  Individual  Corporate Officer Title(s) Title or Type of Document  Partner(s)  Limited  General Number of Pages  Attorney-In-Fact  Trustee(s)  Guardian/Conservator Date of Document  Other: Signer is representing: Name Of Person(s) Or Entity(ies) Signer(s) Other Than Named Above NOTE: This acknowledgment is to be completed for the Attorney-in-Fact. The Power-of-Attorney to local representatives of the bonding company must also be attached. END OF PAYMENT BOND 61147.02100\34514883.2 -54- 00 72 13 – GENERAL CONDITIONS 00 72 13 – GENERAL CONDITIONS ARTICLE 1. DEFINED TERMS Whenever used in the Contract Documents and printed with initial capital letters, the terms listed below will have the meanings indicated which are applicable to both the singular and plural thereof. In addition to terms specifically defined below, terms with initial capital letters in the Contract Documents include references to identified articles and paragraphs, and the titles of other documents or forms. A. Act of God – An earthquake of magnitude of 3.5 or higher on the Richter scale or a tidal wave. B. Addenda -- Written or graphic instruments issued prior to the submission of Bids which clarify, correct, or change the Contract Documents. C. Additional Work -- New or unforeseen work will be classified as “Additional Work” when the City’s Representative determines that it is not covered by the Contract. D. Applicable Laws -- The laws, statutes, ordinances, rules, codes, regulations, permits, and licenses of any kind, issued by local, state or federal governmental authorities or private authorities with jurisdiction (including utilities), to the extent they apply to the Work. E. Bid -- The offer or proposal of a Bidder submitted on the prescribed form setting forth the prices and other terms for the Work to be performed. F. Bidder -- The individual or entity who submits a Bid directly to the City. G. Change Order (“CO”) -- A document that authorizes an addition, deletion, or revision in the Work or an adjustment in the Contract Price or the Contract Times, issued on or after the Effective Date of the Contract, in accordance with the Contract Documents and in the form contained in the Contract Documents. H. Change Order Request (“COR”) -- A request made by the Contractor for an adjustment in the Contract Price and/or Contract Times as the result of a Contractor-claimed change to the Work. This term may also be referred to as a Change Order Proposal (“COP”), or Request for Change (“RFC”). I. City -- The City of San Juan Capistrano. J. City’s Representative -- The individual or entity as identified in the Special Conditions to act as the City’s Representative. K. Claim -- A demand or assertion by the City or Contractor seeking an adjustment of Contract Price or Contract Times, or both, or other relief with respect to the terms of the Contract. A demand for money or services by a third party is not a Claim. L. Contract -- The entire integrated written agreement between the City and Contractor concerning the Work. “Contract” may be used interchangeably with “Agreement” in the 61147.02100\34514883.2 -55- 00 72 13 – GENERAL CONDITIONS Contract Documents. The Contract supersedes prior negotiations, representations, or agreements, whether written or oral, and includes all Contract Documents. M. Contract Documents -- The documents listed in Section 00 52 13, Article 5. Some documents provided by the City to the Bidders and Contractor, including but not limited to reports and drawings of subsurface and physical conditions are not Contract Documents. N. Contract Price -- Amount to be paid by the City to the Contractor as full compensation for the performance of the Contract and completion of the Work, subject to any additions or deductions as provided in the Contract Documents, and including all applicable taxes and costs. O. Contract Times -- The number of days or the dates stated in the Contract Documents to: achieve defined Milestones, if any; and to complete the Work so that it is ready for final payment. P. Contractor -- The individual or entity with which the City has contracted for performance of the Work. Q. Contractor’s Designated On-Site Representative -- The Contractor’s Designated On- Site Representative will be as identified in Section 00 72 13, Article 3 and shall not be changed without prior written consent of the City. R. Daily Rate -- The Daily Rate stipulated in the Contract Documents as full compensation to the Contractor due to the City’s unreasonable delay to the Project that was not contemplated by the parties. S. Day -- A calendar day of 24 hours measured from midnight to the next midnight. T. Defective Work -- Work that is unsatisfactory, faulty, or deficient; or that does not conform to the Contract Documents; or that does not meet the requirements of any inspection, reference standard, test, or approval referenced in the Contract Documents. U. Demobilization -- The complete dismantling and removal by the Contractor of all of the Contractor’s temporary facilities, equipment, and personnel at the Site. V. Drawings -- That part of the Contract Documents prepared by of the Engineer of Record which graphically shows the scope, extent, and character of the Work to be performed by Contractor. Shop Drawings and other Contractor submittals are not Drawings as so defined. W. Effective Date of the Contract -- The date indicated in the Contract on which it becomes effective, but if no such date is indicated, it means the date on which the Contract is signed and delivered by the last of the two parties to sign and deliver. X. Engineer, whenever not qualified, shall mean the City Engineer of the City, acting either directly or through properly authorized agents, such agents acting severally within the scope of the particular duties entrusted to them. On all questions concerning the acceptance of materials, machinery, the classifications of material, the execution 61147.02100\34514883.2 -56- 00 72 13 – GENERAL CONDITIONS of work, conflicting interest of the contractors performing related work and the determination of costs, the decision of the Engineer, duly authorized by the City, shall be binding and final upon both parties. Y. Engineer of Record -- The individual, partnership, corporation, joint venture, or other legal entity named as such in Section 00 73 13, Article 1.1. or any succeeding entity designated by the City. Z. Green Book -- The current edition of the Standard Specifications for Public Works Construction. AA. Hazardous Waste -- The term “Hazardous Waste” shall have the meaning provided in Section 104 of the Solid Waste Disposal Act (42 U.S.C. § 6903) as amended from time to time or, as defined in Section 25117 of the Health and Safety Code, that is required to be removed to a class I, class II, or class III disposal site in accordance with provisions of existing law, whichever is more restrictive. BB. Holiday – The Holidays occur on: New Year’s Day - January 1 MLK Day – Third Monday in January President’s Day – Third Monday in February Memorial Day - Last Monday in May Independence Day - July 4 Labor Day - First Monday in September Veteran’s Day - November 11 Thanksgiving Day - Fourth Thursday in November Friday after Thanksgiving Christmas Eve – December 24 Christmas Day - December 25 Day After Christmas – December 26 New Year’s Eve – December 31 If any Holiday listed above falls on a Saturday, Saturday and the preceding Friday are both Holidays. If the Holiday should fall on a Sunday, Sunday and the following Monday are both Holidays. CC. Notice of Award -- The written notice by the City to the Successful Bidder stating that upon timely compliance by the Successful Bidder with the conditions precedent listed therein, the City will sign and deliver the Contract. DD. Notice of Completion -- The form which may be executed by the City and recorded by the county where the Project is located constituting final acceptance of the Project. EE. Notice to Proceed -- A written notice given by the City to Contractor fixing the date on which the Contractor may proceed with the Work and when Contract Times will commence to run. FF. Project -- The total construction of which the Work to be performed under the Contract Documents may be the whole, or a part. 61147.02100\34514883.2 -57- 00 72 13 – GENERAL CONDITIONS GG. Recyclable Waste Materials -- Materials removed from the Site which are required to be diverted to a recycling center rather than an area landfill. Recyclable Waste Materials include asphalt, concrete, brick, concrete block, and rock. HH. Schedule of Submittals -- A schedule, prepared and maintained by Contractor, of required submittals and the time requirements to facilitate scheduled performance of related construction activities. II. Shop Drawings -- All drawings, diagrams, illustrations, schedules, and other data or information which are specifically prepared or assembled by or for Contractor and submitted by Contractor to illustrate some portion of the Work. JJ. Specifications -- That part of the Contract Documents consisting of written requirements for materials, equipment, systems, standards and workmanship as applied to the Work, and certain administrative requirements and procedural matters applicable thereto. KK. Stop Payment Notice -- A written notice as defined in Civil Code section 8044. LL. Subcontractor -- An individual or entity other than a Contractor having a contract with any other entity than the City for performance of any portion of the Work at the Site. MM. Submittal -- Written and graphic information and physical samples prepared and supplied by the Contractor demonstrating various portions of the Work. NN. Successful Bidder -- The Bidder submitting a responsive Bid to whom the City makes an award. OO. Supplier -- A manufacturer, fabricator, supplier, distributor, material man, or vendor having a direct contract with Contractor or with any Subcontractor to furnish materials or equipment used in the performance of the Work or to be incorporated in the Work. PP. Underground Facilities -- All underground pipelines, conduits, ducts, cables, wires, manholes, vaults, tanks, tunnels, or other such facilities or attachments, and any encasements containing such facilities, including those that convey electricity, gases, steam, liquid petroleum products, telephone or other communications, cable television, water, wastewater, storm water, other liquids or chemicals, or traffic or other control systems. QQ. Unit Price Work -- Work to be paid for on the basis of unit prices as provided by the Contractor in its bid or as adjusted in accordance with the Contract Documents. RR. Warranty -- A written guarantee provided to the City by the Contractor that the Work will remain free of defects and suitable for its intended use for the period required by the Contract Documents or the longest period permitted by the law of this State, whichever is longer. SS. Work -- The entire construction or the various separately identifiable parts thereof required to be provided under the Contract Documents. Work includes and is the result of performing or providing all labor, services, and documentation necessary to produce 61147.02100\34514883.2 -58- 00 72 13 – GENERAL CONDITIONS such construction, and furnishing, installing, and incorporating all materials and equipment into such construction, all as required by the Contract Documents. ARTICLE 2. CONTRACT DOCUMENTS A. Contract Documents. The Contract Documents are complementary, and what is called for by one shall be as binding as if called for by all. B. Interpretations. The Contract Documents are intended to be fully cooperative and complementary. If the Contractor observes that any documents are in conflict, the Contractor shall promptly notify the Engineer in writing. In case of conflicts between the Contract Documents, the order of precedence shall be as follows: 1. Change Orders 2. Addenda 3. Federal Requirements 4. Special Conditions 5. Technical Specifications 6. Plans (Contract Drawings) 7. Contract 8. General Conditions 9. General Requirements 10. Instructions to Bidders 11. Notice Inviting Bids 12. Davis-Bacon Wage Decisions 13. Contractor’s Bid Forms 14. Standard Specifications for Public Works Construction (Sections 1-9 Excluded) 15. Applicable Local Agency Standards and Specifications 16. Standard Drawings 17. Reference Documents With reference to the Drawings, the order of precedence shall be as follows: 1. Figures govern over scaled dimensions 2. Detail drawings govern over general drawings 3. Addenda or Change Order drawings govern over Contract Drawings 4. Contract Drawings govern over Standard Drawings 5. Contract Drawings govern over Shop Drawings C. Conflicts in Contract Documents. Notwithstanding the orders of precedence established above, in the event of conflicts, the higher standard, higher quality, and most expensive shall always apply. D. Organization of Contract Documents. Organization of the Contract Documents into divisions, sections, and articles, and arrangement of drawings shall not control the Contractor in dividing Project Work among subcontractors or in establishing the extent of Work to be performed by any trade. 61147.02100\34514883.2 -59- 00 72 13 – GENERAL CONDITIONS ARTICLE 3. PRECONSTRUCTION AND CONSTRUCTION COMMUNICATION Before any Work at the site is started, a conference attended by the City, Contractor, City’s Representative, and others as appropriate will be held to establish a working understanding among the parties as to the Work and to discuss the schedules referred to herein, procedures for handling Shop Drawings and other submittals, processing Applications for Payment, and maintaining required records. At this conference the City and Contractor each shall designate, in writing, a specific individual to act as its authorized representative with respect to the services and responsibilities under the Contract. Such individuals shall have the authority to transmit instructions, receive information, render decisions relative to the Contract, and otherwise act on behalf of each respective party. ARTICLE 4. CONTRACT DOCUMENTS: COPIES & MAINTENANCE Contractor will be furnished, free of charge, five (5) copies of the Contract Documents. Additional copies may be obtained at cost of reproduction. Contractor shall maintain a clean, undamaged set of Contract Documents, including submittals, at the Project site. ARTICLE 5. EXAMINATION OF DRAWINGS, SPECIFICATIONS AND SITE OF WORK A. Examination of Contract Documents. Before commencing any portion of the Work, Contractor shall again carefully examine all applicable Contract Documents, the Project site, and other information given to Contractor as to materials and methods of construction and other Project requirements. Contractor shall immediately notify the Engineer of any potential error, inconsistency, ambiguity, conflict, or lack of detail or explanation. If Contractor performs, permits, or causes the performance of any Work which is in error, inconsistent or ambiguous, or not sufficiently detailed or explained, Contractor shall bear any and all resulting costs, including, without limitation, the cost of correction. In no case shall the Contractor or any subcontractor proceed with Work if uncertain as to the applicable requirements. B. Additional Instructions. After notification of any error, inconsistency, ambiguity, conflict, or lack of detail or explanation, the Engineer will provide any required additional instructions, by means of drawings or other written direction, necessary for proper execution of Work. C. Quality of Parts, Construction and Finish. All parts of the Work shall be of the best quality of their respective kinds and the Contractor must use all diligence to inform itself fully as to the required construction and finish. D. Contractor’s Variation from Contract Document Requirements. If it is found that the Contractor has varied from the requirements of the Contract Documents including the requirement to comply with all applicable laws, ordinances, rules and regulations, the Engineer may at any time, before or after completion of the Work, order the improper Work removed, remade or replaced by the Contractor at the Contractor’s expense. 61147.02100\34514883.2 -60- 00 72 13 – GENERAL CONDITIONS ARTICLE 6. MOBILIZATION A. When a bid item is included in the Bid Form for mobilization, the costs of Work in advance of construction operations and not directly attributable to any specific bid item will be included in the progress estimate (“Initial Mobilization”). When no bid item is provided for “Initial Mobilization,” payment for such costs will be deemed to be included in the other items of the Work. B. Payment for Initial Mobilization based on the lump sum provided in the Bid Form, which shall constitute full compensation for all such Work. No payment for Initial Mobilization will be made until all of the listed items have been completed to the satisfaction of the Engineer. The scope of the Work included under Initial Mobilization shall include, but shall not be limited to, the following principal items: 1. Obtaining and paying for all bonds, insurance, and permits. 2. Moving on to the Project site of all Contractor’s plant and equipment required for the first month’s operations. 3. Installing temporary construction power, wiring, and lighting facilities, as applicable. 4. Establishing fire protection system, as applicable. 5. Developing and installing a construction water supply, if applicable. 6. Providing and maintaining the field office trailers for the Contractor, if necessary, and the Engineer (if specified), complete, with all specified furnishings and utility services. 7. Providing on-site sanitary facilities and potable water facilities as specified per Cal- OSHA and these Contract Documents. 8. Furnishing, installing, and maintaining all storage buildings or sheds required for temporary storage of products, equipment, or materials that have not yet been installed in the Work. All such storage shall meet manufacturer’s specified storage requirements, and the specific provisions of the specifications, including temperature and humidity control, if recommended by the manufacturer, and for all security. 9. Arranging for and erection of Contractor’s work and storage yard. 10. Posting all OSHA required notices and establishment of safety programs per Cal- OSHA. 11. Full-time presence of Contractor’s superintendent at the job site as required herein. 12. Submittal of Construction Schedule as required by the Contract Documents. 61147.02100\34514883.2 -61- 00 72 13 – GENERAL CONDITIONS ARTICLE 7. EXISTENCE OF UTILITIES AT THE WORK SITE A. The City has endeavored to determine the existence of utilities at the Project site from the records of the owners of known utilities in the vicinity of the Project. The positions of these utilities as derived from such records are shown on the Plans. B. Unless indicated otherwise on the Plans and Specifications, no excavations were made to verify the locations shown for underground utilities. The service connections to these utilities are not shown on the Plans. Water service connections may be shown on the Plans showing general locations of such connections. It shall be the responsibility of the Contractor to determine the exact location of all service connections. The Contractor shall make its own investigations, including exploratory excavations, to determine the locations and type of service connections, prior to commencing Work which could result in damage to such utilities. The Contractor shall immediately notify the City in writing of any utility discovered in a different position than shown on the Plans or which is not shown on the Plans. C. If applicable, all water meters, water valves, fire hydrants, electrical utility vaults, telephone vaults, gas utility valves, and other subsurface structures shall be relocated or adjusted to final grade by the Contractor. Locations of existing utilities shown on the Plans are approximate and may not be complete. The Contractor shall be responsible for coordinating its Work with all utility companies during the construction of the Work. D. Notwithstanding the above, pursuant to section 4215 of the Government Code, the City has the responsibility to identify, with reasonable accuracy, main or trunkline facilities on the plans and specifications. In the event that main or trunkline utility facilities are not identified with reasonable accuracy in the plans and specifications made a part of the invitation for Bids, the City shall assume the responsibility for their timely removal, relocation, or protection. E. Contractor, except in an emergency, shall contact the appropriate regional notification center, California Underground Service Alert at 811 or 1-800-227-2600 or on-line at www.digalert.org at least two working days prior to commencing any excavation if the excavation will be performed in an area which is known, or reasonably should be known, to contain subsurface installations other than the underground facilities owned or operated by the City, and obtain an inquiry identification number from that notification center. No excavation shall be commenced or carried out by the Contractor unless such an inquiry identification number has been assigned to the Contractor or any subcontractor of the Contractor and the City has been given the identification number by the Contractor. ARTICLE 8. SOILS INVESTIGATIONS A. Reports and Drawings. The Special Conditions identify: 1. those reports known to the City of explorations and tests of subsurface conditions at or contiguous to the site; and 2. those drawings known to the City of physical conditions relating to existing surface or subsurface structures at the site (except Underground Facilities). 61147.02100\34514883.2 -62- 00 72 13 – GENERAL CONDITIONS B. Limited Reliance by Contractor on Technical Data Authorized. Contractor may rely upon the accuracy of the “technical data” contained in such reports and drawings, which were expressly not created or obtained to evaluate or assist in the evaluation of constructability, and are not Contract Documents. Contractor shall make its own interpretation of the “technical data” and shall be solely responsible for any such interpretations. Except for reliance on the accuracy of such “technical data,” Contractor may not rely upon or make any claim against the City, City’s Representative, or Engineer of Record, or any of their officers, directors, members, partners, employees, agents, consultants, or subcontractors, with respect to: 1. the completeness of such reports and drawings for Contractor’s purposes, including without limitation any aspects of the means, methods, techniques, sequences, and procedures of construction to be employed by Contractor, and safety precautions and programs incident thereto; or 2. other data, interpretations, opinions, conclusions and information contained in such reports or shown or indicated in such drawings; or 3. any Contractor interpretation of or conclusion drawn from any “technical data” or any such other data, interpretations, opinions, or information. ARTICLE 9. CONTRACTOR’S SUPERVISION Contractor shall continuously keep at the Project site, a competent and experienced full-time Project superintendent acceptable to the City. Superintendent must be able to proficiently speak, read and write in English and shall have the authority to make decisions on behalf of the Contractor. Contractor shall continuously provide efficient supervision of the Project. ARTICLE 10. WORKERS A. Contractor shall at all times enforce strict discipline and good order among its employees. Contractor shall not employ on the Project any unfit person or any one not skilled in the Work assigned to him or her. B. Any person in the employ of the Contractor whom the City may deem incompetent or unfit shall be dismissed from the Work and shall not be employed on this Project. ARTICLE 11. INDEPENDENT CONTRACTORS Contractor shall be an independent contractor for the City and not an employee. Contractor understands and agrees that it and all of its employees shall not be considered officers, employees, or agents of City and are not entitled to benefits of any kind normally provided employees of City, including but not limited to, state unemployment compensation or workers’ compensation. Contractor assumes full responsibility for the acts and omissions of its employees or agents related to the Work. ARTICLE 12. SUBCONTRACTS A. Contractor agrees to bind every subcontractor to the terms of the Contract Documents as far as such terms are applicable to subcontractor’s portion of the Work. Contractor shall be as fully responsible to the City for the acts and omissions of its subcontractors 61147.02100\34514883.2 -63- 00 72 13 – GENERAL CONDITIONS and of persons either directly or indirectly employed by its subcontractors, as Contractor is for acts and omissions of persons directly employed by Contractor. Nothing contained in these Contract Documents shall create any contractual relationship between any subcontractor and the City. B. The City reserves the right to accept all subcontractors. The City’s acceptance of any subcontractor under this Contract shall not in any way relieve Contractor of its obligations in the Contract Documents. C. Prior to substituting any subcontractor listed in the Bid Forms, Contractor must comply with the requirements of the Subletting and Subcontracting Fair Practices Act pursuant to California Public Contract Code section 4100 et seq. ARTICLE 13. VERIFICATION OF EMPLOYMENT ELIGIBILITY By executing this Contract, Contractor verifies that it fully complies with all requirements and restrictions of state and federal law respecting the employment of undocumented aliens, including, but not limited to, the Immigration Reform and Control Act of 1986, as may be amended from time to time, and shall require all subcontractors, sub-subcontractors and consultants to comply with the same. Each person executing this Contract on behalf of Contractor verifies that he or she is a duly authorized officer of Contractor and that any of the following shall be grounds for the City to terminate the Contract for cause: (1) failure of the Contractor or its subcontractors, sub-subcontractors or consultants to meet any of the requirements provided for in this Article; (2) any misrepresentation or material omission concerning compliance with such requirements; or (3) failure to immediately remove from the Work any person found not to be in compliance with such requirements. ARTICLE 14. REQUESTS FOR SUBSTITUTION A. For the purposes of this provision, the term “substitution” shall mean the substitution of any material, method or service substantially equal to or better in every respect to that indicated in the Standard Specifications or otherwise referenced herein. B. Pursuant to Public Contract Code section 3400(b), the City may make a finding that is described in the Notice Inviting Bids that designates certain products, things, or services by specific brand or trade name. C. Unless specifically designated in the Special Conditions, whenever any material, process, or article is indicated or specified by grade, patent, or proprietary name or by name of manufacturer, such specifications shall be deemed to be used for the purpose of facilitating the description of the material, process, or article desired and shall be deemed to be followed by the words “or equal.” Contractor may, unless otherwise stated, offer for substitution any material, process, or article which may be substantially equal to or better in every respect to that so indicated or specified in the Contract Documents. However, the City has adopted uniform standards for certain materials, processes, and articles. D. The Contractor shall submit substitution requests, together with substantiating data, for substitution of any “or equal” material, process, or article no later than thirty-five (35) calendar days after award of Contract. Provisions regarding submission of 61147.02100\34514883.2 -64- 00 72 13 – GENERAL CONDITIONS substitution requests shall not in any way authorize an extension of time for the performance of this Contract. If a substitution request is rejected by the City, the Contractor shall provide the material, method or service specified herein. The City shall not be responsible for any costs incurred by the Contractor associated with substitution requests. The burden of proof as to the equality of any material, process, or article shall rest with the Contractor. The Engineer has the complete and sole discretion to determine if a material, process, or article is substantially equal to or better than that specified and to approve or reject all substitution requests. E. Substantiating data as described above shall include, at a minimum, the following information: 1. A signed affidavit from the Contractor stating that the material, process, or article proposed as a substitution is substantially equal to or better than that specified in every way except as may be listed on the affidavit. 2. Illustrations, specifications, catalog cut sheets, and any other relevant data required to prove that the material, process, or article is substantially equal to or better than that specified. 3. A statement of the cost implications of the substitution being requested, indicating whether and why the proposed substitution will reduce or increase the amount of the contract. 4. Information detailing the durability and lifecycle costs of the proposed substitution. F. Failure to submit all the required substantiating data detailed above in a timely manner so that the substitution request can be adequately reviewed may result in rejection of the substitution request. The Engineer is not obligated to review multiple submittals related the same substitution request resulting from the Contractor’s failure to initially submit a complete package. G. Time limitations within this Article shall be strictly complied with and in no case will an extension of time for completion of the contract be granted because of Contractor’s failure to provide substitution requests at the time and in the manner described herein. H. The Contractor shall bear the costs of all City work associated with the review of substitution requests. I. If substitution requests approved by the Engineer require that Contractor furnish materials, methods or services more expensive than that specified, the increased costs shall be borne by Contractor. ARTICLE 15. SHOP DRAWINGS A. Contractor shall check and verify all field measurements and shall submit with such promptness as to provide adequate time for review and cause no delay in its own Work or in that of any other contractor, subcontractor, or worker on the Project, six (6) copies of all shop drawings, calculations, schedules, and materials list, and all other provisions required by the Contract Documents. Contractor shall sign all submittals affirming that submittals have been reviewed and approved by Contractor prior to 61147.02100\34514883.2 -65- 00 72 13 – GENERAL CONDITIONS submission to Engineer. Each signed submittal shall affirm that the submittal meets all the requirements of the Contract Documents except as specifically and clearly noted and listed on the transmittal letter of the submittal. B. Contractor shall make any corrections required by the Engineer, and file with the Engineer six (6) corrected copies each, and furnish such other copies as may be needed for completion of the Work. Engineer’s acceptance of shop drawings shall not relieve Contractor from responsibility for deviations from the Contract Documents unless Contractor has, in writing, called Engineer’s attention to such deviations at time of submission and has secured the Engineer’s written acceptance. Engineer’s acceptance of shop drawings shall not relieve Contractor from responsibility for errors in shop drawings. ARTICLE 16. SUBMITTALS A. Contractor shall furnish to the Engineer for approval, prior to purchasing or commencing any Work, a log of all samples, material lists and certifications, mix designs, schedules, and other submittals, as required in the Contract Documents. The log shall indicate whether samples will be provided in accordance with other provisions of this Contract. B. Contractor will provide samples and submittals, together with catalogs and supporting data required by the Engineer, to the Engineer within a reasonable time period to provide for adequate review and avoid delays in the Work. C. These requirements shall not authorize any extension of time for performance of this Contract. Engineer will check and approve such samples, but only for conformance with design concept of work and for compliance with information given in the Contract Documents. Work shall be in accordance with approved samples and submittals. ARTICLE 17. MATERIALS A. Except as otherwise specifically stated in the Contract Documents, Contractor shall provide and pay for all materials, labor, tools, equipment, lights, power, transportation, superintendence, temporary constructions of every nature, and all other services and facilities of every nature whatsoever necessary to execute and complete this Contract within specified time. B. Unless otherwise specified, all materials shall be new and the best of their respective kinds and grades as noted and/or specified, and workmanship shall be of good quality. C. Materials shall be furnished in ample quantities and at such times as to ensure uninterrupted progress of the Work and shall be stored properly and protected as required by the Contract Documents. Contractor shall be entirely responsible for damage or loss by weather or other causes to materials or Work. D. No materials, supplies, or equipment for Work under this Contract shall be purchased subject to any chattel mortgage or under a conditional sale or other agreement by which an interest therein or in any part thereof is retained by the seller or supplier. Contractor warrants good title to all material, supplies, and equipment installed or 61147.02100\34514883.2 -66- 00 72 13 – GENERAL CONDITIONS incorporated in the Work and agrees upon completion of all work to deliver the Project, to the City free from any claims, liens, or charges. E. Materials shall be stored on the Project site in such manner so as not to interfere with any operations of the City or any independent contractor. F. Contractor shall verify all measurements, dimensions, elevations, and quantities before ordering any materials or performing any Work, and the City shall not be liable for Contractor’s failure to so. No additional compensation, over and above payment for the actual quantities at the prices set out in the Bid Form, will be allowed because of differences between actual measurements, dimension, elevations and quantities and those indicated on the Plans and in the Specifications. Any difference therein shall be submitted to the Engineer for consideration before proceeding with the Work. ARTICLE 18. PERMITS AND LICENSES A. City will apply and pay for the review of necessary encroachment permits for Work within the public rights-of-way. Contractor shall obtain all other necessary permits and licenses for the construction of the Project, including encroachment permits, and shall pay all fees required by law and shall comply with all laws, ordinances, rules and regulations relating to the Work and to the preservation of public health and safety. Before acceptance of the Project, the Contractor shall submit all licenses, permits, certificates of inspection and required approvals to the City. B. The Bid Form contains an allowance for the Contractor’s cost of acquiring traffic control permits and for construction inspection fees that may be charged to the Contractor by the Agency of Jurisdiction. The allowance is included within the Bid Form to eliminate the need by bidders to research or estimate the costs of traffic control permits and construction inspection fees prior to submitting a bid. The allowance is specifically intended to account for the costs of traffic control permits and construction inspection fees charged by the local Agency of Jurisdiction only. No other costs payable by Contractor to the Agency of Jurisdiction are included within the allowance. Payment by City to Contractor under the Permit and Inspection Allowance Bid Item shall be made based on actual cost receipts only and in accordance with the provisions of these specifications. ARTICLE 19. TRENCHES A. Trenches Five Feet or More in Depth. Contractor shall submit to the Engineer at the preconstruction meeting, a detailed plan showing the design of shoring, bracing, sloping or other provisions to be made for worker protection from hazards of caving ground during the excavation of any trench or trenches five feet or more in depth. If such plan varies from shoring system standards established by the Construction Safety Orders of the California Code of Regulations, Department of Industrial Relations, the plan shall be prepared by a California registered civil or structural engineer. The plan shall not be less effective than the shoring, bracing, sloping, or other provisions of the Construction Safety Orders, as defined in the California Code of Regulations. The Contractor shall designate in writing the “competent person” as defined in Title 8, California Code of Regulations, who shall be present at the Work Site each day that trenching/excavation is in progress. The “competent person” shall 61147.02100\34514883.2 -67- 00 72 13 – GENERAL CONDITIONS prepare and provide daily trenching/excavation inspection reports to the Engineer. Contractor shall also submit a copy of its annual California Occupational Safety and Health Administration (Cal/OSHA) trench/excavation permit. B. Excavations Deeper than Four Feet. If the Work involves excavating trenches or other excavations that extend deeper than four feet below the surface, Contractor shall promptly, and before the excavation is further disturbed, notify the City in writing of any of the following conditions: 1. Material that the Contractor believes may be material that is hazardous waste, as defined in section 25117 of the Health and Safety Code, that is required to be removed to a Class I, Class II, or Class III disposal site in accordance with provisions of existing law. 2. Subsurface or latent physical conditions at the site differing from those indicated. 3. Unknown physical conditions at the site of any unusual nature, different materially from those ordinarily encountered and generally recognized as inherent in work of the character provided for in the Contract The City shall promptly investigate the conditions, and if it finds that the conditions do so materially differ, or do involve hazardous waste, and cause a decrease or increase in Contractor’s cost of, or the time required for, performance of any part of the Work, shall issue a change order under the procedures described in the Contract Documents. In the event that a dispute arises between the City and the Contractor as to whether the conditions materially differ, or involve hazardous waste, or cause a decrease or increase in the Contractor’s cost of, or time required for, performance of any part of the Work, the Contractor shall not be excused from any scheduled completion date provided for by the Contract, but shall proceed with all Work to be performed under the Contract. Contractor shall retain any and all rights provided either by contract or by law which pertain to the resolution of disputes and protests between the parties. ARTICLE 20. TRAFFIC CONTROL A. Traffic control plan(s) for the Work will be required by the Agency(s) of Jurisdiction. Traffic control plans shall be prepared at Contractor’s expense, and traffic control shall be performed at Contractor’s expense in accordance with the requirements of the Agency(s) of Jurisdiction. The Permit and Inspection Allowance included within the Bid Form includes the cost of required traffic control permit(s) and construction inspection by the Agency(s) of Jurisdiction only. The Permit and Inspection Allowance does not include costs for preparation of any required traffic control plans, implementation of any traffic control requirements or for any traffic signal services that may be required. Costs for traffic control plans, implementation of traffic control, or traffic signal services required by the Agency(s) of Jurisdiction shall be included in the Contractor’s Bid. B. All warning signs and safety devices used by the Contractor to perform the Work shall conform to the requirements contained in the State of California, Department of Transportation’s current edition of “Manual of Traffic Controls for Construction and 61147.02100\34514883.2 -68- 00 72 13 – GENERAL CONDITIONS Maintenance Work Zones” or to the requirements of the local agency. The Contractor shall also be responsible for all traffic control required by the agency having jurisdiction over the project on the intersecting streets. Contractor must submit a traffic control plan to the agency having jurisdiction over the project for approval prior to starting work. C. The Contractor’s representative on the site responsible for traffic control shall produce evidence that he/she has completed training acceptable to the California Department of Transportation for safety through construction zones. All of the streets in which the Work will occur shall remain open to traffic and one lane of traffic maintained at all times unless otherwise directed by the agency of jurisdiction. Businesses and residences adjacent to the Work shall be notified forty-eight (48) hours in advance of closing of driveways. The Contractor shall make every effort to minimize the amount of public parking temporarily eliminated due to construction in areas fronting businesses. No stockpiles of pipe or other material will be allowed in traveled right-of- ways after working hours unless otherwise approved by the Engineer. ARTICLE 21. DIVERSION OF RECYCLABLE WASTE MATERIALS In compliance with the applicable City’s waste reduction and recycling efforts, Contractor shall divert all Recyclable Waste Materials to appropriate recycling centers as required for compliance with the local jurisdiction’s waste diversion ordinances. Contractor will be required to submit weight tickets and written proof of diversion with its monthly progress payment requests. Contractor shall complete and execute any certification forms required by City or other applicable agencies to document Contractor’s compliance with these diversion requirements. All costs incurred for these waste diversion efforts shall be the responsibility of the Contractor. ARTICLE 22. REMOVAL OF HAZARDOUS MATERIALS Should Contractor encounter material reasonably believed to be polychlorinated biphenyl (PCB) or other toxic wastes and hazardous materials which have not been rendered harmless at the Project site, the Contractor shall immediately stop work at the affected Project site and shall report the condition to the City in writing. The City shall contract for any services required to directly remove and/or abate PCBs and other toxic wastes and hazardous materials, if required by the Project site(s), and shall not require the Contractor to subcontract for such services. The Work in the affected area shall not thereafter be resumed except by written agreement of the City and Contractor. ARTICLE 23. SANITARY FACILITIES Contractor shall provide sanitary temporary toilet buildings and hand washing facilities for the use of all workers. All toilets and hand washing facilities shall comply with all applicable federal, state and local laws, codes, ordinances, and regulations. Toilets shall be kept supplied with toilet paper and shall have workable door fasteners. Toilets and hand washing facilities shall be serviced no less than once weekly and shall be present in a quantity of not less than 1 per 20 workers as required by Cal/OSHA regulations. The toilets and hand washing facilities shall be maintained in a sanitary condition at all times. Use of toilet and hand washing facilities in the Work under construction shall not be permitted. Any other Sanitary Facilities required by Cal/OSHA shall be the responsibility of the Contractor. 61147.02100\34514883.2 -69- 00 72 13 – GENERAL CONDITIONS ARTICLE 24. AIR POLLUTION CONTROL Contractor shall comply with all air pollution control rules, regulations, ordinances and statutes. All containers of paint, thinner, curing compound, solvent or liquid asphalt shall be labeled to indicate that the contents fully comply with the applicable material requirements. ARTICLE 25. LAYOUT AND FIELD ENGINEERING All field engineering required for laying out the Work and establishing grades for earthwork operations shall be furnished by the Contractor at its expense. ARTICLE 26. TESTS AND INSPECTIONS A. If the Contract Documents, the Engineer, or any instructions, laws, ordinances, or public authority requires any part of the Work to be tested or Approved, Contractor shall provide the Engineer at least two (2) working days’ notice of its readiness for observation or inspection. If inspection is by a public authority other than the City, Contractor shall promptly inform the City of the date fixed for such inspection. Required certificates of inspection (or similar) shall be secured by Contractor. Costs for City testing and City inspection shall be paid by the City. Costs of tests for Work found not to be in compliance shall be paid by the Contractor. B. If any Work is done or covered up without the required testing or approval, the Contractor shall uncover or deconstruct the Work, and the Work shall be redone after completion of the testing at the Contractor’s cost in compliance with the Contract Documents. C. Where inspection and testing are to be conducted by an independent laboratory or agency, materials or samples of materials to be inspected or tested shall be selected by such laboratory or agency, or by the City, and not by Contractor. All tests or inspections of materials shall be made in accordance with the commonly recognized standards of national organizations. D. In advance of manufacture of materials to be supplied by Contractor which must be tested or inspected, Contractor shall notify the City so that the City may arrange for testing at the source of supply. Any materials which have not satisfactorily passed such testing and inspection shall not be incorporated into the Work. E. If the manufacture of materials to be inspected or tested will occur in a plant or location greater than sixty (60) miles from the City, the Contractor shall pay for any excessive or unusual costs associated with such testing or inspection, including but not limited to excessive travel time, standby time and required lodging. F. Reexamination of Work may be ordered by the City. If so ordered, Work must be uncovered or deconstructed by Contractor. If Work is found to be in accordance with the Contract Documents, the City shall pay the costs of reexamination and reconstruction. If such work is found not to be in accordance with the Contract Documents, Contractor shall pay all costs. 61147.02100\34514883.2 -70- 00 72 13 – GENERAL CONDITIONS ARTICLE 27. PROTECTION OF WORK AND PROPERTY A. The Contractor shall be responsible for all damages to persons or property that occurs as a result of the Work. Contractor shall be responsible for the proper care and protection of all materials delivered and Work performed until completion and final Acceptance by the City. All Work shall be solely at the Contractor’s risk. Contractor shall adequately protect adjacent property from settlement or loss of lateral support as necessary. Contractor shall comply with all applicable safety laws and building codes to prevent accidents or injury to persons on, about, or adjacent to the Project site where Work is being performed. Contractor shall erect and properly maintain at all times, as required by field conditions and progress of work, all necessary safeguards, signs, barriers, lights, and watchmen for protection of workers and the public, and shall post danger signs warning against hazards created in the course of construction. B. In an emergency affecting safety of life or of work or of adjoining property, Contractor, without special instruction or authorization from the Engineer, is hereby permitted to act to prevent such threatened loss or injury; and Contractor shall so act, without appeal, if so authorized or instructed by the Engineer or the City. Any compensation claimed by Contractor on account of emergency work shall be determined by and agreed upon by the City and the Contractor. ARTICLE 28. CONTRACTOR’S MEANS AND METHODS Contractor is solely responsible for the means and methods utilized to perform the Work. In no case shall the Contractor’s means and methods deviate from commonly used industry standards. ARTICLE 29. AUTHORIZED REPRESENTATIVES The City shall designate representatives, who shall have the right to be present at the Project site at all times. The City may designate an inspector who shall have the right to observe all of the Contractor’s Work. The inspector shall not be responsible for the Contractor’s failure to carry out the Work in accordance with the Contract Documents. Contractor shall provide safe and proper facilities for such access. ARTICLE 30. HOURS OF WORK A. As provided in Article 3 (commencing at section 1810), Chapter 1, Part 7, Division 2 of the Labor Code, Contractor stipulates that eight (8) hours of labor shall constitute a legal day’s work. The time of service of any worker employed at any time by the Contractor or by any subcontractor on any subcontract under this Contract upon the Work or upon any part of the Work contemplated by this Contract is limited and restricted to eight (8) hours during any one calendar day and 40 hours during any one calendar week, except as hereinafter provided. Notwithstanding the provisions herein above set forth, work performed by employees of Contractor in excess of eight (8) hours per day, and 40 hours during any one week, shall be permitted upon this public work upon compensation for all hours worked in excess of eight (8) hours per day at not less than one and one-half times the basic rate of pay. B. The Contractor and every subcontractor shall keep an accurate record showing the name of and actual hours worked each calendar day and each calendar week by each 61147.02100\34514883.2 -71- 00 72 13 – GENERAL CONDITIONS worker employed in connection with the Work or any part of the Work contemplated by this Contract. The record shall be kept open at all reasonable hours to the inspection of the City and to the Division of Labor Law Enforcement, Department of Industrial Relations of the State of California. C. The Contractor shall pay to the City a penalty of twenty-five dollars ($25.00) for each worker employed in the execution of this Contract by the Contractor or by any subcontractor for each calendar day during which such worker is required or permitted to work more than eight (8) hours in any calendar day and 40 hours in any one calendar week in violation of the provisions of Article 3 (commencing at section 1810), Chapter 1, Part 7, Division 2 of the Labor Code. D. Any work necessary to be performed after regular working hours, or on Saturdays and Sundays or other holidays, shall be performed without additional expense to the City. E. City will provide inspection during normal working hours from 7:00 a.m. to 3:30 p.m. Monday through Friday. Inspection before or after this time will be charged to the Contractor as reimbursable inspection time. Inspections on weekends requires two days’ notice for review and approval. Upon written request and approval the 8.5 hour working day may be changed to other limits subject to city/county ordinance. F. It shall be unlawful for any person to operate, permit, use, or cause to operate any of the following at the Project site, other than between the hours of 7:00 a.m. to 5:00 p.m., Monday through Friday, with no Work allowed on the City-observed holidays, unless otherwise approved by the City: 1. Powered Vehicles 2. Construction Equipment 3. Loading and Unloading Vehicles 4. Domestic Power Tools ARTICLE 31. PAYROLL RECORDS; LABOR COMPLIANCE A. Pursuant to Labor Code section 1776, Contractor and all subcontractors shall maintain weekly certified payroll records, showing the names, addresses, Social Security numbers, work classifications, 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 them in connection with the Work under this Contract. Contractor shall certify under penalty of perjury that records maintained and submitted by Contractor are true and accurate. Contractor shall also require subcontractor(s) to certify weekly payroll records under penalty of perjury. B. In accordance with Labor Code section 1771.4, the Contractor and each subcontractor shall furnish the certified payroll records directly to the Department of Industrial Relations (“DIR”) on the specified interval and format prescribed by the DIR, which may include electronic submission. Contractor shall comply with all requirements and regulations from the DIR relating to labor compliance monitoring and enforcement. The requirement to submit certified payroll records directly to the Labor Commissioner 61147.02100\34514883.2 -72- 00 72 13 – GENERAL CONDITIONS under Labor Code section 1771.4 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Section 1771.4. C. Any stop orders issued by the Department of Industrial Relations against Contractor or any subcontractor that affect Contractor’s performance of Work, including any delay, shall be Contractor’s sole responsibility. Any delay arising out of or resulting from such stop orders shall be considered Contractor caused delay subject to any applicable liquidated damages and shall not be compensable by the City. Contractor shall defend, indemnify and hold the City, its officials, officers, employees and agents free and harmless from any claim or liability arising out of stop orders issued by the Department of Industrial Relations against Contractor or any subcontractor. D. The payroll records described herein shall be certified and submitted by the Contractor at a time designated by the City. The Contractor shall also provide the following: 1. A certified copy of the employee’s payroll records shall be made available for inspection or furnished to such employee or his or her authorized representative on request. 2. A certified copy of all payroll records described herein shall be made available for inspection or furnished upon request of the DIR. E. Unless submitted electronically, the certified payroll records shall be on forms provided by the Division of Labor Standards Enforcement (“DLSE”) of the DIR or shall contain the same information as the forms provided by the DLSE. F. Any copy of records made available for inspection as copies and furnished upon request to the public or any public agency, the City, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement shall be marked or obliterated in such a manner as to prevent disclosure of an individual's name, address and social security number. The name and address of the Contractor awarded the Contract or performing the contract shall not be marked or obliterated. G. In the event of noncompliance with the requirements of this Article, the Contractor shall have ten (10) calendar days in which to comply subsequent to receipt of written notice specifying in what respects the Contractor must comply with this Article. Should noncompliance still be evident after such 10-day period, the Contractor shall pay a penalty of one hundred dollars ($100.00) to the City 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, such penalties shall be withheld from progress payment then due. H. The responsibility for compliance with this Article shall rest upon the Contractor. ARTICLE 32. PREVAILING RATES OF WAGES A. The Contractor is aware of the requirements of Labor Code sections 1720 et seq. and 1770 et seq., as well as California Code of Regulations, Title 8, Section 16000 et seq. (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on certain “public works” and “maintenance” 61147.02100\34514883.2 -73- 00 72 13 – GENERAL CONDITIONS projects. Since this Project involves an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. The Contractor shall obtain a copy of the prevailing rates of per diem wages at the commencement of this Contract from the website of the Division of Labor Statistics and Research of the Department of Industrial Relations located at www.dir.ca.gov. In the alternative, the Contractor may view a copy of the prevailing rate of per diem wages which are on file at the City’s Administration Office and shall be made available to interested parties upon request. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification, or type of worker needed to perform work on the Project available to interested parties upon request, and shall post copies at the Contractor’s principal place of business and at the Project site. Contractor shall defend, indemnify and hold the City, its officials, officers, employees and authorized volunteers free and harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or allege failure to comply with the Prevailing Wage Laws. B. The Contractor shall forfeit as a penalty to the City not more than Two Hundred Dollars ($200.00), pursuant to Labor Code section 1775, for each calendar day, or portion thereof, for each worker paid less than the prevailing wage rate as determined by the Director of the Department of Industrial Relations for such work or craft in which such worker is employed for any public work done under the Contract by it or by any subcontractor under it. The difference between such prevailing wage rate 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, shall be paid to each worker by the Contractor. C. Contractor shall post, at appropriate conspicuous points on the Project site, a schedule showing all determined general prevailing wage rates and all authorized deductions, if any, from unpaid wages actually earned. ARTICLE 33. PUBLIC WORKS CONTRACTOR REGISTRATION Pursuant to Labor Code sections 1725.5 and 1771.1, the Contractor and its subcontractors must be registered with the Department of Industrial Relations prior to the execution of a contract to perform public works. By entering into this Contract, Contractor represents that it is aware of the registration requirement and is currently registered with the DIR. Contractor shall maintain a current registration for the duration of the Project. Contractor shall further include the requirements of Labor Code sections 1725.5 and 1771.1 in any subcontract and ensure that all subcontractors are registered at the time this Contract is entered into and maintain registration for the duration of the Project. Notwithstanding the foregoing, the contractor registration requirements mandated by Labor Code Sections 1725.5 and 1771.1 shall not apply to work performed on a public works project that is exempt pursuant to the small project exemption specified in Labor Code Sections 1725.5 and 1771.1. ARTICLE 34. EMPLOYMENT OF APPRENTICES A. Contractor and all subcontractors shall comply with the requirements of Labor Code sections 1777.5 and 1777.6 in the employment of apprentices. 61147.02100\34514883.2 -74- 00 72 13 – GENERAL CONDITIONS B. Information relative to apprenticeship standards, wage schedules, and other requirements may be obtained from the Director of Industrial Relations, ex officio the Administrator of Apprenticeship, San Francisco, California, or from the Division of Apprenticeship Standards and its branch offices. C. Knowing violations of Labor Code section 1777.5 will result in forfeiture not to exceed one hundred dollars ($100.00) for each calendar day of non-compliance pursuant to Labor Code section 1777.7. D. The responsibility for compliance with this Article shall rest upon the Contractor. ARTICLE 35. NONDISCRIMINATION/EQUAL EMPLOYMENT OPPORTUNITY Pursuant to Labor Code section 1735 and other applicable provisions of law, the Contractor and its subcontractors shall not discriminate against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex, age, sexual orientation, or any other classifications protected by law on this Project. The Contractor will take affirmative action to insure that employees are treated during employment or training without regard to their race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex, age, sexual orientation, or any other classifications protected by law. Employment Eligibility; Contractor. By executing this Contract, Contractor verifies that it fully complies with all requirements and restrictions of state and federal law respecting the employment of undocumented aliens, including, but not limited to, the Immigration Reform and Control Act of 1986, as may be amended from time to time. Such requirements and restrictions include, but are not limited to, examination and retention of documentation confirming the identity and immigration status of each employee of the Contractor. Contractor also verifies that it has not committed a violation of any such law within the five (5) years immediately preceding the date of execution of this Contract, and shall not violate any such law at any time during the term of the Contract. Contractor shall avoid any violation of any such law during the term of this Contract by participating in an electronic verification of work authorization program operated by the United States Department of Homeland Security, by participating in an equivalent federal work authorization program operated by the United States Department of Homeland Security to verify information of newly hired employees, or by some other legally acceptable method. Contractor shall maintain records of each such verification, and shall make them available to the City or its representatives for inspection and copy at any time during normal business hours. The City shall not be responsible for any costs or expenses related to Contractor’s compliance with the requirements provided for or referred to herein. Employment Eligibility; Subcontractors, Sub-subcontractors and Consultants. To the same extent and under the same conditions as Contractor, Contractor shall require all of its subcontractors, sub-subcontractors and consultants performing any part of the Work or of this Contract to make the same verifications and comply with all requirements and restrictions provided for herein. Employment Eligibility; Failure to Comply. Each person executing this Contract on behalf of Contractor verifies that he or she is a duly authorized officer of Contractor, and understands that any of the following shall be grounds for the City to terminate the Contract for cause: (1) failure of Contractor or its subcontractors, sub-subcontractors or consultants to meet any of the 61147.02100\34514883.2 -75- 00 72 13 – GENERAL CONDITIONS requirements provided for herein; (2) any misrepresentation or material omission concerning compliance with such requirements; or (3) failure to immediately remove from the Work any person found not to be in compliance with such requirements. ARTICLE 36. DEBARMENT OF CONTRACTORS AND SUBCONTRACTORS Contractors or subcontractors may not perform work on a public works project with a subcontractor who is ineligible to perform work on a public project pursuant to Labor Code section 1777.1 or 1777.7. Any contract on a public works project entered into between a contractor and a debarred subcontractor is void as a matter of law. A debarred subcontractor may not receive any public money for performing work as a subcontractor on a public works contract. Any public money that is paid, or may have been paid to a debarred subcontractor by a contractor on the project shall be returned to the City. The Contractor shall be responsible for the payment of wages to workers of a debarred subcontractor who has been allowed to work on the project. ARTICLE 37. LABOR/EMPLOYMENT SAFETY The Contractor shall comply with all applicable laws and regulations of the federal, state, and local government, including Cal/OSHA requirements and requirements for verification of employees’ legal right to work in the United States. The Contractor shall maintain emergency first aid treatment for his employees which complies with the Federal Occupational Safety and Health Act of 1970 (29 U.S.C. § 651 et seq.), and California Code of Regulations, Title 8, Industrial Relations Division 1, Department of Industrial Relations, Chapter 4. The Contractor shall ensure the availability of emergency medical services for its employees in accordance with California Code of Regulations, Title 8, Section 1512. The Contractor shall submit the Illness and Injury Prevention Program and a Project site specific safety program to the City prior to beginning Work at the Project site. Contractor shall maintain a confined space program that meets or exceeds the City Standards. Contractor shall adhere to the City’s lock out tag out program. ARTICLE 38. INSURANCE The Contractor shall obtain, and at all times during performance of the Work of Contract, maintain all of the insurance described in this Article. Contractor shall not commence Work under this Contract until it has provided evidence satisfactory to the City that it has secured all insurance required hereunder. Contractor shall not allow any subcontractor to commence work on any subcontract until it has provided evidence satisfactory to the City that the subcontractor has secured all insurance required under this Article. Failure to provide and maintain all required insurance shall be grounds for the City to terminate this Contract for cause. Contractor shall furnish City with original certificates of insurance and endorsements effective coverage required by this Contract on forms satisfactory to the City. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf, and shall be on forms acceptable to the City. All certificates and endorsements must be received and approved by the City before Work commences. A. Additional Insureds; Waiver of Subrogation. The City, its officials, officers, employees, agents and authorized volunteers shall be named as Additional Insureds on Contractor’s All Risk policy and on Contractor’s and its subcontractors’ policies of 61147.02100\34514883.2 -76- 00 72 13 – GENERAL CONDITIONS Commercial General Liability and Automobile Liability insurance using, for Contractor’s policy/ies of Commercial General Liability insurance, ISO CG forms 20 10 and 20 37 (or endorsements providing the exact same coverage, including completed operations), and, for subcontractors’ policies of Commercial General Liability insurance, ISO CG form 20 38 (or endorsements providing the exact same coverage). Notwithstanding the minimum limits set forth in this Contract for any type of insurance coverage, all available insurance proceeds in excess of the specified minimum limits of coverage shall be available to the parties required to be named as Additional Insureds hereunder. Contractor and its insurance carriers shall provide a Waiver of Subrogation in favor of those parties. B. Workers’ Compensation Insurance. The Contractor shall provide workers’ compensation insurance for all of the employees engaged in Work under this Contract, on or at the Site, and, in case of any sublet Work, the Contractor shall require the subcontractor similarly to provide workers’ compensation insurance for all the latter’s employees as prescribed by State law. Any class of employee or employees not covered by a subcontractor’s insurance shall be covered by the Contractor’s insurance. In case any class of employees engaged in work under this Contract, on or at the Site, is not protected under the Workers’ Compensation Statutes, the Contractor shall provide or shall cause a subcontractor to provide, adequate insurance coverage for the protection of such employees not otherwise protected. The Contractor is required to secure payment of compensation to his employees in accordance with the provisions of section 3700 of the Labor Code. The Contractor shall file with the City certificates of his insurance protecting workers. Company or companies providing insurance coverage shall be acceptable to the City, if in the form and coverage as set forth in the Contract Documents. C. Employer’s Liability Insurance. Contractor shall provide Employer’s Liability Insurance, including Occupational Disease, in the amount of at least one million dollars ($1,000,000.00) per person per accident. Contractor shall provide City with a certificate of Employer’s Liability Insurance. Such insurance shall comply with the provisions of the Contract Documents. The policy shall be endorsed, if applicable, to provide a Borrowed Servant/Alternate Employer Endorsement and contain a Waiver of Subrogation in favor of the City. D. Commercial General Liability Insurance. Contractor shall provide “occurrence” form Commercial General Liability insurance coverage at least as broad as the most current ISO CGL Form 00 01, including but not limited to, premises liability, contractual liability, products/completed operations, personal and advertising injury which may arise from or out of Contractor’s operations, use, and management of the Site, or the performance of its obligations hereunder. The policy shall not contain any exclusion contrary to this Contract including but not limited to endorsements or provisions limiting coverage for (1) contractual liability (including but not limited to ISO CG 24 26 or 21 39); or (2) cross-liability for claims or suits against one insured against another. Policy limits shall not be less than $5,000,000 per occurrence for bodily injury, personal injury and property damage. If Commercial General Liability Insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to this project/location or the general aggregate limit shall be $6,000,000. Defense costs shall be paid in addition to the limits. 61147.02100\34514883.2 -77- 00 72 13 – GENERAL CONDITIONS 1. Such policy shall comply with all the requirements of this Article. The limits set forth herein shall apply separately to each insured against whom claims are made or suits are brought, except with respect to the limits of liability. Further the limits set forth herein shall not be construed to relieve the Contractor from liability in excess of such coverage, nor shall it limit Contractor’s indemnification obligations to the City, and shall not preclude the City from taking such other actions available to the City under other provisions of the Contract Documents or law. 2. All general liability policies provided pursuant to the provisions of this Article shall comply with the provisions of the Contract Documents. 3. All general liability policies shall be written to apply to all bodily injury, including death, property damage, personal injury, owned and non-owned equipment, blanket contractual liability, completed operations liability, explosion, collapse, under-ground excavation, removal of lateral support, and other covered loss, however occasioned, occurring during the policy term, and shall specifically insure the performance by Contractor of that part of the indemnification contained in these General Conditions relating to liability for injury to or death of persons and damage to property. 4. If the coverage contains one or more aggregate limits, a minimum of 50% of any such aggregate limit must remain available at all times; if over 50% of any aggregate limit has been paid or reserved, the City may require additional coverage to be purchased by Contractor to restore the required limits. Contractor may combine primary, umbrella, and as broad as possible excess liability coverage to achieve the total limits indicated above. Any umbrella or excess liability policy shall include the additional insured endorsement described in the Contract Documents. 5. All policies of general liability insurance shall permit and Contractor does hereby waive any right of subrogation which any insurer of Contractor may acquire from Contractor by virtue of the payment of any loss. E. Automobile Liability Insurance. Contractor shall provide “occurrence” form Automobile Liability Insurance at least as broad as ISO CA 00 01 (Any Auto) in the amount of, at least, two million dollars ($2,000,000) per accident for bodily injury and property damage. Such insurance shall provide coverage with respect to the ownership, operation, maintenance, use, loading or unloading of any auto owned, leased, hired or borrowed by Contractor or for which Contractor is responsible, in a form and with insurance companies acceptable to the City. All policies of automobile insurance shall permit and Contractor does hereby waive any right of subrogation which any insurer of Contractor may acquire from Contractor by virtue of the payment of any loss. F. Builder’s Risk [“All Risk”] N/A 61147.02100\34514883.2 -78- 00 72 13 – GENERAL CONDITIONS G. Contractor’s Pollution Liability Coverage. Contractor shall provide pollution liability insurance in an amount not less than $1,000,000 per occurrence and $2,000,000 aggregate. H. Contractor shall require all tiers of sub-contractors working under this Contract to provide the insurance required under this Article unless otherwise agreed to in writing by City. Contractor shall make certain that any and all subcontractors hired by Contractor are insured in accordance with this Contract. If any subcontractor’s coverage does not comply with the foregoing provisions, Contractor shall indemnify and hold the City harmless from any damage, loss, cost, or expense, including attorneys’ fees, incurred by the City as a result thereof. ARTICLE 39. FORM AND PROOF OF CARRIAGE OF INSURANCE A. Any insurance carrier providing insurance coverage required by the Contract Documents shall be admitted to and authorized to do business in the State of California unless waived, in writing, by the City’s Risk Manager. Carrier(s) shall have an A.M. Best rating of not less than an A:VII. Insurance deductibles or self-insured retentions must be declared by the Contractor. At the election of the City the Contractor shall either 1) reduce or eliminate such deductibles or self-insured retentions, or 2) procure a bond which guarantees payment of losses and related investigations, claims administration, and defense costs and expenses. If umbrella or excess liability coverage is used to meet any required limit(s) specified herein, the Contractor shall provide a “follow form” endorsement satisfactory to the City indicating that such coverage is subject to the same terms and conditions as the underlying liability policy. B. Each insurance policy required by this Contract shall be endorsed to state that: (1) coverage shall not be suspended, voided, reduced or cancelled except after thirty (30) days prior written notice by certified mail, return receipt requested, has been given to the City; and (2) any failure to comply with reporting or other provisions of the policies, including breaches of warranties, shall not affect coverage provided to the City, its officials, officers, agents, employees, and volunteers. C. The Certificates(s) and policies of insurance shall contain or shall be endorsed to contain the covenant of the insurance carrier(s) that it shall provide no less than thirty (30) days written notice be given to the City prior to any material modification or cancellation of such insurance. In the event of a material modification or cancellation of coverage, the City may terminate the Contract or stop the Work in accordance with the Contract Documents, unless the City receives, prior to such effective date, another properly executed original Certificate of Insurance and original copies of endorsements or certified original policies, including all endorsements and attachments thereto evidencing coverage’s set forth herein and the insurance required herein is in full force and effect. Contractor shall not take possession, or use the Site, or commence operations under this Contract until the City has been furnished original Certificate(s) of Insurance and certified original copies of endorsements or policies of insurance including all endorsements and any and all other attachments as required in this Article. The original endorsements for each policy and the Certificate of Insurance shall be signed by an individual authorized by the insurance carrier to do so on its behalf. 61147.02100\34514883.2 -79- 00 72 13 – GENERAL CONDITIONS D. The Certificate(s) of Insurance, policies and endorsements shall so covenant and shall be construed as primary, and the City’s insurance and/or deductibles and/or self- insured retentions or self-insured programs shall not be construed as contributory. E. City reserves the right to adjust the monetary limits of insurance coverages during the term of this Contract including any extension thereof if, in the City’s reasonable judgment, the amount or type of insurance carried by the Contractor becomes inadequate. F. Contractor shall report to the City, in addition to the Contractor’s insurer, any and all insurance claims submitted by the Contractor in connection with the Work under this Contract. ARTICLE 40. TIME FOR COMPLETION AND LIQUIDATED DAMAGES A. Time for Completion/Liquidated Damages. Time is of the essence in the completion of the Work. Work shall be commenced within ten (10) Days of the date stated in the City’s Notice to Proceed and shall be completed by Contractor in the time specified in the Contract Documents. The City is under no obligation to consider early completion of the Project; and the Contract completion date shall not be amended by the City’s receipt or acceptance of the Contractor’s proposed earlier completion date. Furthermore, Contractor shall not, under any circumstances, receive additional compensation from the City (including but not limited to indirect, general, administrative or other forms of overhead costs) for the period between the time of earlier completion proposed by the Contractor and the Contract completion date. If the Work is not completed as stated in the Contract Documents, it is understood that the City will suffer damage. In accordance with Government Code section 53069.85, being impractical and infeasible to determine the amount of actual damage, it is agreed that Contractor shall pay to the City as fixed and liquidated damages, and not as a penalty, the sum stipulated in the Contract for each calendar day of delay until the Work is fully completed. Contractor and its surety shall be liable for any liquidated damages. Any money due or to become due the Contractor may be retained to cover liquidated damages. B. Inclement Weather. Contractor shall abide by the Engineer’s determination of what constitutes inclement weather. Time extensions for inclement weather shall only be granted when the Work stopped during inclement weather is on the critical path of the Project schedule. C. Extension of Time. Contractor shall not be charged liquidated damages because of any delays in completion of the Work due to unforeseeable causes beyond the control and without the fault or negligence of Contractor (or its subcontractors or suppliers). Contractor shall within five (5) Days of identifying any such delay notify the City in writing of causes of delay. The City shall ascertain the facts and extent of delay and grant extension of time for completing the Work when, in its judgment, the facts justify such an extension. Time extensions to the Project shall be requested by the Contractor as they occur and without delay. No delay claims shall be permitted unless the event or occurrence delays the completion of the Project beyond the Contract completion date. 61147.02100\34514883.2 -80- 00 72 13 – GENERAL CONDITIONS D. No Damages for Reasonable Delay. The City’s liability to Contractor for delays for which the City is responsible shall be limited to only an extension of time unless such delays were unreasonable under the circumstances. In no case shall the City be liable for any costs which are borne by the Contractor in the regular course of business, including, but not limited to, home office overhead and other ongoing costs. Damages caused by unreasonable City delay, including delays caused by items that are the responsibility of the City pursuant to Government Code section 4215, shall be based on actual costs only, no proportions or formulas shall be used to calculate any delay damages. ARTICLE 41. COST BREAKDOWN AND PERIODIC ESTIMATES Contractor shall furnish on forms Approved by the City: A. Within ten (10) Days of Notice to Proceed with the Contract, a detailed estimate giving a complete breakdown of the Contract price, if the Contract amount is a lump sum. B. A monthly itemized estimate of Work done for the purpose of making progress payments. In order for the City to consider and evaluate each progress payment application, the Contractor shall submit a detailed measurement of Work performed and a progress estimate of the value thereof before the tenth (10th) Day of the following month. C. Contractor shall submit, with each of its payment requests, an adjusted list of actual quantities, verified by the Engineer, for unit price items listed, if any, in the Bid Form. D. Following the City’s Acceptance of the Work, the Contractor shall submit to the City a written statement of the final quantities of unit price items for inclusion in the final payment request. E. The City shall have the right to adjust any estimate of quantity and to subsequently correct any error made in any estimate for payment. Contractor shall certify under penalty of perjury, that all cost breakdowns and periodic estimates accurately reflect the Work on the Project. ARTICLE 42. PROGRESS ESTIMATES AND PAYMENT A. By the tenth (10th) Day of the following calendar month, Contractor shall submit to Engineer a payment request which shall set forth in detail the value of the Work done for the period beginning with the date work was first commenced and ending on the end of the calendar month for which the payment request is prepared. Contractor shall include any amount earned for authorized extra work. From the total thus computed, a deduction shall be made in the amount of five percent (5%) for retention, except where the City has adopted a finding that the Work done under the Contract is substantially complex, and then the amount withheld as retention shall be the percentage specified in the Notice Inviting Bids. From the remainder a further deduction may be made in accordance with Section B below. The amount computed, less the amount withheld for retention and any amounts withheld as set forth below, shall be the amount of the Contractor’s payment request. 61147.02100\34514883.2 -81- 00 72 13 – GENERAL CONDITIONS B. The City may withhold a sufficient amount or amounts of any payment or payments otherwise due to Contractor, as in his judgment may be necessary to cover: 1. Payments which may be past due and payable for just claims against Contractor or any subcontractors for labor or materials furnished in and about the performance of work on the Project under this Contract. 2. Defective work not remedied. 3. Failure of Contractor to make proper payments to his subcontractor or for material or labor. 4. Completion of the Contract if there is a reasonable doubt that the Work can be completed for balance then unpaid. 5. Damage to another contractor or a third party. 6. Amounts which may be due the City for claims against Contractor. 7. Failure of Contractor to keep the record (“as-built”) drawings up to date. 8. Failure to provide update on construction schedule as required herein. 9. Site cleanup. 10. Failure to comply with Contract Documents. 11. Liquidated damages. 12. Legally permitted penalties. C. The City may apply such withheld amount or amounts to payment of such claims or obligations at its discretion with the exception of subsections (B)(1), (3), and (5) of this Article, which must be retained or applied in accordance with applicable law. In so doing, the City shall be deemed the agent of Contractor and any payment so made by the City shall be considered as a payment made under contract by the City to Contractor and the City shall not be liable to Contractor for such payments made in good faith. Such payments may be made without prior judicial determination of claim or obligations. The City will render Contractor a proper accounting of such funds disbursed on behalf of Contractor. D. Upon receipt, the Engineer shall review the payment request to determine whether it is undisputed and suitable for payment. If the payment request is determined to be unsuitable for payment, it shall be returned to Contractor as soon as practicable but not later than seven (7) Days after receipt, accompanied by a document setting forth in writing the reasons why the payment request is not proper. The City shall make the progress payment within 30 calendar days after the receipt of an undisputed and properly submitted payment request from Contractor, provided that a release of liens and claims has been received from the Contractor pursuant to Civil Code section 8132. The number of days available to the City to make a payment without incurring interest 61147.02100\34514883.2 -82- 00 72 13 – GENERAL CONDITIONS pursuant to this paragraph shall be reduced by the number of days by which the Engineer exceeds the seven (7) Day requirement. E. A payment request shall be considered properly executed if funds are available for payment of the payment request and payment is not delayed due to an audit inquiry by the financial officer of the City. ARTICLE 43. SECURITIES FOR MONEY WITHHELD Pursuant to section 22300 of the Public Contract Code of the State of California, Contractor may request the City to make retention payments directly to an escrow agent or may substitute securities for any money withheld by the City to ensure performance under the contract. At the request and expense of Contractor, securities equivalent to the amount withheld shall be deposited with the City or with a state or federally chartered bank as the escrow agent who shall return such securities to Contractor upon satisfactory completion of the contract. Deposit of securities with an escrow agent shall be subject to a written agreement substantially in the form provided in section 22300 of the Public Contract Code. ARTICLE 44. CHANGES AND EXTRA WORK. A. Contract Change Orders. 1. The City, without invalidating the Contract, may order changes in the Work consisting of additions, deletions or other revisions, and the Contract Price and Contract Time shall be adjusted accordingly. Except as otherwise provided herein, all such changes in the Work shall be authorized by Change Order, and shall be performed under the applicable conditions of the Contract Documents. A Change Order signed by the Contractor indicates the Contractor's agreement therewith, including any adjustment in the Contract Price or the Contract Time, and the full and final settlement of all costs (direct, indirect and overhead) related to the Work authorized by the Change Order. 2. Contractor shall promptly execute changes in the Work as directed in writing by the City even when the parties have not reached agreement on whether the change increases the scope of Work or affects the Contract Price or Contract Time. All claims for additional compensation to the Contractor shall be presented in writing. No claim will be considered after the Work in question has been done unless a written Change Order has been issued or a timely written notice of claim has been made by Contractor. 3. Whenever any change is made as provided for herein, such change shall be considered and treated as though originally included in the Contract, and shall be subject to all terms, conditions, and provisions of the original Contract. 4. Contractor shall not be entitled to claim or bring suit for damages, whether for loss of profits or otherwise, on account of any decrease or omission of any item or portion of Work to be done. 5. No dispute, disagreement, or failure of the parties to reach agreement on the terms of the Change Order shall relieve the Contractor from the obligation to proceed 61147.02100\34514883.2 -83- 00 72 13 – GENERAL CONDITIONS with performance of the work, including Additional Work, promptly and expeditiously. 6. Contractor shall make available to the City any of the Contractor’s documents related to the Project immediately upon request of the City, as set forth in Article 52. 7. Any alterations, extensions of time, Additional Work, or any other changes may be made without securing consent of the Contractor’s surety or sureties. B. Contract Price Change. 1. Process for Determining Adjustments in Contract Price. a. Owner Initiated Change. The Contractor must submit a complete cost proposal, including any change in the Contract Price or Contract Time, within seven (7) Days after receipt of a scope of a proposed change order initiated by the City, unless the City requests that proposals be submitted in less than seven (7) Days. b. Contractor Initiated Change. The Contractor must give written notice of a proposed change order required for compliance with the Contract Documents within seven (7) Days of discovery of the facts giving rise to the proposed change order. c. Whenever possible, any changes to the Contract amount shall be in a lump sum mutually agreed to by the Contractor and the City. d. Price quotations from the Contractor shall be accompanied by sufficiently detailed supporting documentation to permit verification by the City, including but not limited to estimates and quotations from subcontractors or material suppliers, as the City may reasonably request. Contractor shall certify the accuracy of all Change Order Requests under penalty of perjury. e. If the Contractor fails to submit a complete cost proposal within the seven (7) Day period (or as requested), the City has the right to order the Contractor in writing to commence the Work immediately on a time and materials basis and/or issue a lump sum change to the Contract Price and/or Contract Time in accordance with the City’s estimate. If the change is issued based on the City's estimate, the Contractor will waive its right to dispute the action unless within fifteen (15) Days following completion of the added/deleted work, the Contractor presents written proof that the City’s estimate was in error. 2. Unit Price Change Orders. a. When the actual quantity of a Unit Price item varies from the Bid Form, compensation for the change in quantity will be calculated by multiplying the actual quantity by the Unit Price. This calculation may result in either an additive or deductive Final Change Order pursuant to the Contract Documents. 61147.02100\34514883.2 -84- 00 72 13 – GENERAL CONDITIONS b. No Mark up for Overhead and Profit. Because the Contract Unit Prices provided in the Bid Form include Overhead and Profit as determined by Contractor at the time of Bid submission, no mark up or deduction for Overhead and Profit will be included in Unit Price Change Orders. c. Bid items included on the Bid Form may be deducted from the Work in their entirety without any negotiated extra costs. d. Contractor acknowledges that unit quantities are estimates and agrees that the estimated unit quantities listed on the Bid Form will be adjusted to reflect the actual unit quantities which may result in an adjustment to the Contract Unit Prices. Such an adjustment will be made by execution of a final additive or deductive Change Order following Contractor’s completion of the Work. Upon notification, Contractor’s failure to respond within seven (7) Days will result in City’s issuance of a unit quantity adjustment to the Contract Unit Prices and/or Contract Time in accordance with the Contract Documents. e. The City or Contractor may make a Claim for an adjustment in the Unit Price in accordance with the Contract Documents if: i. the quantity of any item of Unit Price Work performed by Contractor differs by twenty-five percent (25%) or more from the estimated quantity of such item indicated in the Contract; and ii. there is no corresponding adjustment with respect to any other item of Work; and iii. Contractor believes that Contractor is entitled to an increase in Unit Price as a result of having incurred additional expense or the City believes that the City is entitled to a decrease in Unit Price and the parties are unable to agree as to the amount of any such increase or decrease.. 3. Contractor shall incorporate the provisions of this Section into all agreements with Subcontractors. Compensation for Lump Sum Change Orders shall be limited to expenditures necessitated specifically by the Additional Work, and shall be according to the following: a. Overview. The Contractor will submit a properly itemized Lump Sum Change Order Proposal covering the Additional Work and/or the work to be deleted. This proposal will be itemized for the various components of the Additional Work and segregated by labor, material, and equipment in a detailed format satisfactory to the City. The City will require itemized change orders on all change order proposals from the Contractor, subcontractors, and sub- subcontractors regardless of tier. Details to be submitted will include detailed line item estimates showing detailed materials quantity take-offs, material prices by item and related labor hour pricing information and extensions (by line item or by drawing as applicable). b. Labor. The costs of labor will be the actual cost for wages prevailing locally for each craft or type of worker at the time the Additional Work is done, plus 61147.02100\34514883.2 -85- 00 72 13 – GENERAL CONDITIONS employer payments of payroll taxes and insurance, health and welfare, pension, vacation, apprenticeship funds, and other direct costs resulting from Federal, State or local laws, as well as assessment or benefits required by lawful collective bargaining agreements. The use of a labor classification which would increase the Additional Work cost will not be permitted unless the Contractor establishes the necessity for such new classifications. Labor costs for equipment operators and helpers shall be reported only when such costs are not included in the invoice for equipment rental. Estimated labor hours must only include hours for those workmen and working foremen directly involved in performing the change order work. Supervision above the level of working foremen (such as general foremen, superintendent, project manager, etc.) is considered to be included in the markup percentages as outlined below. Note that no separate allowances for warranty expense will be allowed as a direct cost of a change order. Costs attributed to warranty expenses will be considered to be covered by the markup. c. Labor Burden. Labor burden allowable in change orders shall be defined as employer's net actual cost of payroll taxes (FICA, Medicare, SUTA, FUTA), net actual cost for employer's cost of union benefits (or other usual and customary fringe benefits if the employees are not union employees), and net actual cost to employer for worker's compensation insurance taking into consideration adjustments for experience modifiers, premium discounts, dividends, rebates, expense constants, assigned risk pool costs, net cost reductions due to policies with deductibles for self-insured losses, assigned risk rebates, etc. Contractor shall reduce their standard payroll tax percentages to properly reflect the effective cost reduction due to the estimated impact of the annual maximum wages subject to payroll taxes. An estimated percentage for labor burden may be used for pricing change orders. However, the percentage used for labor burden to price change orders will be examined at the conclusion of the Project and an adjustment to the approved change orders will be processed if it is determined that the actual labor burden percentage should have been more or less than the estimated percentage used. d. Materials. The cost of materials reported shall be at invoice or lowest current price at which such materials are locally available in the quantities involved, plus sales tax, freight, and delivery. Materials costs shall be based upon supplier or manufacturer’s invoice. If invoices or other satisfactory evidence of cost are not furnished within fifteen (15) Days of delivery, then the City shall determine the materials cost, at its sole discretion. Estimated material change order costs shall reflect the Contractor's reasonably anticipated net actual cost for the purchase of the material needed for the change order work. Estimated material costs shall reflect cost reductions available to the Contractor due to “non-cash” discounts, trade discounts, free material credits, and/or volume rebates. “Cash” discounts (i.e., prompt payment discounts of 2% or less) available on material purchased for change order work shall be credited to the City if the Contractor is provided the City funds in time for Contractor to take advantage of any such “cash” discounts. The portion of any “cash” discounts greater than 2% will not be considered “non-cash” discount for purposes of this provision. Price quotations from material suppliers must be itemized with unit 61147.02100\34514883.2 -86- 00 72 13 – GENERAL CONDITIONS prices for each specific item to be purchased. "Lot pricing" quotations will not be considered sufficient substantiating detail. e. Tool and Equipment Use. Costs for the use of small tools, which are tools that have a replacement value of $1,000 or less, shall be considered included in the Overhead and Profit mark-ups established below. Allowable change order estimated costs may include appropriate amounts for rental of major equipment specifically needed to perform the change order work (defined as tools and equipment with an individual purchase cost of more than $750). For Contractor owned equipment, the "bare" equipment rental rates allowed to be used for pricing change order proposals shall be 75% of the monthly rate listed in the most current publication of The AED Green Book divided by 176 to arrive at a maximum hourly rate to be applied to the hours the equipment is used performing the change order work. Further, for Contractor owned equipment, the aggregate equipment rent charges for any single piece of equipment used in all change order work shall be limited to 50% of the fair market value of the piece of equipment when the first change order is priced involving usage of the piece of equipment. Fuel necessary to operate the equipment will be considered as a separate direct cost associated with the change order work. f. Maximum Markup Percentage Allowable on Self-Performed Work. With respect to pricing change orders, the maximum markup percentage to be paid to any Contractor or subcontractor (regardless of tier) on self-performed work shall be a single markup percentage not-to-exceed fifteen percent (15%) of the net direct cost of (1) direct labor and allowable labor burden costs applicable to the change in the Work; (2) the net cost of material and installed equipment incorporated into the change in the Work, and (3) net rental cost of major equipment and related fuel costs necessary to complete the change in the Work. The markup computed using the above formula shall be considered to be allocated 2/3 to cover applicable overhead costs directly attributable to the field overhead costs related to processing, supervising and performing, the change order work, and the remaining 1/3 to cover home office overhead costs and profit g. Maximum Markup Percentages Allowable on Work Performed by Lower Tier Subcontractors. With respect to pricing the portion of change order proposals involving Work performed by lower tier contractors, the maximum markup percentage allowable to the Contractor or subcontractor supervising the lower tier subcontractor's work shall not exceed five percent (5%) of the net of all approved change order work performed by all subcontractors combined for any particular change order proposal. The markup computed using the above formula shall be considered to be allocated 2/3 to cover applicable overhead costs directly attributable to the field overhead costs related to processing, supervising and performing the change order work, and the remaining 1/3 to cover home office overhead costs and profit. h. No Markup on Bonds and Liability Insurance Costs. Change order cost adjustments due to increases or decreases in bond or insurance costs (if applicable) shall not be subject to any markup. 61147.02100\34514883.2 -87- 00 72 13 – GENERAL CONDITIONS i. Direct and Indirect Costs Covered by Markup Percentages. As a further clarification, the agreed upon markup percentage set forth above is intended to cover the Contractor's profit and all indirect costs associated with the change order work. Items intended to be covered by the markup percentage include, but are not limited to: home office expenses, branch office and field office overhead expense of any kind, project management, superintendents, general foremen, estimating, engineering, coordinating, expediting, purchasing, detailing, legal, accounting, data processing or other administrative expenses, shop drawings, permits, auto insurance and umbrella insurance, pick-up truck costs, and warranty expense costs. The cost for the use of small tools is also to be considered covered by the markup percentage established above. Small tools shall be defined as tools and equipment (power or non-power) with an individual purchase cost of less than $750. j. Deduct Change Orders and Net Deduct Changes. The application of the markup percentages referenced above will apply to both additive and deductive change orders. In the case of a deductive change order, the credit will be computed by applying the sliding scale percentages as outlined above so that a deductive change order would be computed in the same manner as an additive change order. In those instances where a change involves both additive and deductive work, the additions and deductions will be netted and the markup percentage adjustments will be applied to the net amount. k. Contingency. In no event will any lump sum or percentage amounts for "contingency" be allowed to be added as a separate line item in change order estimates. Unknowns attributable to labor hours will be accounted for when estimating labor hours anticipated performing the work. Unknowns attributable to material scrap and waste will be estimated as part of material costs. l. Insurance and Bonds. In the event the Contractor has been required to furnish insurance and/or bonds as part of the base contract price, a final contract change order will be processed to account for the Contractor's net increase or decrease in insurance costs and/or bond premium costs associated with change orders to Contractor's base Contract Price. 4. Time and Materials Change Orders. a. General. The term Time and Materials means the sum of all costs reasonably and necessarily incurred and paid by Contractor for labor, materials, and equipment in the proper performance of Additional Work. Except as otherwise may be agreed to in writing by the City, such costs shall be in amounts no higher than those prevailing in the locality of the Project, and shall include only the following items. b. Timely and Final Documentation. i. T&M Daily Sheets. Contractor must submit timesheets, materials invoices, records of equipment hours, and records of rental equipment hours to the City’s Representative for an approval signature each day Additional Work is performed. Failure to get the City’s Representative’s approval signature 61147.02100\34514883.2 -88- 00 72 13 – GENERAL CONDITIONS each Day shall result in a waiver of Contractor’s right to claim these costs. The City’s Representative’s signature on time sheets only serves as verification that the Work was performed and is not indicative of City’s agreement to Contractor’s entitlement to the cost. ii. T&M Daily Summary Sheets. All documentation of incurred costs (“T&M Daily Summary Sheets”) shall be submitted by Contractor within three (3) Days of incurring the cost for labor, material, equipment, and special services as Additional Work is performed. Contractor’s actual costs shall be presented in a summary table in an electronic spreadsheet file by labor, material, equipment, and special services. Each T&M Daily Summary Sheet shall include Contractor’s actual costs incurred for the Additional Work performed that day and a cumulative total of Contractor’s actual costs incurred for the Additional Work. Contractor’s failure to provide a T&M Daily Summary Sheet showing a total cost summary within three (3) Days but within five (5) Days of performance of the Work will result in the Contractor’s otherwise allowable overhead and profit being reduced by 50% for that portion of Additional Work which was not documented in a timely manner. Contractor’s failure to submit the T&M Daily Summary Sheet within five (5) Days of performance of the Work will result in a total waiver of Contractor’s right to claim these costs. iii. T&M Total Cost Summary Sheet. Contractor shall submit a T&M Total Cost Summary Sheet, which shall include total actual costs, within seven (7) Days following completion of City approved Additional Work. Contractor’s total actual cost shall be presented in a summary table in an electronic spreadsheet file by labor, material, equipment, and special services. Contractor’s failure to submit the T&M Total Cost Summary Sheet within seven (7) Days of completion of the Additional Work will result in Contractor’s waiver for any reimbursement of any costs associated with the T&M Summary Sheets or the performance of the Additional Work. c. Labor. The Contractor will be paid the cost of labor for the workers used in the actual and direct performance of the Work. The cost of labor will be the sum of the actual wages paid (which shall include any employer payments to or on behalf of the workers for health and welfare, pension, vacation, and similar purposes) substantiated by timesheets and certified payroll for wages prevailing for each craft or type of workers performing the Additional Work at the time the Additional Work is done, and the labor surcharge set forth in the Department of Transportation publication entitled Labor Surcharge and Equipment Rental Rates, which is in effect on the date upon which the Work is accomplished and which is a part of the Contract. The labor surcharge shall constitute full compensation for all payments imposed by Federal, State, or local laws and for all other payments made to, or on behalf of, the workers, other than actual wages. i. Equipment Operator Exception. Labor costs for equipment operators and helpers shall be paid only when such costs are not included in the invoice for equipment rental. 61147.02100\34514883.2 -89- 00 72 13 – GENERAL CONDITIONS ii. Foreman Exception. The labor costs for foremen shall be proportioned to all of their assigned work and only that applicable to the Additional Work shall be paid. Indirect labor costs, including, without limitation, the superintendent, project manager, and other labor identified in the Contract Documents will be considered Overhead. d. Materials. The cost of materials reported shall be itemized at invoice or lowest current price at which materials are locally available and delivered to the Project site in the quantities involved, plus the cost of sales tax, freight, delivery, and storage. i. Trade discounts available to the purchaser shall be credited to the City notwithstanding the fact that such discounts may not have been taken by Contractor. ii. For materials secured by other than a direct purchase and direct billing to the purchaser, the cost shall be deemed to be the price paid to the actual supplier as determined by the City’s Representative. iii. Payment for materials from sources owned wholly or in part by the purchaser shall not exceed the price paid by the purchaser for similar materials from said sources on Additional Work items or the current wholesale price for such materials delivered to the Project site, whichever price is lower. iv. If, in the opinion of the City’s Representative, the cost of materials is excessive, or Contractor does not furnish satisfactory evidence of the cost of such materials, then the cost shall be deemed to be the lowest current wholesale price for the total quantity concerned delivered to the Project site less trade discounts. v. The City reserves the right to furnish materials for the Additional Work and no Claim shall be allowed by Contractor for costs of such materials or Indirect Costs or profit on City furnished materials. e. Equipment. i. Rental Time. The rental time to be paid for equipment on the Project site shall be the time the equipment is in productive operation on the Additional Work being performed and, in addition, shall include the time required to move the equipment to the location of the Additional Work and return it to the original location or to another location requiring no more time than that required to return it to its original location; except that moving time will not be paid if the equipment is used on other than the Additional Work, even though located at the site of the Additional Work. (a) Rental Time Not Allowed. Rental time will not be allowed while equipment is inoperative due to breakdowns. (b) Computation Method. The following shall be used in computing the rental time of equipment on the Project site. 61147.02100\34514883.2 -90- 00 72 13 – GENERAL CONDITIONS (i) When hourly rates are paid, any part of an hour less than 30 minutes of operation shall be considered to be 1/2-hour of operation, and any part of an hour in excess of 30 minutes will be considered one hour of operation. (ii) When daily rates are paid, any part of a day less than 4 hours operation shall be considered to be 1/2-day of operation, and any part of an hour in excess of 4 hours will be considered one day of operation. ii. Rental Rates. Contractor will be paid for the use of equipment at the lesser of (i) the actual rental rate, or (ii) the rental rate listed for that equipment in the California Department of Transportation publication entitled Labor Surcharge and Equipment Rental Rates, which is in effect on the date upon which the Contract was executed. Such rental rates will be used to compute payments for equipment whether the equipment is under Contractor’s control through direct ownership, leasing, renting, or another method of acquisition. The rental rate to be applied for use of each item of equipment shall be the rate (i.e., daily, monthly) resulting in the least total cost to the City for the total period of use. If it is deemed necessary by Contractor to use equipment not listed in the publication, an equitable rental rate for the equipment will be established by the City’s Representative. Contractor may furnish cost data which might assist the City’s Representative in the establishment of the rental rate. iii. Contractor-Owned Equipment. (a) For Contractor-owned equipment, the allowed equipment rental rate will be limited to the monthly equipment rental rate using a utilization rate of 173 hours per month. (b) For Contractor-owned equipment, the rental time to be paid for equipment on the Site shall be the time the equipment is in productive operation, unless, in the instance of standby time, the equipment could be actively used by Contractor on another project, then City shall pay for the entirety of the time the equipment is on Site. It shall be Contractor’s burden to demonstrate to the City that the equipment could be actively used on another project. iv. All equipment shall, in the opinion of the City’s Representative, be in good working condition and suitable for the purpose for which the equipment is to be used. v. Before construction equipment is used on the Additional Work, Contractor shall plainly stencil or stamp an identifying number thereon at a conspicuous location, and shall furnish to the City’s Representative, in duplicate, a description of the equipment and its identifying number and the scheduled Additional Work activities planned. 61147.02100\34514883.2 -91- 00 72 13 – GENERAL CONDITIONS vi. Unless otherwise specified, manufacturer’s rating and manufacturer approved modifications shall be used to classify equipment for the determination of applicable rental rates. Equipment which has no direct power unit shall be powered by a unit of at least the minimum rating recommended by the manufacturer. f. Special Services. Special work or services are defined as that Additional Work characterized by extraordinary complexity, sophistication, or innovation or a combination of the foregoing attributes which are unique to the construction industry. i. Invoices for Special Services. When the City’s Representative and Contractor determine that a special service is required which cannot be performed by the forces of Contractor or those of any of its Subcontractors, the special service may be performed by an entity especially skilled in the Additional Work. Invoices for special services based upon the current fair market value thereof may be accepted without complete itemization of labor, material, and equipment rental costs, after validation of market values by the City’s Representative. ii. Discount and Allowance. All invoices for special services will be adjusted by deducting all trade discounts offered or available, whether the discounts were taken or not. In lieu of Overhead and Profit specified herein, a total allowance not to exceed fifteen percent (15%) for Overhead and Profit will be added to invoices for Special Services. iii. When the City determines, in its sole discretion, that competitive bidding is necessary for certain special services, Contractor shall solicit competitive bids for those special services. g. Excluded Costs. The term Time and Material shall not include any of the following costs or any other home or field office overhead costs, all of which are to be considered administrative costs covered by Contractor’s allowance for Overhead and Profit. i. Overhead Cost. Payroll costs and other compensation of Contractor’s officers, executives, principals, general managers, engineers, architects, estimators, attorneys, auditors, accountants, purchasing and contracting agents, timekeepers, clerks, and other personnel employed by Contractor whether at the Site or in Contractor’s principal office or any branch office, material yard, or shop for general administration of the Additional Work; ii. Office Expenses. Expenses of Contractor’s principal and branch offices; iii. Capital Expenses. Any part of Contractor’s capital expenses, including interest on Contractor’s capital employed for the Additional Work and charges against Contractor for delinquent payments; iv. Negligence. Costs due to the negligence of Contractor or any Subcontractor or Supplier, or anyone directly or indirectly employed by any 61147.02100\34514883.2 -92- 00 72 13 – GENERAL CONDITIONS of them or for whose acts any of them may be liable, including without limitation the correction of Defective Work, disposal of materials or equipment wrongly supplied, and making good any damage to property; v. Other. Other overhead or general expense costs of any kind and the cost of any item not specifically and expressly included in the Contract Documents; vi. Small Tools. Cost of small tools valued at less than $1,000 and that remain the property of Contractor; vii. Administrative Costs. Costs associated with the preparation of Change Orders (whether or not ultimately authorized), cost estimates, or the preparation or filing of Claims; viii. Anticipated Lost Profits. Expenses of Contractor associated with anticipated lost profits or lost revenues, lost income or earnings, lost interest on earnings, or unpaid retention; ix. Home Office Overhead. Costs derived from the computation of a “home office overhead” rate by application of the Eichleay, Allegheny, burden fluctuation, or other similar methods; x. Special Consultants and Attorneys. Costs of special consultants or attorneys, whether or not in the direct employ of Contractor, employed for services specifically related to the resolution of a Claim, dispute, or other matter arising out of or relating to the performance of the Additional Work. h. Overhead, Profit and Other Charges. The mark-up for overhead (including supervision) and profit on work added to the Contract shall be according to the following: i. “Net Cost” is defined as consisting of costs of labor, materials, and tools and equipment only excluding overhead and profit. The costs of applicable insurance and bond premium will be reimbursed to the Contractor and subcontractors at cost only, without mark-up. Contractor shall provide City with documentation of the costs, including, but not limited to, payroll records, invoices, and such other information as City may reasonably request. ii. For Work performed by the Contractor’s forces, the added cost for overhead and profit shall not exceed fifteen percent (15%) of the Net Cost of the Work. iii. For Work performed by a subcontractor, the added cost for overhead and profit shall not exceed fifteen percent (15%) of the subcontractor’s Net Cost of the Work to which the Contractor may add five percent (5%) of the subcontractor’s Net Cost. iv. For Work performed by a sub-subcontractor, the added cost for overhead and profit shall not exceed fifteen percent (15%) of the sub-subcontractor’s 61147.02100\34514883.2 -93- 00 72 13 – GENERAL CONDITIONS Net Cost for Work to which the subcontractor and general contractor may each add an additional five percent (5%) of the Net Cost of the lower tier subcontractor. v. No additional mark-up will be allowed for lower tier subcontractors, and in no case shall the added cost for overhead and profit payable by City exceed twenty-five percent (25%) of the Net Cost as defined herein, of the party that performs the Work. 5. All of the following costs are included in the markups for overhead and profit described above, and Contractor shall not receive any additional compensation for: Submittals, drawings, field drawings, Shop Drawings, including submissions of drawings; field inspection; General Superintendence; General administration and preparation of cost proposals, schedule analysis, Change Orders, and other supporting documentation; computer services; reproduction services; Salaries of project engineer, superintendent, timekeeper, storekeeper, and secretaries; Janitorial services; Small tools, incidentals and consumables; Temporary On-Site facilities (Offices, Telephones, High Speed Internet Access, Plumbing, Electrical Power, Lighting; Platforms, Fencing, Water), Jobsite and Home office overhead or other expenses; vehicles and fuel used for work otherwise included in the Contract Documents; Surveying; Estimating; Protection of Work; Handling and disposal fees; Final Cleanup; Other Incidental Work; Related Warranties; insurance and bond premiums. 6. For added or deducted Work by subcontractors, the Contractor shall furnish to the City the subcontractor’s signed detailed record of the cost of labor, material and equipment, including the subcontractor markup for overhead and profit. The same requirement shall apply to sub-subcontractors 7. For added or deducted work furnished by a vendor or supplier, the Contractor shall furnish to the City a detailed record of the cost to the Contractor, signed by such vendor or supplier. 8. Any change in the Work involving both additions and deletions shall indicate a net total cost, including subcontracts and materials. Allowance for overhead and profit, as specified herein, shall be applied if the net total cost is an increase in the Contract Price; overhead and profit allowances shall not be applied if the net total cost is a deduction to the Contract Price. The estimated cost of deductions shall be based on labor and material prices on the date the Contract was executed. 9. Contractor shall not reserve a right to assert impact costs, extended job site costs, extended overhead, constructive acceleration and/or actual acceleration beyond what is stated in the Change Order for Work. No claims shall be allowed for impact, extended overhead costs, constructive acceleration and/or actual acceleration due to a multiplicity of changes and/or clarifications. The Contractor may not change or modify the City’s change order form in an attempt to reserve additional rights. 10. If the City disagrees with the proposal submitted by Contractor, it will notify the Contractor and the City will provide its opinion of the appropriate price and/or time extension. If the Contractor agrees with the City, a Change Order will be issued 61147.02100\34514883.2 -94- 00 72 13 – GENERAL CONDITIONS by the City. If no agreement can be reached, the City shall have the right to issue a unilateral Change Order setting forth its determination of the reasonable additions or savings in costs and time attributable to the extra or deleted work. Such determination shall become final and binding if the Contractor fails to submit a claim in writing to the City within fifteen (15) Days of the issuance of the unilateral Change Order, disputing the terms of the unilateral Change Order, and providing such supporting documentation for its position as the City may require. C. Change of Contract Times. 1. The Contract Times may only be changed by a Change Order. 2. All changes in the Contract Price and/or adjustments to the Contract Times related to each change shall be included in Contractor’s COR pursuant to this Article. No cost or time will be allowed for cumulative effects of multiple changes. All Change Orders must state that the Contract Time is not changed or is either increased or decreased by a specific number of days. Failure to include a change to time shall waive any change to the time unless the parties mutually agree in writing to postpone a determination of the change to time resulting from the Change Order. 3. Notice of the amount of the request for adjustment in the Contract Times with supporting data shall be delivered within seven (7) Days after such start of occurrence. No extension of time or additional compensation shall be given for a delay if the Contractor failed to give notice in the manner and within the time prescribed. 4. City may elect, at City’s sole discretion, to grant an extension in Contract Times, without Contractor’s request, because of delays or other factors. 5. Use of Float and Critical Path. a. Float is for the benefit of the Project. Float shall not be considered for the exclusive use or benefit of either the City or the Contractor. b. Any difference in time between the Contractor’s early completion and the Contract Time shall be considered a part of the Project float. Contractor shall not be entitled to compensation, and City will not compensate Contractor, for delays which impact early completion. 6. Contractor’s entitlement to an extension of the Contract Times is limited to a City- caused extension of the critical path, reduced by the Contractor’s concurrent delays, and established by a proper time impact analysis. No time extension shall be allowed unless, and then only to the extent that, the City-caused delay extends the critical path beyond the previously approved Contract Time. a. Contractor shall not be entitled to an adjustment in the Contract Price or Contract Times for delays within the control of Contractor. Delays attributable to and within the control of a Subcontractor or Supplier shall be deemed to be delays within the control of Contractor. 61147.02100\34514883.2 -95- 00 72 13 – GENERAL CONDITIONS b. If Contractor is delayed or otherwise impacted in the performance or progress of the Work by fire, flood, epidemic, pandemic, abnormal weather conditions (as determined by the City), Acts of God, acts or failures to act of utility owners not under the control of City, or other causes not the fault of and beyond control of City and Contractor, then Contractor shall be entitled to an time extension when the Work impacted is on the critical path. Such a non-compensable adjustment to the Contract Time shall be Contractor’s sole and exclusive remedy for such events. Contractor must submit a timely request in accordance with the requirements of this Article. c. Utility-Related Delays. i. Contractor shall immediately notify in writing the utility owner and City’s Representative of its construction schedule and any subsequent changes in the construction schedule which will affect the time available for protection, removal, or relocation of utilities. Requests for extensions of time arising out of utility relocation or repair delays shall be filed in accordance with this Article. ii. Contractor shall not be entitled to damages or additional payment for delays attributable to utility relocations or alterations if correctly located, as noted in the Contract Documents or by the Underground Service Alert survey. 7. Content for Requests for Contract Extension. Contractor’s justification for entitlement shall be clear and complete citing specific Contract Document references and reasons on which Contractor’s entitlement is based. At a minimum, each request for a time extension must include: a. Each request for an extension of Contract Time must identify the impacting event, in narrative form, providing a description of the delay event and sufficient justification as to why the Contractor is entitled to a time extension. Contractor must demonstrate that the delay arises from unforeseeable causes beyond the control and without the fault or negligence of both Contractor and any Subcontractors or Suppliers, or any other persons or organizations employed by any of them or for whose acts any of them may be liable, and that such causes in fact lead to performance or completion of the Work, or specified part in question, beyond the corresponding Contract Times, despite Contractor’s reasonable and diligent actions to guard against those effects. b. Each request for an extension of Contract Time must include a time impact analysis in CPM format, using the Contemporaneous Impacted As-Planned Schedule Analysis to calculate the impact of the delay event. 8. No Damages for Reasonable Delay. a. City’s liability to Contractor for delays for which City is responsible shall be limited to only an extension of time unless such delays were unreasonable under the circumstances. In no case shall City be liable for any costs which 61147.02100\34514883.2 -96- 00 72 13 – GENERAL CONDITIONS are borne by the Contractor in the regular course of business, including, but not limited to, home office overhead and other ongoing costs. b. Damages caused by unreasonable City delay that impact the critical path, including delays caused by items that are the responsibility of the City pursuant to Government Code section 4215, shall be compensated at the Daily Rate established in the Special Conditions. No other calculations, proportions or formulas shall be used to calculate any delay damages. c. City and City’s Representative, and the officers, members, partners, employees, agents, consultants, or subcontractors of each of them, shall not be liable to Contractor for any claims, costs, losses, or damages (including but not limited to all fees and charges of engineers, architects, attorneys, and other professionals and all court or arbitration or other dispute resolution costs) sustained by Contractor on or in connection with any other project or anticipated project. 9. Contractor’s failure, neglect, or refusal to comply with the requirements of the Contract Documents, or any portion thereof, shall bar Contractor’s request for extensions of the Contract Times. Such failure, neglect, or refusal prejudices City’s and City’s Representative’s ability to recognize and mitigate delay, and such failure, neglect, or refusal prevent the timely analysis of requests for extensions of Contract Times, and whether such extensions may be warranted. Contractor hereby waives all rights to extensions of Contract Times due to delays or accelerations that result from or occur during periods of time for which Contractor fails, neglects, or refuses to fully comply with the requirements of this Article. ARTICLE 45. FINAL ACCEPTANCE AND PAYMENT A. The acceptance of the Work on behalf of the City will be made by the Engineer. Such acceptance by the City shall not constitute a waiver of defects. When the Work has been accepted there shall be paid to Contractor a sum equal to the contract price less any amounts previously paid Contractor and less any amounts withheld by the City from Contractor under the terms of the contract. The final five percent (5%), or the percentage specified in the notice inviting bids where the City has adopted a finding of substantially complete, shall not become due and payable until five (5) calendar days shall have elapsed after the expiration of the period within which all claims may be filed under the provisions of Civil Code section 9356. If the Contractor has placed securities with the City as described herein, the Contractor shall be paid a sum equal to one hundred percent (100%) of the contract price less any amounts due the City under the terms of the Contract. B. Unless Contractor advises the City in writing prior to acceptance of the final five percent (5%) or the percentage specified in the notice inviting bids where the City has adopted a finding of substantially complete, or the return of securities held as described herein, said acceptance shall operate as a release to the City of all claims and all liability to Contractor for all things done or furnished in connection with this work and for every act of negligence of the City and for all other claims relating to or arising out of this work. If Contractor advises the City in writing prior to acceptance of final payment or return of the securities that there is a dispute regarding the amount due 61147.02100\34514883.2 -97- 00 72 13 – GENERAL CONDITIONS the Contractor, the City may pay the undisputed amount contingent upon the Contractor furnishing a release of all undisputed claims against the City with the disputed claims in stated amounts being specifically excluded by Contractor from the operation of the release. No payments, however, final or otherwise, shall operate to release Contractor or its sureties from the Faithful Performance Bond, Labor and Material Payment Bond, or from any other obligation under this contract. C. In case of suspension of the contract any unpaid balance shall be and become the sole and absolute property of the City to the extent necessary to repay the City any excess in the cost of the Work above the contract price. D. Final payment shall be made no later than 60 days after the date of acceptance of the Work by the City or the date of occupation, beneficial use and enjoyment of the Work by the City including any operation only for testing, start-up or commissioning accompanied by cessation of labor on the Work, provided that a release of liens and claims has been received from the Contractor pursuant to Civil Code section 8136. In the event of a dispute between the City and the Contractor, the City may withhold from the final payment an amount not to exceed 150% of the disputed amount. E. Within ten (10) calendar days from the time that all or any portion of the retention proceeds are received by Contractor, Contractor shall pay each of its subcontractors from whom retention has been withheld each subcontractor’s share of the retention received. However, if a retention payment received by Contractor is specifically designated for a particular subcontractor, payment of the retention shall be made to the designated subcontractor if the payment is consistent with the terms of the subcontract. ARTICLE 46. OCCUPANCY The City reserves the right to occupy or utilize any portion of the Work at any time before completion, and such occupancy or use shall not constitute acceptance of any part of Work covered by this Contract. This use shall not relieve the Contractor of its responsibilities under the Contract. ARTICLE 47. INDEMNIFICATION To the fullest extent permitted by law, Contractor shall immediately defend (with counsel of the City’s choosing), indemnify and hold harmless the City, officials, officers, agents, employees, and representatives, and each of them from and against: A. Any and all claims, demands, causes of action, costs, expenses, injuries, losses or liabilities, in law or in equity, of every kind or nature whatsoever, but not limited to, injury to or death, including wrongful death, of any person, and damages to or destruction of property of any person, arising out of, related to, or in any manner directly or indirectly connected with the Work or this Contract, including claims made by subcontractors for nonpayment, including without limitation the payment of all consequential damages and attorney’s fees and other related costs and expenses, however caused, regardless of whether the allegations are false, fraudulent, or groundless, and regardless of any negligence of the City or its officers, employees, or authorized volunteers (including passive negligence), except the sole negligence or 61147.02100\34514883.2 -98- 00 72 13 – GENERAL CONDITIONS willful misconduct or active negligence of the City or its officials, officers, employees, or authorized volunteers. B. Contractor’s defense and indemnity obligation herein includes, but is not limited to damages, fines, penalties, attorney’s fees and costs arising from claims under the Americans with Disabilities Act (ADA) or other federal or state disability access or discrimination laws arising from Contractor’s Work during the course of construction of the improvements or after the Work is complete, as the result of defects or negligence in Contractor’s construction of the improvements. C. Any and all actions, proceedings, damages, costs, expenses, fines, penalties or liabilities, in law or equity, of every kind or nature whatsoever, arising out of, resulting from, or on account of the violation of any governmental law or regulation, compliance with which is the responsibility of Contractor; D. Any and all losses, expenses, damages (including damages to the Work itself), attorney’s fees, and other costs, including all costs of defense which any of them may incur with respect to the failure, neglect, or refusal of Contractor to faithfully perform the Work and all of Contractor’s obligations under the agreement. Such costs, expenses, and damages shall include all costs, including attorney’s fees, incurred by the indemnified parties in any lawsuit to which they are a party. Contractor shall immediately defend, at Contractor’s own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, agents, employees and representatives. Contractor shall pay and satisfy any judgment, award or decree that may be rendered against the City, its officials, officers, employees, agents, employees and representatives, in any such suit, action or other legal proceeding. Contractor shall reimburse the City, its officials, officers, agents, employees and representatives for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. The only limitations on this provision shall be those imposed by Civil Code section 2782. ARTICLE 48. PROCEDURE FOR RESOLVING DISPUTES Contractor shall timely comply with all notices and requests for changes to the Contract Time or Contract Price, including but not limited to all requirements of Article 44, Changes and Extra Work, as a prerequisite to filing any claim governed by this Article. The failure to timely submit a notice of delay or notice of change, or to timely request a change to the Contract Price or Contract Time, or to timely provide any other notice or request required herein shall constitute a waiver of the right to further pursue the claim under the Contract or at law. A. Intent. Effective January 1, 1991, Section 20104 et seq., of the California Public Contract Code prescribes a process utilizing informal conferences, non-binding judicial supervised mediation, and judicial arbitration to resolve disputes on construction claims of $375,000 or less. Effective January 1, 2017, Section 9204 of the Public Contract Code prescribes a process for negotiation and mediation to resolve disputes on construction claims. The intent of this Article is to implement Sections 20104 et seq. and Section 9204 of the California Public Contract Code. This Article shall be construed to be consistent with said statutes. 61147.02100\34514883.2 -99- 00 72 13 – GENERAL CONDITIONS B. Claims. For purposes of this Article, “Claim” means a separate demand by the Contractor, after a change order duly requested in accordance with Article 44 “Changes and Extra Work” has been denied by the City, for (A) a time extension, (B) payment of money or damages arising from Work done by or on behalf of the Contractor pursuant to the Contract, or (C) an amount the payment of which is disputed by the City. A “Claim” does not include any demand for payment for which the Contractor has failed to provide notice, request a change order, or otherwise failed to follow any procedures contained in the Contract Documents. Claims governed by this Article may not be filed unless and until the Contractor completes all procedures for giving notice of delay or change and for the requesting of a time extension or change order, including but not necessarily limited to the procedures contained in Article 44, Changes and Extra Work, and Contractor’s request for a change has been denied in whole or in part. Claims governed by this Article must be filed no later than fourteen (14) days after a request for change has been denied in whole or in part or after any other event giving rise to the Claim. The Claim shall be submitted in writing to the City and shall include on its first page the following in 16 point capital font: “THIS IS A CLAIM.” Furthermore, the claim shall include the documents necessary to substantiate the claim. Nothing herein is intended to extend the time limit or supersede notice requirements otherwise provided by contract for the filing of claims, including all requirements pertaining to compensation or payment for extra Work, disputed Work, and/or changed conditions. Failure to follow such contractual requirements shall bar any claims or subsequent lawsuits for compensation or payment thereon. C. Supporting Documentation. The Contractor shall submit all claims in the following format: 1. Summary of claim merit and price, reference Contract Document provisions pursuant to which the claim is made 2. List of documents relating to claim: a. Specifications b. Drawings c. Clarifications (Requests for Information) d. Schedules e. Other 3. Chronology of events and correspondence 4. Analysis of claim merit 5. Analysis of claim cost 6. Time impact analysis in CPM format 7. If Contractor’s claim is based in whole or in part on an allegation of errors or omissions in the Drawings or Specifications for the Project, Contractor shall 61147.02100\34514883.2 -100- 00 72 13 – GENERAL CONDITIONS provide a summary of the percentage of the claim subject to design errors or omissions and shall obtain a certificate of merit in support of the claim of design errors and omissions. 8. Cover letter and certification of validity of the claim, including any claims from subcontractors of any tier, in accordance with Government Code section 12650 et seq. D. City’s Response. Upon receipt of a claim pursuant to this Article, City shall conduct a reasonable review of the claim and, within a period not to exceed 45 Days, shall provide the Contractor a written statement identifying what portion of the claim is disputed and what portion is undisputed. Any payment due on an undisputed portion of the claim will be processed and made within 60 Days after the City issues its written statement. 1. If the City needs approval from its governing body to provide the Contractor a written statement identifying the disputed portion and the undisputed portion of the claim, and the City’s governing body does not meet within the 45 Days or within the mutually agreed to extension of time following receipt of a claim sent by registered mail or certified mail, return receipt requested, the City shall have up to three Days following the next duly publicly noticed meeting of the City’s governing body after the 45-Day period, or extension, expires to provide the Contractor a written statement identifying the disputed portion and the undisputed portion. 2. Within 30 Days of receipt of a claim, the City may request in writing additional documentation supporting the claim or relating to defenses or claims the City may have against the Contractor. If additional information is thereafter required, it shall be requested and provided pursuant to this subdivision, upon mutual agreement of City and the Contractor. The City’s written response to the claim, as further documented, shall be submitted to the Contractor within 30 Days (if the claim is less than $15,000, within 15 Days) after receipt of the further documentation, or within a period of time no greater than that taken by the Contractor in producing the additional information or requested documentation, whichever is greater. E. Meet and Confer. If the Contractor disputes the City’s written response, or the City fails to respond within the time prescribed, the Contractor may so notify the City, in writing, either within 15 Days of receipt of the City’s response or within 15 Days of the City’s failure to respond within the time prescribed, respectively, and demand in writing an informal conference to meet and confer for settlement of the issues in dispute. Upon receipt of a demand, the City shall schedule a meet and confer conference within 30 Days for settlement of the dispute. F. Mediation. Within 10 business Days following the conclusion of the meet and confer conference, if the claim or any portion of the claim remains in dispute, the City shall provide the Contractor a written statement identifying the portion of the claim that remains in dispute and the portion that is undisputed. Any payment due on an undisputed portion of the claim shall be processed and made within 60 Days after the City issues its written statement. Any disputed portion of the claim, as identified by the Contractor in writing, shall be submitted to nonbinding mediation, with the City and the Contractor sharing the associated costs equally. The City and Contractor shall 61147.02100\34514883.2 -101- 00 72 13 – GENERAL CONDITIONS mutually agree to a mediator within 10 business Days after the disputed portion of the claim has been identified in writing, unless the parties agree to select a mediator at a later time. 1. If the parties cannot agree upon a mediator, each party shall select a mediator and those mediators shall select a qualified neutral third party to mediate with regard to the disputed portion of the claim. Each party shall bear the fees and costs charged by its respective mediator in connection with the selection of the neutral mediator. 2. For purposes of this section, mediation includes any nonbinding process, including, but not limited to, neutral evaluation or a dispute review board, in which an independent third party or board assists the parties in dispute resolution through negotiation or by issuance of an evaluation. Any mediation utilized shall conform to the timeframes in this section. 3. Unless otherwise agreed to by the City and the Contractor in writing, the mediation conducted pursuant to this section shall excuse any further obligation under Public Contract Code Section 20104.4 to mediate after litigation has been commenced. 4. The mediation shall be held no earlier than the date the Contractor completes the Work or the date that the Contractor last performs Work, whichever is earlier. All unresolved claims shall be considered jointly in a single mediation, unless a new unrelated claim arises after mediation is completed. G. Procedures After Mediation. If following the mediation, the claim or any portion remains in dispute, the Contractor must file a claim pursuant to Chapter 1 (commencing with Section 900) and Chapter 2 (commencing with Section 910) of Part 3 of Division 3.6 of Title 1 of the Government Code prior to initiating litigation. For purposes of those provisions, the running of the period of time within which a claim must be filed shall be tolled from the time the Contractor submits his or her written claim pursuant to subdivision (a) until the time the claim is denied, including any period of time utilized by the meet and confer conference. H. Civil Actions. The following procedures are established for all civil actions filed to resolve claims of $375,000 or less: 1. Within 60 Days, but no earlier than 30 Days, following the filing or responsive pleadings, the court shall submit the matter to non-binding mediation unless waived by mutual stipulation of both parties or unless mediation was held prior to commencement of the action in accordance with Public Contract Code section 9204 and the terms of this Contract. The mediation process shall provide for the selection within 15 Days by both parties of a disinterested third person as mediator, shall be commenced within 30 Days of the submittal, and shall be concluded within 15 Days from the commencement of the mediation unless a time requirement is extended upon a good cause showing to the court. 2. If the matter remains in dispute, the case shall be submitted to judicial arbitration pursuant to Chapter 2.5 (commencing with Section 1141.10) of Title 3 of Part 3 of the Code of Civil Procedure, notwithstanding Section 1114.11 of that code. The 61147.02100\34514883.2 -102- 00 72 13 – GENERAL CONDITIONS Civil Discovery Act of 1986 (Article 3 (commencing with Section 2016) of Chapter 3 of Title 3 of Part 4 of the Code of Civil Procedure) shall apply to any proceeding brought under this subdivision consistent with the rules pertaining to judicial arbitration. In addition to Chapter 2.5 (commencing with Section 1141.10) of Title 3 of Part 3 of the Code of Civil Procedure, (A) arbitrators shall, when possible, be experienced in construction law, and (B) any party appealing an arbitration award who does not obtain a more favorable judgment shall, in addition to payment of costs and fees under that chapter, also pay the attorney’s fees on appeal of the other party. I. Government Code Claims. In addition to any and all contract requirements pertaining to notices of and requests for compensation or payment for extra Work, disputed Work, construction claims and/or changed conditions, the Contractor must comply with the claim procedures set forth in Government Code Sections 900, et seq. prior to filing any lawsuit against the City. Such Government Code claims and any subsequent lawsuit based upon the Government Code claims shall be limited to those matters that remain unresolved after all procedures pertaining to extra Work, disputed Work, construction claims, and/or changed conditions have been followed by Contractor. If no such Government Code claim is submitted, or if the prerequisite contractual requirements are not satisfied, no action against the City may be filed. A Government Code claim must be filed no earlier than the date the Work is completed or the date the Contractor last performs Work on the Project, whichever occurs first. A Government Code claim shall be inclusive of all unresolved claims unless a new unrelated claim arises after the Government Code claim is submitted. J. Non-Waiver. The City’s failure to respond to a claim from the Contractor within the time periods described in this Article or to otherwise meet the time requirements of this Article shall result in the claim being deemed rejected in its entirety. ARTICLE 49. CITY’S RIGHT TO TERMINATE CONTRACT A. Termination for Cause by the City: 1. In the sole estimation of the City, if the Contractor refuses or fails to prosecute the Work or any separable part thereof with such diligence as will insure its completion within the time specified by the Contract Documents, or any extension thereof, or fails to complete such Work within such time, or if the Contractor should be adjudged a bankrupt, or if it should make a general assignment for the benefit of its creditors, or if a receiver should be appointed on account of its insolvency, or the Contractor or any of its subcontractors should violate any of the provisions of this Contract, the City may serve written notice upon the Contractor and its Surety of the City's intention to terminate this Contract. This notice of intent to terminate shall contain the reasons for such intention to terminate this Contract, and a statement to the effect that the Contractor's right to perform this Contract shall cease and terminate upon the expiration of ten (10) calendar days unless such violations have ceased and arrangements satisfactory to the City have been made for correction of said violations. 61147.02100\34514883.2 -103- 00 72 13 – GENERAL CONDITIONS 2. In the event that the City serves such written notice of termination upon the Contractor and the Surety, the Surety shall have the right to take over and perform the Contract. If the Surety does not: (1) give the City written notice of Surety's intention to take over and commence performance of the Contract within 15 calendar days of the City's service of said notice of intent to terminate upon Surety; and (2) actually commence performance of the Contract within 30 calendar days of the City's service of said notice upon Surety; then the City may take over the Work and prosecute the same to completion by separate contract or by any other method it may deem advisable for the account and at the expense of the Contractor. 3. In the event that the City elects to obtain an alternative performance of the Contract as specified above: (1) the City may, without liability for so doing, take possession of and utilize in completion of the Work such materials, appliances, plants and other property belonging to the Contractor that are on the site and reasonably necessary for such completion (A special lien to secure the claims of the City in the event of such suspension is hereby created against any property of Contractor taken into the possession of the City under the terms hereof and such lien may be enforced by sale of such property under the direction of the City without notice to Contractor. The proceeds of the sale after deducting all expenses thereof and connected therewith shall be credited to Contractor. If the net credits shall be in excess of the claims of the City against Contractor, the balance will be paid to Contractor or Contractor’s legal representatives.); and (2) Surety shall be liable to the City for any cost or other damage to the City necessitated by the City securing an alternate performance pursuant to this Article. B. Termination for Convenience by the City: 1. The City may terminate performance of the Work called for by the Contract Documents in whole or, from time to time, in part, if the City determines that a termination is in the City's interest. 2. The Contractor shall terminate all or any part of the Work upon delivery to the Contractor of a Notice of Termination specifying that the termination is for the convenience of the City, the extent of termination, and the Effective Date of such termination. 3. After receipt of Notice of Termination, and except as directed by the City's Representative, the Contractor shall, regardless of any delay in determining or adjusting any amounts due under this Termination for Convenience clause, immediately proceed with the following obligations: a. Stop Work as specified in the Notice. b. Complete any Work specified in the Notice of Termination in a least cost/shortest time manner while still maintaining the quality called for under the Contract Documents. c. Leave the property upon which the Contractor was working and upon which the facility (or facilities) forming the basis of the Contract Document is situated 61147.02100\34514883.2 -104- 00 72 13 – GENERAL CONDITIONS in a safe and sanitary manner such that it does not pose any threat to the public health or safety. d. Terminate all subcontracts to the extent that they relate to the portions of the Work terminated. e. Place no further subcontracts or orders, except as necessary to complete the continued portion of the Contract. f. Submit to the City's Representative, within ten (10) calendar days from the Effective Date of the Notice of Termination, all of the usual documentation called for by the Contract Documents to substantiate all costs incurred by the Contractor for labor, materials and equipment through the Effective Date of the Notice of Termination. Any documentation substantiating costs incurred by the Contractor solely as a result of the City's exercise of its right to terminate this Contract pursuant to this clause, which costs the contractor is authorized under the Contract documents to incur, shall: (1) be submitted to and received by the Engineer no later than 30 calendar days after the Effective Date of the Notice of Termination; (2) describe the costs incurred with particularity; and (3) be conspicuously identified as “Termination Costs occasioned by the City's Termination for Convenience.” 4. Termination of the Contract shall not relieve Surety of its obligation for any just claims arising out of or relating to the Work performed. 5. In the event that the City exercises its right to terminate this Contract pursuant to this clause, the City shall pay the Contractor, upon the Contractor's submission of the documentation required by this clause and other applicable provisions of the Contract Documents, the following amounts: a. All actual reimbursable costs incurred according to the provisions of this Contract. b. A reasonable allowance for profit on the cost of the Work performed, provided Contractor establishes to the satisfaction of the City's Representative that it is reasonably probable that Contractor would have made a profit had the Contract been completed and provided further, that the profit allowed shall in no event exceed fifteen (15%) percent of the costs. c. A reasonable allowance for Contractor's administrative costs in determining the amount payable due to termination of the Contract under this Article. C. Notwithstanding any other provision of this Article, when immediate action is necessary to protect life and safety or to reduce significant exposure or liability, the City may immediately order Contractor to cease Work on the Project until such safety or liability issues are addressed to the satisfaction of the City or the Contract is terminated. 61147.02100\34514883.2 -105- 00 72 13 – GENERAL CONDITIONS ARTICLE 50. WARRANTY AND GUARANTEE OF WORK A. Contractor hereby warrants that materials and Work shall be completed in conformance with the Contract Documents and that the materials and Work provided will fulfill the requirements of this Warranty. Contractor hereby agrees to repair or replace, at the discretion of the City, any or all Work that may prove to be defective in its workmanship, materials furnished, methods of installation or fail to conform to the Contract Document requirements together with any other Work which may be damaged or displaced by such defect(s) within a period of one (1) year from the date of the Notice of Completion of the Project without any expense whatever to the City, ordinary wear and tear and unusual abuse and neglect excepted. Contractor shall be required to promptly repair or replace defective equipment or materials, at Contractor’s option. All costs associated with such corrective actions and testing, including the removal, replacement, and reinstitution of equipment and materials necessary to gain access, shall be the sole responsibility of the Contractor. B. For any Work so corrected, Contractor’s obligation hereunder to correct defective Work shall be reinstated for an additional one (1) year period, commencing with the date of acceptance of such corrected Work. The reinstatement of the one (1) year warranty shall apply only to that portion of work that was corrected. Contractor shall perform such tests as City may require to verify that any corrective actions, including, without limitation, redesign, repairs, and replacements comply with the requirements of the Contract. In the event of Contractor’s failure to comply with the above- mentioned conditions within ten (10) calendar days after being notified in writing of required repairs, to the reasonable satisfaction of the City, the City shall have the right to correct and replace any defective or non-conforming Work and any work damaged by such work or the replacement or correction thereof at Contractor’s sole expense. Contractor shall be obligated to fully reimburse the City for any expenses incurred hereunder immediately upon demand. C. In addition to the warranty set forth in this Article, Contractor shall obtain for City all warranties that would be given in normal commercial practice and assign to City any and all manufacturer’s or installer’s warranties for equipment or materials not manufactured by Contractor and provided as part of the Work, to the extent that such third-party warranties are assignable and extend beyond the warranty period set forth in this Article. Contractor shall furnish the City with all warranty and guarantee documents prior to final Acceptance of the Project by the City as required. D. When specifically indicated in the Contract Documents or when directed by the Engineer, the City may furnish materials or products to the Contractor for installation. In the event any act or failure to act by Contractor shall cause a warranty applicable to any materials or products purchased by the City for installation by the Contractor to be voided or reduced, Contractor shall indemnify City from and against any cost, expense, or other liability arising therefrom, and shall be responsible to the City for the cost of any repairs, replacement or other costs that would have been covered by the warranty but for such act or failure to act by Contractor. E. The Contractor shall remedy at its expense any damage to City-owned or controlled real or personal property. 61147.02100\34514883.2 -106- 00 72 13 – GENERAL CONDITIONS F. The City shall notify the Contractor, in writing, within a reasonable time after the discovery of any failure, defect, or damage. The Contractor shall within ten (10) calendar days after being notified commence and perform with due diligence all necessary Work. If the Contractor fails to promptly remedy any defect, or damage; the City shall have the right to replace, repair or otherwise remedy the defect, or damage at the Contractor’s expense. G. In the event of any emergency constituting an immediate hazard to health, safety, property, or licensees, when caused by Work of the Contractor not in accordance with the Contract requirements, the City may undertake at Contractor’s expense, and without prior notice, all Work necessary to correct such condition. H. Acceptance of Defective Work. 1. If, instead of requiring correction or removal and replacement of Defective Work, the City prefers to accept it, City may do so. Contractor shall pay all claims, costs, losses, and damages (including but not limited to all fees and charges of engineers, architects, attorneys, and other professionals and all court or arbitration or other dispute resolution costs) attributable to City’s evaluation of and determination to accept such Defective Work and for the diminished value of the Work. 2. If any acceptance of defective work occurs prior to release of the Project Retention, a Change Order will be issued incorporating the necessary revisions in the Contract Documents with respect to the Work, and City shall be entitled to an appropriate decrease in the Contract Price, reflecting the diminished value of Work and all costs incurred by City. 3. If the Project Retention is held in an escrow account as permitted by the Contract Documents, Contractor will promptly alert the escrow holder, in writing, of the amount of Retention to be paid to City. 4. If the acceptance of Defective Work occurs after release of the Project Retention, an appropriate amount will be paid by Contractor to City. I. City May Correct Defective Work. 1. If Contractor fails within a reasonable time after written notice from City’s Representative to correct Defective Work, or to remove and replace rejected Work as required by City, or if Contractor fails to perform the Work in accordance with the Contract Documents, or if Contractor fails to comply with any other provision of the Contract Documents, City may, after seven (7) Days’ written notice to Contractor, correct, or remedy any such deficiency. 2. In connection with such corrective or remedial action, City may exclude Contractor from all or part of the Site, take possession of all or part of the Work and suspend Contractor’s services related thereto, take possession of Contractor’s tools, appliances, construction equipment and machinery at the Site, and incorporate in the Work all materials and equipment stored at the Site or for which City has paid Contractor but which are stored elsewhere. Contractor shall allow City and City’s 61147.02100\34514883.2 -107- 00 72 13 – GENERAL CONDITIONS Representative, and the agents, employees, other contractors, and consultants of each of them, access to the Site to enable City to exercise the rights and remedies to correct the Defective Work. 3. All claims, costs, losses, and damages (including but not limited to all fees and charges of engineers, architects, attorneys, and other professionals and all court or arbitration or other dispute resolution costs) incurred or sustained by City correcting the Defective Work will be charged against Contractor, and a Change Order will be issued incorporating the necessary revisions into the Contract Documents with respect to the Work; and City shall be entitled to an appropriate decrease in the Contract Price. 4. Such claims, costs, losses and damages will include, but not be limited to, all costs of repair, or replacement of work of others destroyed or damaged by correction, removal, or replacement of Defective Work. 5. If the Change Order is executed after all payments under the Contract have been paid by City and the Project Retention is held in an escrow account as permitted by the Contract Documents, Contractor will promptly alert the escrow holder, in writing, of the amount of Retention to be paid to City. 6. If the Change Order is executed after release of the Project Retention, an appropriate amount will be paid by Contractor to City. 7. Contractor shall not be allowed an extension of the Contract Times because of any delay in the performance of the Work attributable to City correcting Defective work. J. Nothing in the Warranty or in the Contract Documents shall be construed to limit the rights and remedies available to City at law or in equity, including, but not limited to, Code of Civil Procedure section 337.15. ARTICLE 51. DOCUMENT RETENTION & EXAMINATION A. In accordance with Government Code section 8546.7, records of both the City and the Contractor shall be subject to examination and audit by the State Auditor General for a period of three (3) years after final payment. B. Contractor shall make available to the City any of the Contractor’s other documents related to the Project immediately upon request of the City. C. In addition to the State Auditor rights above, the City shall have the right to examine and audit all books, estimates, records, contracts, documents, bid documents, subcontracts, and other data of the Contractor (including computations and projections) related to negotiating, pricing, or performing the modification in order to evaluate the accuracy and completeness of the cost or pricing data at no additional cost to the City, for a period of four (4) years after final payment. ARTICLE 52. SEPARATE CONTRACTS A. The City reserves the right to let other contracts in connection with this Work or on the Project site. Contractor shall permit other contractors reasonable access and storage 61147.02100\34514883.2 -108- 00 72 13 – GENERAL CONDITIONS of their materials and execution of their work and shall properly connect and coordinate its Work with theirs. B. To ensure proper execution of its subsequent Work, Contractor shall immediately inspect work already in place and shall at once report to the Engineer any problems with the Work in place or discrepancies with the Contract Documents. C. Contractor shall ascertain to its own satisfaction the scope of the Project and nature of any other contracts that have been or may be awarded by the City in prosecution of the Project to the end that Contractor may perform this Contract in the light of such other contracts, if any. Nothing herein contained shall be interpreted as granting to Contractor exclusive occupancy at site of the Project. Contractor shall not cause any unnecessary hindrance or delay to any other contractor working on the Project. If simultaneous execution of any contract for the Project is likely to cause interference with performance of some other contract or contracts, the Engineer shall decide which Contractor shall cease Work temporarily and which contractor shall continue or whether work can be coordinated so that contractors may proceed simultaneously. The City shall not be responsible for any damages suffered or for extra costs incurred by Contractor resulting directly or indirectly from award, performance, or attempted performance of any other contract or contracts on the Project site. ARTICLE 53. NOTICE AND SERVICE THEREOF All notices shall be in writing and either served by personal delivery or mailed to the other party as designated in the Bid Forms. Written notice to the Contractor shall be addressed to Contractor’s principal place of business unless Contractor designates another address in writing for service of notice. Notice to City shall be addressed to the City as designated in the Notice Inviting Bids unless City designates another address in writing for service of notice. Notice shall be effective upon receipt or five (5) calendar days after being sent by first class mail, whichever is earlier. Notice given by facsimile shall not be effective unless acknowledged in writing by the receiving party. ARTICLE 54. NOTICE OF THIRD PARTY CLAIMS Pursuant to Public Contract Code section 9201, the City shall provide the Contractor with timely notification of the receipt of any third-party claims relating to the Contract. The City is entitled to recover reasonable costs incurred in providing such notification. ARTICLE 55. STATE LICENSE BOARD NOTICE Contractors are required by law to be licensed and regulated by the Contractors’ State License Board which has jurisdiction to investigate complaints against contractors if a complaint regarding a patent act or omission is filed within four (4) years of the date of the alleged violation. A complaint regarding a latent act or omission pertaining to structural defects must be filed within ten (10) years of the date of the alleged violation. Any questions concerning a contractor may be referred to the Registrar, Contractors’ State License Board, P.O. Box 26000, Sacramento, California 95826. 61147.02100\34514883.2 -109- 00 72 13 – GENERAL CONDITIONS ARTICLE 56. INTEGRATION A. Oral Modifications Ineffective. No oral order, objection, direction, claim or notice by any party or person shall affect or modify any of the terms or obligations contained in the Contract Documents. B. Contract Documents Represent Entire Contract. The Contract Documents represent the entire agreement of the City and Contractor. ARTICLE 57. ASSIGNMENT OF CONTRACT Contractor shall not assign, transfer, convey, sublet or otherwise dispose of the rights or title of interest of any or all of this contract without the prior written consent of the City. Any assignment or change of Contractor’s name of legal entity without the written consent of the City shall be void. Any assignment of money due or to become due under this Contract shall be subject to a prior lien for services rendered or Material supplied for performance of Work called for under the Contract Documents in favor of all persons, firms, or corporations rendering such services or supplying such Materials to the extent that claims are filed pursuant to the Civil Code, the Code of Civil Procedure or the Government Code. ARTICLE 58. CHANGE IN NAME AND NATURE OF CONTRACTOR’S LEGAL ENTITY Should a change be contemplated in the name or nature of the Contractor’s legal entity, the Contractor shall first notify the City in order that proper steps may be taken to have the change reflected on the Contract and all related documents. No change of Contractor’s name or nature will affect City’s rights under the Contract, including but not limited to the bonds. ARTICLE 59. ASSIGNMENT OF ANTITRUST ACTIONS Pursuant to Public Contract Code section 7103.5, in entering into a public works contract or subcontract to supply goods, services, or materials pursuant to a public works contract, Contractor or subcontractor offers and agrees to assign to the City all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 USC, Section 15) or under the Cartwright Act (Chapter 2 (commencing with Section 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from the purchase of goods, services, or materials pursuant to this contract or any subcontract. This assignment shall be made and become effective at the time the City tenders final payment to the Contractor, without further acknowledgment by the parties. ARTICLE 60. PROHIBITED INTERESTS No City official or representative who is authorized in such capacity and on behalf of the City to negotiate, supervise, make, accept, or approve, or to take part in negotiating, supervising, making, accepting or approving any engineering, inspection, construction or material supply contract or any subcontract in connection with construction of the project, shall be or become directly or indirectly interested financially in the Contract. 61147.02100\34514883.2 -110- 00 72 13 – GENERAL CONDITIONS ARTICLE 61. CONTROLLING LAW Notwithstanding any subcontract or other contract with any subcontractor, supplier, or other person or organization performing any part of the Work, this Contract shall be governed by the law of the State of California excluding any choice of law provisions. ARTICLE 62. JURISDICTION; VENUE Contractor and any subcontractor, supplier, or other person or organization performing any part of the Work agrees that any action or suits at law or in equity arising out of or related to the bidding, award, or performance of the Work shall be maintained in the Superior Court of Orange County, California, and expressly consent to the jurisdiction of said court, regardless of residence or domicile, and agree that said court shall be a proper venue for any such action. ARTICLE 63. LAWS AND REGULATIONS A. Contractor shall give all notices and comply with all laws, ordinances, rules and regulations bearing on conduct of work as indicated and specified. If Contractor observes that drawings and specifications are at variance therewith, it shall promptly notify the Engineer in writing and any necessary changes shall be adjusted as provided for in this Contract for changes in work. If Contractor performs any work knowing it to be contrary to such laws, ordinances, rules and regulations, and without such notice to the Engineer, it shall bear all costs arising therefrom. B. Contractor shall be responsible for familiarity with the Americans with Disabilities Act (“ADA”) (42 U.S.C. § 12101 et seq.). The Work will be performed in compliance with ADA regulations. ARTICLE 64. PATENTS Contractor shall hold and save the City, officials, officers, employees, and authorized volunteers harmless from liability of any nature or kind of claim therefrom including costs and expenses for or on account of any patented or unpatented invention, article or appliance manufactured, furnished or used by Contractor in the performance of this contract. ARTICLE 65. OWNERSHIP OF CONTRACT DOCUMENTS All Contract Documents furnished by the City are City property. They are not to be used by Contractor or any subcontractor on other work nor shall Contractor claim any right to such documents. With exception of one complete set of Contract Documents, all documents shall be returned to the City on request at completion of the Work. ARTICLE 66. NOTICE OF TAXABLE POSSESSORY INTEREST In accordance with Revenue and Taxation Code section 107.6, the Contract Documents may create a possessory interest subject to personal property taxation for which Contractor will be responsible. ARTICLE 67. SURVIVAL OF OBLIGATIONS All representations, indemnifications, warranties, and guarantees made in, required by, or given 61147.02100\34514883.2 -111- 00 72 13 – GENERAL CONDITIONS in accordance with the Contract Documents, as well as all continuing obligations indicated in the Contract Documents, will survive final payment, completion, and acceptance of the Work or termination or completion of the Contract or termination of the services of Contractor. END OF GENERAL CONDITIONS 61147.02100\34514883.2 -112- 00 73 13 – SPECIAL CONDITIONS 00 73 13 – SPECIAL CONDITIONS 1.1 Engineer of Record. A. For purposes of this Project, the Engineer of Record or Engineer shall be: Khoon Tan. 1.2 Location of the Project: A. The Project is located Spring Street and El Camino Real, San Juan Capistrano, CA 92675. B. The general location of the Project is shown on City Drawing No. _C-1__. 1.3 Shared Cost Savings for Reductions in Contract Price; Value Engineering. N/A 1.4 Status of the Project Area and Rights-of-Way. A. City, at its expense, will provide all rights-of-way or permits, or both, covering the crossing of private property and public and private rights-of-way necessary for the permanent Work; provided, however, Contractor shall, at its expense, obtain any bonds or insurance policies or pay any fees and enter into any agreements required by a controlling authority, e.g., Caltrans or Union Pacific Railroad Company, before Contractor enters upon any property or right-of-way under the jurisdiction of any such controlling authority for the purpose of performing Work. B. City has acquired or is negotiating to acquire any rights-of-way, or both, necessary for the permanent Work. C. If such permits are required, all operations of Contractor shall conform to the restrictions, regulations, and requirements set forth in said permits, copies of which will be included in the Contract Documents. D. Contractor may be required, as a condition for receiving final payment, to obtain, and provide City’s Representative with copies of, executed damage releases from the owners of public and private property whose property has been damaged by the Work. The damage releases will be on a form provided by City. E. Contractor shall, also, as a condition for receiving final payment, obtain, and provide City’s Representative with copies of, executed damage releases from the owners of certain public and private property or areas which have been crossed by the Work or otherwise affected by the Work. The damage releases will be on a form provided by City. 1.5 Site Data. A. The data provided herein is for the information of Contractor and is subject to all limitations and conditions set forth in the Contract Documents. B. Subsurface Exploration Data. The following data are included in the Project Manual: 61147.02100\34514883.2 -113- 00 73 13 – SPECIAL CONDITIONS 1. _N/A__ C. Other Site Data. The following data are available for inspection at City’s office: 1. _N/A__ Copies of these reports, drawings and other materials may be examined at City’s office during regular business hours. 1.6 Pre-Purchased or Pre-Negotiated Material. [NOT USED.] 1.7 Designation of City’s Representative. A. Unless otherwise modified by City, City’s Representative shall be _City Engineer_. 1.8 Modification of Hours of Work. Lane closures on El Camino Real and Spring Street is permitted between 8:30 a.m. and 2:30 p.m. only, Monday through Friday. However, one lane of traffic in each direction shall be maintained open on El Camino Real and Spring Street at all times. Absolutely no work is permitted on Saturdays, Sundays, or Federal Holidays, without prior to authorization from the City. Traffic Control shall be per the Work Area Protection and Traffic Control Manual and MUTCD. Pedestrian access shall be maintained at all times. Pedestrian access shall meet all ADA requirements. Deviation from these hours will not be permitted without the prior consent of the Engineer, except in emergencies involving immediate hazard to persons or property. In the event of either a requested or emergency deviation, inspection service fees will be charged against the CONTRACTOR. The service fees will be calculated at overtime rates including benefits, overhead, and travel time. The service fees will be deducted from any amounts due the CONTRACTOR. Work shall not interfere with trash pickup or street sweeping of any street within the limits of work. CONTRACTOR shall coordinate with the CITY'S trash hauler and street sweeper. 1.9 Project Retention In accordance with Public Contract Code § 7201, City will withhold 5% of each progress payment as retention on the Project. 1.10 Reserved 1.11 Liquidated Damages Due to Contractor Delay. A. Time is of the essence. Should Contractor fail to complete all or any part of the Work within the time specified in the Contract Documents, City will suffer damage, the amount of which is difficult, if not impossible, to ascertain and, pursuant to the authority 61147.02100\34514883.2 -114-00 73 13 – SPECIAL CONDITIONS of Government Code section 53069.85, City shall therefore be entitled to $500 per Day as liquidated damages for each Day or part thereof that actual completion extends beyond the time specified. B.Liquidated damages may be deducted from progress payments due Contractor, Project retention or may be collected directly from Contractor, or from Contractor's surety. These provisions for liquidated damages shall not prevent City, in case of Contractor's default, from terminating the Contractor. 1.12 Utility Outages – Notices to Residents. A.Should Contractor’s operations require interruption of any utility service, Contractor shall notify City at least ten (10) Days prior to the scheduled outage. Contractor will notify all impacted residents on a form provided by City at least seven (7) Days prior to the scheduled outage. B.Contractor shall be responsible for providing, at its cost, any temporary utility or facilities necessitated by the utility outage. 1.13 Schedule Constraints. NOT USED. 1.14 Noise Restrictions A.Contractor shall use only such equipment on the Work and in such state of repair so that the emission of sound therefrom is within the noise tolerance level of that equipment as established by Cal/OSHA. B.Contractor shall comply with the most restrictive of the following: (1) local sound control and noise level rules, regulations and ordinances and (2) the requirements contained in these Contract Documents, including hours of operation requirements. C. No internal combustion engine shall be operated on the Project without a muffler of the type recommended by the manufacturer. Should any muffler or other control device sustain damage or be determined to be ineffective or defective, the Contractor shall promptly remove the equipment and shall not return said equipment to the job until the device is repaired or replaced. Said noise and vibration level requirements shall apply to all equipment on the job or related to the job, including but not limited to, trucks, transit mixers or transit equipment that may or may not be owned by the Contractor. 1.15 Safety Programs. [NOT USED] 1.16 Coordination with Other Agencies, Utilities and/ or Contractors. A.Contractor shall obtain an encroachment permit from the Santa Margarita Water District (SMWD) prior to start of construction. 61147.02100\34514883.2 -115- 00 73 13 – SPECIAL CONDITIONS B. Contractor shall coordinate with other utility purveyors for potential utility conflicts that may require adjustments and/or relocations. C. City has considered these other contractors when determining the Contract Times and no additional time or compensation will be added to the Contract due to these other contractors. 1.17 Davis-Bacon Wage Rate Requirements. Because the work involves federal funds or otherwise requires compliance with the Davis-Bacon Fair Labor Standards Act, the Contractor and all its subcontractors shall pay the higher of the state or federal prevailing wage rates. A copy of the applicable Davis-Bacon wage decisions is attached hereto as Exhibit “B” and incorporated herein by this reference. END OF SPECIAL CONDITIONS 61147.02100\34514883.2 -116- 00 73 23 – FEDERAL REQUIREMENTS 00 73 23 – FEDERAL REQUIREMENTS Contractor shall comply with all applicable regulations, policies, guidelines and requirements of the Community Development Block Grant (CDBG) program set forth by U.S. Department of Housing and Urban Development for sub-recipients including, without limitation, the following, which are each incorporated herein by this reference: • 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards). • Program Income – 24 CFR Part 570.500(a)(1) • Unused Program Income – 24 CFR Part 570.503(b)(3) • Transfers of Program Income – 24 CFR Part 570.504(b)(2) • Disposition of Program Income – 24 CFR Part 570.504(c) • Applicability of Uniform Administrative Requirements – 24 CFR § 570.502 • Subpart K of the CDBG Regulations, commencing with 24 CFR § 570.600 • Section 3 Requirements specified herein. • Federal Contract Provisions specified herein. With respect to any conflict between such federal requirements and the terms of the Contract Documents and/or the provisions of state law and except as otherwise required under federal law or regulation, the more stringent requirement shall control. Contractor shall be subject to the Davis-Bacon Act. The federal minimum wage rates are attached hereto as Exhibit “B” and incorporated herein by this reference. When the Davis-Bacon wage rates and California prevailing wage rates differ for similar kinds of labor, the Contractor shall pay not less than the higher rate. Contractor shall additionally comply with the applicable flow down terms and conditions of the CDBG Funding Agreement, which are attached to these Federal Requirements and incorporated herein by reference. Federal Labor Standards Provisions U.S. Department of Housing and Urban Development Office of Labor Relations Previous editions are obsolete Page 1 of 5 form HUD-4010 (06/2009) ref. Handbook 1344.1 Applicability The Project or Program to which the construction work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions are included in this Contract pursuant to the provisions applicable to such Federal assistance. A. 1. (i) Minimum Wages. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under Section l(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of 29 CFR 5.5(a)(1)(iv); also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be c onstructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under 29 CFR 5.5(a)(1)(ii) and the Davis-Bacon poster (WH- 1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible, place where it can be easily seen by the workers. (ii) (a) Any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. HUD shall approve an additional classification and wage rate and fringe benefits therefor only when the following criteria have been met: (1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (b) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and HUD or its designee agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by HUD or its designee to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, D.C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise HUD or its designee or will n otify HUD or its designee within the 30-day period that additional time is necessary. (Approved by the Office of Management and Budget under OMB control number 1215- 0140.) (c) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and HUD or its designee do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), HUD or its designee shall refer the questions, including the views of all interested parties and the recommendation of HUD or its designee, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise HUD or its designee or will notify HUD or its designee within the 30-day period that additional time is necessary. (Approved by the Office of Management and Budget under OMB Control Number 1215-0140.) (d) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs (1)(ii)(b) or (c) of this paragraph, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part Previous editions are obsolete Page 2 of 5 form HUD-4010 (06/2009) ref. Handbook 1344.1 of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis- Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (Approved by the Office of Management and Budget under OMB Control Number 1215-0140.) 2. Withholding. HUD or its designee shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract In the event of failure to pay any laborer or mechanic, including any apprentice, trainee or helper, employed or working on the site of the work, all or p art of the wages required by the contract, HUD or its designee may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. HUD or its designee may, after written notice to the contractor, disburse such amounts withheld for and on account of the contractor or subcontractor to the respective employees to whom they are due. The Comptroller General shall make such disbursements in the case of direct Davis-Bacon Act contracts. 3. (i) Payrolls and basic records. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in Section l(b)(2)(B) of the Davis-bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5 (a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section l(b)(2)(B) of the Davis- Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (Approved by the Office of Management and Budget under OMB Control Numbers 1215-0140 and 1215-0017.) (ii) (a) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to HUD or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or its designee. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i) except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to HUD or its designee if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant sponsor, or owner, as the case may be, for transmission to HUD or its designee, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this subparagraph for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to HUD or its designee. (Approved by the Office of Management and Budget under OMB Control Number 1215-0149.) (b) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be provided under 29 CFR 5.5 (a)(3)(ii), the appropriate information is being maintained under 29 CFR 5.5(a)(3)(i), and that such information is correct and complete; Previous editions are obsolete Page 3 of 5 form HUD-4010 (06/2009) ref. Handbook 1344.1 (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in 29 CFR Part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (c) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by subparagraph A.3.(ii)(b). (d) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records required under subparagraph A.3.(i) available for inspection, copying, or transcription by authorized representatives of HUD or its designee or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, HUD or its designee may, after written notice to the contractor, sponsor, applicant or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. 4. Apprentices and Trainees. (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant ‘,to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by Previous editions are obsolete Page 4 of 5 form HUD-4010 (06/2009) ref. Handbook 1344.1 the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under 29 CFR Part 5 shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30. 5. Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR Part 3 which are incorporated by reference in this contract 6. Subcontracts. The contractor or subcontractor will insert in any subcontracts the clauses contained in subparagraphs 1 through 11 in this paragraph A and such other clauses as HUD or its designee may by appropriate instructions require, and a copy of the applicable prevailing wage decision, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in this paragraph. 7. Contract termination; debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. 8. Compliance with Davis-Bacon and Related Act Requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract 9. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and HUD or its designee, the U.S. Department of Labor, or the employees or their representatives. 10. (i) Certification of Eligibility. By entering into this contract the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor’s firm is a person or firm ineligible to be awarded Government contracts by virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24. (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1) or to be awarded HUD contracts or participate in HUD programs pursuant to 24 CFR Part 24. (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. Additionally, U.S. Criminal Code, Section 1 01 0, Title 18, U.S.C., “Federal Housing Administration transactions”, provides in part: “Whoever, for the purpose of . . . influencing in any way the action of such Administration..... makes, utters or publishes any statement knowing the same to be false..... shall be fined not more than $5,000 or imprisoned not more than two years, or both.” 11. Complaints, Proceedings, or Testimony by Employees. No laborer or mechanic to whom the wage, salary, or other labor standards provisions of this Contract are applicable shall be discharged or in any other manner discriminated against by the Contractor or any subcontractor because such employee has filed any complaint or instituted or caused to be instituted any proceeding or has testified or is about to testify in any proceeding under or relating to the labor standards applicable under this Contract to his employer. B. Contract Work Hours and Safety Standards Act. The provisions of this paragraph B are applicable where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms “laborers” and “mechanics” include watchmen and guards. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which the individual is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in subparagraph (1) of this paragraph, the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in subparagraph (1) of this paragraph, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in sub paragraph (1) of this paragraph. Previous editions are obsolete Page 5 of 5 form HUD-4010 (06/2009) ref. Handbook 1344.1 (3) Withholding for unpaid wages and liquidated damages. HUD or its designee shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contract, or any other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act which is held by the same prime contractor such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in subparagraph (2) of this paragraph. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in subparagraph (1) through (4) of this paragraph and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in subparagraphs (1) through (4) of this paragraph. C. Health and Safety. The provisions of this paragraph C are applicable where the amount of the prime contract exceeds $100,000. (1) No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his health and safety as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation. (2) The Contractor shall comply with all regulations issued by the Secretary of Labor pursuant to Title 29 Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract Work Hours and Safety Standards Act, (Public Law 91-54, 83 Stat 96). 40 USC 3701 et seq. (3) The contractor shall include the provisions of this paragraph in every subcontract so that such provisions will be binding on each subcontractor. The contractor shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions. 61147.02100\34514883.2 -117- 00 73 23 – FEDERAL REQUIREMENTS Section 3 Requirements: The requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. Section 1701u (“Section 3”) shall apply as follows: 2. The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing. 3. The parties to this Contract agree to comply with HUD’s regulations in 24 CFR Part 75, which implement Section 3. As evidenced by their execution of this Contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the Part 75 regulations. 4. The Contractor agrees to send to each labor organization or representative of workers with which the Contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers’ representative of the Contractor’s commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number of job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. 5. The Contractor agrees to include this Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 75, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 75. The Contractor will not subcontract with any subcontractor where the Contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR Part 75. 6. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the Contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 75 require employment opportunities to be directed, were not filled to circumvent the Contractor’s obligations under 24 CFR Part 75. 7. Noncompliance with HUD’s regulations in 24 CFR Part 75 may result in sanctions, termination of this Contract for default, and debarment or suspension from future HUD assisted contracts. v S:\Departments\Public Works\Department\CIP Projects\Transportation\22103 - Spring Street ADA IMprovements\PS&E\Section 3 New Docs\Section 3 Intro Letter.docx Attention OCHCD Partners NEW SECTION 3 REQUIREMENTS Section 3 aims to provide economic opportunities for low and very-low income persons. HUD changed Section 3 Requirements effective 7/1/2021. The regulations can be found at 24 CFR Part 75. (https://www.ecfr.gov/current/title- 24/subtitle-A/part-75) Requirements apply if there is community development funding over $200,000. Instead of new hires HUD now requires reporting on labor hours and has established two benchmark percentages for low income workers. You will be “Safe Harbor” compliant if you meet the following benchmarks: • 25% or more of all labor hours must be done by Section 3 workers or businesses • 5% or more of all labor hours must be done by Targeted Section 3 workers that live within a mile of the proposed project • Targeted Section 3 workers are a part of the 25% of all Section 3 Workers Section 3 workers earn less than 80% of area median income for a single person, currently $75,300. This figure changes in April every year and is available on the HUD website. If “Safe Harbor” benchmarks are not achieved, you must report on the qualitative efforts you took to try to meet the requirements. These efforts are listed on the Section 3 Reporting form (attached). Reporting is done upon completion/conversion of the project. A FAQ on the Section 3 program and a sample Contract Clause are attached. Resources Available: HUD provides an Opportunity portal to assist you in meeting the benchmarks. (https://hudapps.hud.gov/OpportunityPortal/) If you need assistance with meeting Section 3 requirements, please call Sue Harder at (714) 480-2876 or Craig Fee at (714) 480-2996. Enclosures: FAQ, Section 3 reporting form, Section 3 Clause DYLAN WRIGHT DIRECTOR OC COMMUNITY RESOURCES CYMANTHA ATKINSON ASSISTANT DIRECTOR OC COMMUNITY RESOURCES JULIE LYONS DIRECTOR ADMINISTRATIVE SERVICES ANDI BERNARD DIRECTOR OC ANIMAL CARE JULIA BIDWELL DIRECTOR OC HOUSING & COMMUNITY DEVELOPMENT RENEE RAMIREZ DIRECTOR OC COMMUNITY SERVICES TOM STARNES DIRECTOR OC PARKS JULIE QUILLMAN COUNTY LIBRARIAN OC PUBLIC LIBRARIES OC HOUSING & COMMUNITY DEVELOPMENT 1501 E. ST. ANDREW PLACE, 1ST FLOOR SANTA ANA, CA 92705 PHONE: 714.480.6534 FAX: 714.480.2978 S:\Departments\Public Works\Department\CIP Projects\Transportation\22103 - Spring Street ADA IMprovements\PS&E\Section 3 New Docs\Section 3 Contract Clause.docx Contract Clause, Effective July 1, 2021 HUD Section 3 Compliance All Section 3 covered contracts and sub-contracts shall include the following clause (referred to as the Section 3 Clause): a. The work to be performed under this Contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended (12 USC §1701u) ("Section 3"). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted developments covered by Section 3 shall, to the greatest extent feasible, be directed to low- and very low-income persons, including persons who are recipients of HUD assistance for housing, with a preference for both targeted workers living in the service area or neighborhood of the Development and YouthBuild participants, as defined at 24 CFR Part 75 ("Section 3 Regulations"). b. The Parties agree to comply with HUD's Regulations in 24 CFR, Part 75 which implement Section 3. As evidenced by their execution of this Contract, the Parties certify that they are under no contractual or other impediments that would prevent them from complying with the Section 3 Regulations. c. The Sub-recipient, contractor, and subcontractor agrees to send to each labor organization or representative of workers with which the Sub-recipient, contractor, and subcontractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the Sub-recipient, contractor, and subcontractor's commitments under this section of the Contract and will post copies of the notice in conspicuous places at the worksite where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference and shall set forth the following: (i) minimum number and job titles subject to hire, (ii) availability of apprenticeship and training positions, (iii) qualifications for each, (iv) name and location of the person(s) taking applications for each of the positions, and (v) the anticipated date the work shall begin. d. The Sub-recipient, contractor, and subcontractor agrees to include this Section 3 clause in every subcontract subject to compliance with regulations in Section 3 Regulations and agrees to take appropriate action, as provided in an applicable provision of the subcontractor in this Section 3 clause, upon a finding that the subcontractor violates the regulations in Section 3 Regulations. The Sub-recipient, contractor, and subcontractor will not subcontract with any subcontractor where the Sub-recipient, contractor, and subcontractor has notice or knowledge that the subcontractor has been found in violation of the regulations 24 CFR part 75. e. The Sub-recipient, contractor, and subcontractor will certify that any vacant employment positions, including training positions, that are filled (1) after a S:\Departments\Public Works\Department\CIP Projects\Transportation\22103 - Spring Street ADA IMprovements\PS&E\Section 3 New Docs\Section 3 Contract Clause.docx contractor is selected but before the Contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 75 require employment opportunities to be directed, were not filled to circumvent the Sub-recipient, contractor, and subcontractor's obligations under 24 CFR part 75 f. Noncompliance with HUD's regulations in 24 CFR part 75 may result in sanctions, termination of this Contract for default, and debarment or suspension from future HUD assisted contracts. S:\Departments\Public Works\Department\CIP Projects\Transportation\22103 - Spring Street ADA IMprovements\PS&E\Section 3 New Docs\Section 3 Contractor Form final.docx ORANGE COUNTY HOUSING AND COMMUNITY DEVELOPMENT SECTION 3 REPORT FORM Effective July 1, 2021 Introduction- Section 3 of the Housing and Community Development Act of 1968 requires that economic opportunities, most importantly employment, generated by the U.S. Department of Housing and Urban Development (HUD) be directed to low-and very-low-income persons, particularly those who are recipients of government assistance for housing and targeted to residents of the community in which Federal assistance is spent. Section 3 establishes benchmarks for compliance. Benchmarks are 25% of total labor hours directed to Section 3 Workers and 5% of total labor hours directed to Targeted Section 3 workers. Total labor hours along with labor hours of Section 3 qualified business concerns and workers as defined below will be reported on this form with the last invoice or at project conversion for all Housing and Community Development contractors, sub-contractors, vendors and service providers to track compliance with this requirement. Follow Steps 1,2, and 3 if required to complete the form. This form is due prior to submission of last invoice or conversion Submit the form to james.hahn@occr.ocgov.com Vendor/Contractor Name Project Name, Address and Description Work/Project Start Date Work/Project End Date STEP 1. Determine if your business, or employees are Section 3 qualified. 1. Are you a Section 3 Business Concern? * ____ Yes _____No (defined below) 2. Do you employ any Section 3 Workers? * * ____ Yes _____No 3. Do you employ any Targeted Section 3 Workers? *** ____ Yes ____No If you answered no to all three questions STOP HERE, skip Step 2 and go to Step 3 to report other Qualitative Efforts you have taken to improve Section 3 opportunities for low and very-low income persons. Definitions of Section 3 Workers and Businesses Section 3 Workers earn less than-$75,300 per year. Income limits are updated annually in April and available on the HUD website. *Section 3 Business Concern means: 1. A business concern meeting at least one of the following criteria, documented within the last six-month period beginning 11/30/2020: • It is at least 51 percent owned and controlled by low- or very low-income persons; • Over 75 percent of the labor hours performed for the business over the prior three-month period are performed by Section 3 workers; or • It is a business at least 51 percent owned and controlled by current public housing residents or residents who currently live in Section 8-assisted housing. 2. The status of a Section 3 business concern shall not be negatively affected by a prior arrest or conviction of its owner(s) or employees. S:\Departments\Public Works\Department\CIP Projects\Transportation\22103 - Spring Street ADA IMprovements\PS&E\Section 3 New Docs\Section 3 Contractor Form final.docx 3. Nothing in this part shall be construed to require the contracting or subcontracting of a Section 3 business concern. Section 3 business concerns are not exempt from meeting the specifications of the contract. **Section 3 Worker means; Any worker who currently fits or when hired within the past five years (beginning 11/30/202 when this regulation was published whichever is later) fit at least one of the following categories, as documented: 1. The worker’s income for the previous or annualized calendar year is below the income limit established by HUD. 2. The worker is employed by a Section 3 business concern. 3. The worker is a Youth Build participant ***A Targeted Section 3 worker for housing and community development financial assistance is a Section 3 worker who meets any of the criteria above and lives in the service area or neighborhood of the project. Service area or the neighborhood of the project means an area within one mile of the Section 3 project or, if fewer than 5,000 people live within one mile of a Section 3 project, within a circle centered on the Section 3 project that is sufficient to encompass a population of 5,000 people according to the most recent U.S. Census. STEP 2. REPORTING REQUIREMENTS- This report is due with the last invoice or at conversion. Submit the form to james.hahn@occr.ocgov.com Part I: WORKFORCE COMPOSITION Total Number of All Workers who worked on the Project this year Total Number of Section 3 Workers who worked on the Project this year Total Number of Targeted Section 3 Workers who worked on the Project this year Part II: LABOR HOURS Report labor hours worked this year broken down by ALL Workers, Section 3 Workers, and Targeted Section 3 Workers. Labor Hours for this year for All Workers Labor Hours for this year for Section 3 Workers Labor Hours for this year for Targeted Section 3 Workers Benchmark Goals Percent of Labor Hours by Section 3 Workers = Section 3 Labor Hours/Total Labor Hours (25% of total labor hours) Percent of Labor Hours for Targeted Section 3 Workers = S:\Departments\Public Works\Department\CIP Projects\Transportation\22103 - Spring Street ADA IMprovements\PS&E\Section 3 New Docs\Section 3 Contractor Form final.docx STEP 3. QUALITATIVE EFFORTS (24 CFR Part 75.15) If reporting indicates the agency has not met the Section 3 benchmarks, the agency must report on the qualitative nature of its activities and those its contractors, and subcontractors pursued to meet the benchmarks. Such qualitative efforts include but are not limited to the following: Check the Boxes on the next page that apply to demonstrate the efforts you made to satisfy your Section 3 obligations. Engaged in outreach efforts to generate job applicants who are Targeted Section 3 Workers, posting job openings at the job site, HUD Opportunity Portal, social media pages, contacting Resident Advisory Councils, and other platforms; Contacted agencies administering Youth Build Programs, and requesting their assistance in recruiting Youth Build Program participants for training opportunities and employment positions; Consulted with state and local agencies administering training programs, such as those funded through Workforce Investment Act, unemployment compensation programs, community organizations and other officials or organizations to assist with training and recruiting Section 3 Workers and Targeted Section 3 Workers; Held job fairs; Provided or connecting Section 3 Workers and Targeted Section 3 Workers with assistance in seeking employment, including: drafting resumes, preparing for interviews, and finding job opportunities connecting residents to job placement services; Provided or referring Section 3 Workers to services supporting work readiness and retention (e.g., work readiness activities, interview clothing, test fees, transportation, childcare); Assisted Section 3 Workers to obtain financial literacy training and/or coaching; Engaged in outreach efforts to identify and secure bids from Section 3 Business Concerns; Provided technical assistance to help Section 3 Business Concerns understand and bid on contracts; Divided contracts into smaller jobs to facilitate participation by Section 3 Business Concerns; Provided bonding assistance, guaranties, or other efforts to support viable bids from Section 3; Promoted use of Section 3 Business Registries designed to create opportunities for Section 3, disadvantaged and small businesses. STEP 4. NOTES AND COMMENTS (attach additional sheets if necessary) ________________________________________________________________________________________ ________________________________________________________________________________________ ________________________________________________________________________________________ By signing below, I hereby certify and declare under penalty of perjury under the laws of the United States and the State of California that the information provided on this form, as well as all documentation provided in support thereof, are true and correct, and that I am authorized on behalf of the Company to make this certification. Furthermore, I certify that I will maintain this documentation for the time period required for record retentions in accordance with applicable program regulations or, in the absence of applicable program regulations, in accordance with 2 CFR part 200. I will make these records available to HCD and/or HUD upon request. ________________________ ___________________________ ________________________ Signature Name and Title Date Targeted Section 3 Labor Hours/Total Labor Hours (5% of total labor hours) Section 3 Frequently Asked Questions 1 FREQUENTLY ASKED QUESTIONS for SECTION 3 Published: March 25, 2021 The following is a guidance document published by the Department of Housing and Urban Development Office of Field Policy and Management for the purpose of providing answers to frequently asked questions about Section 3 of the HUD Act of 1968 (12 U.S.C § 1701u) and its associated regulations (24 C.F.R. Part 75). This document is intended to provide guidance for Section 3 funding recipients, subrecipients, contractors, subcontractors, workers, and other stakeholders. This guidance document covers questions in several topic areas and is divided into parts that contain questions on that part’s topic. I. GENERAL QUESTIONS REGARDING SECTION 3: 1. What is Section 3? 2. What Do “Best Efforts” and “to the Greatest Extent Feasible” Mean? 3. What Does “Section 3 Worker” Mean? 4. What Does “Targeted Section 3 Worker” Mean? 5. What Does “Section 3 Business Concern” mean? 6. How are low-income and very low-income determined? 7. What is YouthBuild? 8. As a funding recipient, what are my Section 3 reporting goals? 9. How does Section 3 differ from the Minority Business Enterprise/Women Business Enterprise programs? 10. What is a Section 3 project? 11. Who is considered a recipient of Section 3 funding? 12. What are funding thresholds and how do they apply to Section 3 covered financial assistance? 13. Which recipient agencies (or sources of HUD financial assistance) are required to comply with Section 3? 14. Can a non-profit organization be considered a business concern for the purposes of Section 3? 15. What is a “Service Area” or “Neighborhood of the project”? 16. What if my agency does not meet all benchmark goals for employment or contracting? 17. My agency has met all benchmark goals for employment and contracting, does this mean that we are considered in compliance with Section 3? II. APPLICABILITY: 1. What HUD assistance does Section 3 apply to? 2. Do the requirements of Section 3 apply to grantees on a per project basis? 3. If a project is funded with non-HUD assistance, do the requirements of Section 3 still apply? 4. What recordkeeping responsibilities do contractors/subcontractors have if they receive Section 3 covered contracts? 5. Do the Section 3 requirements apply to material only contracts? 6. Do the Section 3 requirements apply to Section 8 project-based rental assistance contracts? 7. Are maintenance projects covered by Section 3? Section 3 Frequently Asked Questions 2 8. Does the reduction and abatement of lead-based paint hazards constitute housing rehabilitation? 9. Are demolition projects covered by the requirements of Section 3? 10. Are professional service contracts required to be reported under Section 3? 11. Does Section 3 apply to labor hours by a CDBG-Entitlement recipient? 12. Does Section 3 apply to labor hours by a Public Housing Authority? III. CONSISTENCY WITH OTHER LAWS: 1. Are recipients required to comply with Federal/state/local laws in addition to Section 3 2. What is the relationship between Section 3 and Davis Bacon requirements? 3. What does the new rule mean for Tribes and Tribally Designated Housing Entities? IV. RECIPIENT RESPONSIBILITIES: 1. What are the responsibilities of recipient agencies under Section 3? 2. What are the reporting requirements for legacy contracts entered into under the old Part 135 rule? 3. What are the reporting requirements for Section 3 projects for which assistance or funds are committed during the transition period? 4. What is the reporting timeline for Public Housing Authorities and other recipients of public housing financial assistance? 5. What are the reporting requirements for Public Housing Authorities and other recipients of public housing financial assistance during the transition period? 6. What are good strategies for targeting Section 3 workers and businesses? 7. Are funds provided to recipients so that they can comply with the requirements of Section 3? 8. Are Section 3 workers or business concerns guaranteed employment or contracting opportunities under Section 3? 9. Are recipients, developers, and contractors required to provide long- term employment opportunities, and not simply seasonal or temporary employment? 10. When might a recipient agency be exempt from the quantitative reporting requirements of Section 3? 11. Are recipients required to request developers or contractors to make payments into Section 3 training or implementation funds? V. SECTION 3 CERTIFICATION: 1. How can a prospective Section 3 worker or business concern certify that they meet the eligibility requirements? 2. What documentation must be maintained by HUD recipients, contractors and subcontractors certifying that low- and very-low individuals and business concerns meet the regulatory definitions under Section 3? 3. What are examples of acceptable evidence to determine eligibility as a Section 3 worker? 4. What are examples of acceptable evidence for determining eligibility as a Section 3 business concern? 5. Are all public housing residents considered Section 3 workers regardless of their income? 6. Does qualifying as a Section 3 businesses mean that the business will be selected if it meets the technical requirements of the bid, regardless of bid price? 7. Can contracting with MBE/WBE businesses count towards Section 3 benchmarks? 8. Does a business have to be incorporated to be considered a Section 3 eligible business? VI. ECONOMIC OPPORTUNITIES NUMERICAL BENCHMARKS: Section 3 Frequently Asked Questions 3 1. How can low- and very low-income persons and businesses locate recipient agencies that are required to comply with Section 3 in their area? 2. How can I find Section 3 business concerns in my area? 3. Do the benchmark requirements only count toward new hires? 4. Should PHA’s report on staff hours? 5. What category of PHA Staff should be included? 6. Are recipient agencies required to meet the Section 3 benchmarks, or are they optional? 7. Will there be changes to the benchmark requirements? 8. What is considered "other" public construction? 9. What is the meaning of the safe harbor determination? VII. SECTION 3 COMPLAINTS: 1. How should complaints be made? 2. Where else can I file complaints alleging denied employment and contracting opportunities? I. GENERAL QUESTIONS REGARDING SECTION 3: 1. What is Section 3? Section 3 is a provision of the Housing and Urban Development Act of 1968. The purpose of Section 3 is to ensure that employment and other economic opportunities generated by certain HUD financial assistance shall, to the greatest extent feasible, and consistent with existing Federal, State, and local laws and regulations, be directed to low- and very low-income persons, particularly those who are recipients of government assistance for housing, and to business concerns which provide economic opportunities to low- and very low-income persons. 2. What Do “Best Efforts” and “to the Greatest Extent Feasible” Mean? “Best efforts” and “greatest extent feasible” are statutory terms, used in the statute in different contexts. As such, HUD uses both terms to track compliance, and there are many ways to interpret the language. Traditionally, HUD has used the terms interchangeably, as referenced in the statute, and will continue to be consistent with the statutory language. See 12 U.S.C. 1701u(b)-(d). These terms are integral to the statutory intent and provide flexibility, rather than administrative burden, to grantees or recipients of HUD funding. HUD acknowledges that some perceive “best efforts” to be the more rigorous standard, while others perceive “greatest extent feasible” to be the more rigorous standard. HUD has determined not to define the difference between these two terms but rather to increase the emphasis on outcomes as a result of these efforts. A recipient’s reported results will be compared to the outcome metrics defined in the benchmark notice. HUD program staff will evaluate the level of effort expended by those recipients that fail to meet the benchmark safe harbor, and thus will ensure that the statutory terms are being properly enforced. HUD included a list of examples in the regulation at 24 CFR §§ 75.15 and 75.25, including engagement in outreach efforts to generate job applicants who are Targeted Section 3 Section 3 Frequently Asked Questions 4 workers, providing training or apprenticeship opportunities, and providing technical assistance to help Section 3 workers compete for jobs (e.g., resume assistance, coaching). 3. What Does “Section 3 Worker” Mean? A Section 3 worker is any worker who currently fits, or when hired within the past five years fit, at least one of the following categories, as documented: 1. The worker’s income for the previous or annualized calendar year is below the income limit established by HUD (see Question 6 of this part I of these FAQs, below); 2. The worker is employed by a Section 3 business concern (see Question 5 of part I, below); or 3. The worker is a YouthBuild participant. 4. What Does “Targeted Section 3 Worker” Mean? A Section 3 targeted worker for Public Housing Financial Assistance projects is a Section 3 worker who: (1) is employed by a Section 3 business concern; or (2) currently fits or when hired fit at least one of the following categories, as documented within the past five years: (i) A resident of public housing or Section 8-assisted housing; (ii) A resident of other public housing projects or Section 8-assisted housing managed by the PHA that is providing the assistance; or (iii) A YouthBuild participant. A Section 3 targeted worker for Housing and Community Development Financial Assistance projects is a Section 3 worker who: (1) is employed by a Section 3 business concern; or (2) currently fits or when hired fit at least one of the following categories, as documented within the past five years: (i) Living within the service area or the neighborhood of the project, as defined in 24 CFR § 75.5; or (ii) A YouthBuild participant. 5. What Does “Section 3 Business Concern” mean? A Section 3 business concern is a business that meets at least one of the following criteria, documented within the last six-month period: 1. At least 51 percent owned and controlled by low- or very low-income persons; 2. Over 75 percent of the labor hours performed for the business over the prior three-month period are performed by Section 3 workers; or Section 3 Frequently Asked Questions 5 3. A business at least 51 percent owned and controlled by current public housing residents or residents who currently live in Section 8-assisted housing. 6. How are low-income and very low-income determined? Low- and very low-income limits are defined in Section 3(b)(2) of the Housing Act of 1937 and are determined annually by HUD. These limits are typically established at 80 percent and 50 percent of the area median individual income. HUD income limits may be obtained from: https://www.huduser.gov/portal/datasets/il.html. 7. What is YouthBuild? YouthBuild is a community-based pre-apprenticeship program that provides job training and educational opportunities for at-risk youth ages 16-24 who have previously dropped out of high school. YouthBuild participants learn vocational skills in construction, as well as in other in-demand industries that include health care, information technology, and hospitality. Youth also provide community service through the required construction or rehabilitation of affordable housing for low-income or homeless families in their own neighborhoods. The Division of Youth Services within the Employment and Training Administration's Office of Workforce Investment at the U.S. Department of Labor administers the YouthBuild program. Each year, more than 6,000 youth participate in approximately 210 YouthBuild programs in more than 40 states. More information can be found here: https://www.dol.gov/agencies/eta/youth/youthbuild. 8. As a funding recipient, what are my Section 3 reporting goals? Your Section 3 reporting goals depend on the type of assistance you are receiving, whether public housing financial assistance or housing and community development financial assistance. For public housing financial assistance, the benchmark for Section 3 workers is set at 25 percent or more of the total number of labor hours worked by all workers employed with public housing financial assistance in the PHA’s or other recipient’s fiscal year. The benchmark for Targeted Section 3 workers is set at 5 percent or more of the total number of labor hours worked by all workers employed with public housing financial assistance in the PHA’s or other recipient’s fiscal year. This means that the 5 percent is included as part of the 25 percent threshold. For housing and community development financial assistance projects, the benchmark for Section 3 workers is set at 25 percent or more of the total number of labor hours worked by all workers on a Section 3 project. The benchmark for Targeted Section 3 workers is set at 5 percent or more of the total number of labor hours worked by all workers on a Section 3 project. This means that the 5 percent is included as part of the 25 percent threshold. 9. How does Section 3 differ from the Minority Business Enterprise/Women Business Enterprise programs? Section 3 is both race and gender neutral. The standards provided under this regulation are based on income-level and location. Section 3 regulations were designed to encourage recipients of HUD Section 3 Frequently Asked Questions 6 funding to direct employment, training, and contracting opportunities to low-income individuals, and the businesses that employ these persons within their community regardless of race and/or gender. Minority Business Enterprise (MBE) means a business enterprise that is at least 51% owned and controlled by one or more minority or socially and economically disadvantaged persons. Such disadvantage may arise from cultural, racial, chronic economic circumstances or other similar causes. Women’s Business Enterprise (WBE) is an independent business concern that is at least 51% owned and controlled by one or more women who are U.S. citizens or Legal Resident Aliens; whose business formation and principal place of business are in the U.S. or its territories; and whose management and daily operation is controlled by a woman with industry expertise. Section 3 standards are race and gender neutral. A minority and/or woman owned business enterprise must provide evidence that it meets at least one criterion of a Section 3 business concern outlined above in order to receive preference under Section 3. However, the Department anticipates that Section 3 will serve to support, and not impede, contract opportunities for minority business enterprises. The MBE designation may provide preferences promoted by other statutes and regulations, such as goals for MBEs and other socially and economically disadvantaged businesses. To learn more about the Minority Business Enterprise and Women Business Enterprise programs, please contact HUD’s Office of Small and Disadvantaged Business Utilization at 202-708-1428, or visit their website, located at: https://www.hud.gov/program_offices/sdb. 10. What is a Section 3 project? Section 3 projects are housing rehabilitation, housing construction, and other public construction projects assisted under HUD programs that provide housing and community development financial assistance when the total amount of assistance to the project exceeds a threshold of $200,000. The threshold is $100,000 where the assistance is from the Lead Hazard Control and Healthy Homes programs, as authorized by Sections 501 or 502 of the Housing and Urban Development Act of 1970 (12 U.S.C. 1701z–1 or 1701z–2), the Lead-Based Paint Poisoning Prevention Act (42 U.S.C 4801 et seq.,; and/or the Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851 et seq.). (See Question 12 of this part I of these FAQs for more detail regarding Lead Hazard Control and Healthy Homes programs.) The project is the site or sites together with any building(s) and improvements located on the site(s) that are under common ownership, management, and financing. The requirements of Part 75 apply to an entire Section 3 project, regardless of whether the project is fully or partially assisted under HUD programs that provide housing and community development financial assistance. 11. Who is considered a recipient of Section 3 funding? A recipient is any entity that receives directly from HUD public housing financial assistance or housing and community development assistance that funds Section 3 projects, including, but not limited to, any State, local government, instrumentality, PHA, or other public agency, public or private nonprofit organization. It does not include contractors or any intended beneficiary under the HUD program to which Section 3 applies, such as a homeowner or a Section 3 worker. Section 3 Frequently Asked Questions 7 12. What are funding thresholds and how do they apply to Section 3 covered financial assistance? Funding thresholds are minimum dollar amounts that trigger Section 3 requirements. There are no thresholds for public housing programs. The requirements of Section 3 apply to all programs receiving public housing financial assistance regardless of the amount of assistance received from HUD. Section 3 also applies to the entirety of a mixed-finance development project as described in 24 CFR 905.604, regardless of whether the project is fully or partially assisted with public housing financial assistance. Section 3 projects are housing rehabilitation, housing construction, and other public construction projects assisted under HUD programs that provide housing and community development financial assistance when the total amount of assistance to the project exceeds a threshold of $200,000 (Lead Hazard Control and Healthy Homes (LHCHH) assistance is not included in calculating whether the assistance exceeds the $200,000 threshold). The threshold is $100,000 when the assistance is from the Lead Hazard Control and Healthy Homes programs, as authorized by Sections 501 or 502 of the Housing and Urban Development Act of 1970, the Lead-Based Paint Poisoning Prevention Act, and the Residential Lead-Based Paint Hazard Reduction Act of 1992. LHCHH programs require Section 3 compliance if there is over $100,000 of LHCHH funding for the project (neither HUD public housing financial assistance nor HUD housing and community development financial assistance is included in calculating whether the assistance exceeds the $100,000 threshold). Recipients of LHCHH funding will also be required to comply with Section 3 regulations and report on the entirety of the project when the total amount of HUD housing and community development financial assistance to the project exceeds $200,000 (LHCHH funding is not included in calculating whether the total assistance exceeds the $200,000 threshold), or if any public housing financial assistance is provided. 13. Which recipient agencies (or sources of HUD financial assistance) are required to comply with Section 3? For public housing financial assistance, Public Housing Authorities (PHAs), regardless of size or number of public housing units, are required to comply with Section 3 and its reporting requirements. However, small PHAs (fewer than 250 units) are permitted to report qualitatively as permitted under 24 CFR § 75.15(d). Some examples of those qualitative efforts are listed in the answer to Question 15. As previously stated, Section 3 also applies to projects with more than $200,000 in funding from housing and community development financial assistance programs. The following is a list of examples of such funds: • Community Development Block Grant (CDBG) • HOME Investment Partnership • Housing Trust Fund (HTF) • Neighborhood Stabilization Program Grants (NSP 1, 2 & 3) • Housing Opportunities for Persons with AIDS (HOPWA) • Emergency Solutions Grants (ESG) • University Partnership Grants Section 3 Frequently Asked Questions 8 • Economic Stimulus Funds • 202/811 Grants • Lead Hazard Control Grants ($100,000 threshold; see Question 12, above, in this part I of these FAQs) • Healthy Homes Production Grants ($100,000 threshold; see Question 12, above, in this part I) • Rental Assistance Demonstration (RAD) (see most recent RAD Notice, found through HUD’s RAD website, www.hud.gov/rad/) *Note: The requirements of Section 3 typically apply to recipients of HUD funds that will be used for housing construction, rehabilitation, or other public construction. Contact Section3@hud.gov to determine applicability to a particular project/activity. 14. Can a non-profit organization be considered a business concern for the purposes of Section 3? Yes. A non-profit organization can be a business concern. Non-profit organizations must meet the criteria of a Section 3 business concern as defined at 24 CFR § 75.5 in order to receive Section 3 preference. See response to Question 5 above. 15. What is a “Service Area” or “Neighborhood of the project”? “Service area” or the “neighborhood of the project” means an area within one mile of the Section 3 project or, if fewer than 5,000 people live within one mile of a Section 3 project, within a circle centered on the Section 3 project that is sufficient to encompass a population of 5,000 people according to the most recent U.S. Census. 16. What if my agency does not meet all benchmark goals for employment or contracting? If reporting indicates that the agency has not met the Section 3 benchmarks, the agency must report in a method prescribed by HUD program offices on the qualitative nature of its activities and those its contractors and subcontractors pursued per 24 CFR § 75.15(b) and § 75.25(b). Such qualitative efforts may, for example, include but are not limited to the following: • Engaged in outreach efforts to generate job applicants who are Targeted Section 3 workers. • Provided training or apprenticeship opportunities. • Provided technical assistance to help Section 3 workers compete for jobs (e.g., resume assistance, coaching). • Provided or connected Section 3 workers with assistance in seeking employment including: drafting resumes, preparing for interviews, and finding job opportunities connecting residents to job placement services. • Held one or more job fairs. • Provided or referred Section 3 workers to services supporting work readiness and retention (e.g., work readiness activities, interview clothing, test fees, transportation, childcare). • Provided assistance to apply for/or attend community college, a four-year educational institution, or vocational/technical training. Section 3 Frequently Asked Questions 9 • Assisted Section 3 workers to obtain financial literacy training and/or coaching. • Engaged in outreach efforts to identify and secure bids from Section 3 business concerns. • Provided technical assistance to help Section 3 business concerns understand and bid on contracts. • Divided contracts into smaller jobs to facilitate participation by Section 3 business concerns. • Provided bonding assistance, guaranties, or other efforts to support viable bids from Section 3 business concerns. • Promoted use of business registries designed to create opportunities for disadvantaged and small businesses. • Outreach, engagement, or referrals with the state one-stop system as defined in Section 121(e)(2) of the Workforce Innovation and Opportunity Act 17. My agency has met all benchmark goals for employment and contracting, does this mean that we are considered in compliance with Section 3? Yes. Recipients will be considered to have complied with Section 3 requirements, in the absence of evidence to the contrary, if they meet all benchmark goals and certify compliance with prioritization requirements found in 24 CFR § 75.9 or §75.19. However, if subsequent HUD enforcement activities reveal that the recipient has failed to comply with the recipient responsibilities set forth at 24 CFR §75.13 or §75.23, this compliance determination may be rescinded. Section 3 Frequently Asked Questions 10 II. APPLICABILITY:/ 1. What HUD assistance does Section 3 apply to? Section 3 applies to both: a) Public Housing Financial Assistance – (i) Development assistance provided pursuant to Section 5 of the United States Housing Act of 1937 (the 1937 Act); (ii) Operations and management assistance provided pursuant to Section 9(e) of the 1937 Act; (iii) Development, modernization, and management assistance provided pursuant to Section 9(d) of the 1937 Act; and (iv) The entirety of a mixed-finance development project as described in 24 CFR 905.604, regardless of whether the project is fully or partially assisted with public housing financial assistance as defined in subsections (i) through (iii). b) Housing and Community Development Financial Assistance expended for housing rehabilitation, housing construction, or other public construction. See Question #2 below for applicability thresholds. 2. Do the requirements of Section 3 apply to grantees on a per project basis? Yes, for housing and community development financial assistance projects. Section 3 projects are housing rehabilitation, housing construction, and other public construction projects assisted under HUD programs that provide housing and community development financial assistance when the total amount of assistance to the project exceeds a threshold of $200,000. The threshold is $100,000 where the assistance is from the Lead Hazard Control and Healthy Homes programs. See Question 12 of part I of these FAQs. Section 3 applies to all public housing financial assistance funds, regardless of the amount of assistance from HUD. 3. If a project is funded with non-HUD assistance, do the requirements of Section 3 still apply? Section 3 applies to projects that are fully or partially funded with HUD financial assistance. Projects that are financed with state, local or private matching or leveraged funds used in conjunction with HUD funds are covered by Section 3 if the amount of HUD funding for the project exceeds the regulatory thresholds (listed in Section I, Question #11). For RAD projects, Section 3 applies regardless of what money is used to pay for repairs. Per the RAD Notice, “While most RAD conversions do not utilize funding covered by Section 3, HUD has established the alternative requirement that any Work required by the conversion after the RAD Closing that involves housing rehabilitation or housing construction is subject to the Section 3 requirements applicable to housing and community development activities as set forth in 12 U.S.C. 1701u(c)(2) and (d)(2) and the regulations derived from such provisions except that, with the exception of transactions receiving HUD housing and community development assistance, such as CDBG (24 CFR part 570) or HOME (24 CFR part 92), first priority for employment and other economic Section 3 Frequently Asked Questions 11 opportunities shall be given to residents of public housing or Section 8 assisted housing. Otherwise, the receipt of Section 8 rental assistance does not, in itself, trigger the applicability of Section 3.” 4. What recordkeeping responsibilities do contractors/subcontractors have if they receive Section 3 covered contracts? Recordkeeping requirements for recipients are found at 24 CFR § 75.31. Recipients are required to maintain documentation to demonstrate compliance with the regulations and are responsible for requiring their contractors/subcontractors to maintain or provide any documentation that will assist recipients in demonstrating compliance, including documentation that shows hours worked by Section 3 workers, Targeted Section 3 workers, and any qualitative efforts to comply with Section 3. Examples of documentation can be found in 24 CFR §75.31. 5. Do the Section 3 requirements apply to material only contracts? No. Section 3 does not apply to material only contracts or those that do not require any labor. For example, a contract for office or janitorial supplies would not be covered by Section 3. In this example, Section 3 would be encouraged but not required. However, a contract to replace windows that includes the removal of existing windows and the installation of new windows would be covered due to the involvement of labor. 6. Do the Section 3 requirements apply to Section 8 project-based rental assistance contracts? No. Section 8 project-based voucher or project-based rental assistance housing assistance payment contracts, are not covered by the statute, including properties converted through the Rental Assistance Demonstration (RAD). 7. Are maintenance projects covered by Section 3? Yes, but only for PIH funded programs administered by Public Housing Authorities. 8. Does the reduction and abatement of lead-based paint hazards constitute housing rehabilitation? No, reduction and abatement of lead-based paint hazards focuses on mitigating lead paint hazards only, not conducting general rehabilitation activities. 9. Are demolition projects covered by the requirements of Section 3? Yes. Recipients of assistance covered by Section 3 should, where feasible, comply with Section 3 benchmarks. Section 3 Frequently Asked Questions 12 10. Are professional service contracts required to be reported under Section 3? No, professional service contracts for non-construction services that require an advanced degree or professional licensing are not required to be reported as a part of total Section 3 labor hours. However, this exclusion does not cover all non-construction services. However, professional services staff labor hours are permitted to be reported and PHAs will be given credit for reporting opportunities created for professional services by including professional services labor hours in the numerator, and not in the denominator, of the reported outcome ratios. The reporting structure in the rule allows a recipient to count any work performed by a professional services Section 3 worker or Targeted Section 3 worker as Section 3 labor hours and as Targeted Section 3 labor hours (i.e., in the numerator of the calculation), even when the professional services as a whole are not counted in the baseline reporting (i.e., in the denominator of the calculation). The effect of this reporting structure is to give a recipient a bonus if they are able to report Section 3 hires in the professional services context. 11. Does Section 3 apply to labor hours by a CDBG-Entitlement recipient? Yes. If the recipient intends to use its HUD grant to perform housing construction, rehabilitation, or other public construction and the total HUD assistance to the project exceeds $200,000, then Section 3 applies to the project. 12. Does Section 3 apply to labor hours by a Public Housing Authority? Yes. Section 3 applies to all Public Housing capital, operating, or development funds. Section 3 Frequently Asked Questions 13 III. CONSISTENCY WITH OTHER LAWS: 1. Are recipients required to comply with Federal/state/local laws in addition to Section 3? Yes. Compliance with Section 3 shall be achieved, to the greatest extent feasible, consistent with existing Federal, state and local laws and regulations. Accordingly, recipients of Section 3-covered assistance are required to develop strategies for meeting both the regulatory requirements at 24 CFR part 75 and any other applicable statutes or regulations. 2. What is the relationship between Section 3 and Davis Bacon requirements? Compliance with Section 3 must be achieved consistent with the requirements of Davis-Bacon. Certain construction contracts are subject to compliance with the requirement to pay prevailing wages determined under the Davis-Bacon Act (40 U.S.C. 3141 et seq.) and implementing U.S. Department of Labor regulations in 29 CFR Part 5. Additionally, certain HUD-assisted rehabilitation and maintenance activities on public housing projects are subject to compliance with the requirement to pay prevailing wage rates, as determined or adopted by HUD, to laborers and mechanics employed in this work. (24 CFR § 965.101). 3. What does the new rule mean for Tribes and Tribally Designated Housing Entities? After the Section 3 new rule went into effect on November 30, 2020, Tribes and Tribally Designated Housing Entities under the Indian Housing Block Grant and Indian Community Development Block Grant programs are no longer required comply with Section 3 requirements. The new rule at 24 CFR part 75 provides that contracts, subcontracts, grants, or subgrants subject to Section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 5307(b)) or subject to tribal preference requirements as authorized under 101(k) of the Native American Housing Assistance and Self-Determination Act (25 U.S.C. 4111(k)) must provide preferences in employment, training, and business opportunities to Indians and Indian organizations, and are therefore not subject to the requirements of 24 CFR Part 75. Section 3 Frequently Asked Questions 14 IV. RECIPIENT RESPONSIBILITIES: 1. What are the responsibilities of recipient agencies under Section 3? Recipients are required to ensure their own compliance and the compliance of their contractors/subcontractors with the Section 3 regulations, as outlined at 24 CFR part 75. These responsibilities include but are not limited to the following: Designing and implementing procedures to comply with the requirements of Section 3: Recipient agencies must take an active role in ensuring Section 3 compliance. The first step is implementing procedures to ensure that all parties, including residents, businesses, contractors, and subcontractors, comply with Section 3 and maintain records verifying that compliance. Facilitating the training and employment of Section 3 workers: The recipient agency must act as a facilitator, connecting Section 3 workers to training and employment opportunities. Facilitating the award of contracts to Section 3 business concerns: The recipient agency must also work to link developers and contractors with capable Section 3 business concerns. Additionally, recipient agencies, when necessary, may direct Section 3 business concerns to organizations that provide capacity-building training. Ensuring Contractor and Subcontractor Awareness of and Compliance with Section 3 Benchmarks and responsibilities: The recipient agency is responsible for ensuring that contractors and subcontractors are aware of, and in compliance with, Section 3 requirements. Ensuring Compliance and Meeting Numerical Benchmarks: Recipient agencies shall ensure compliance with Section 3 by assessing the hiring and subcontracting needs of contractors; regularly monitoring contractor compliance; assisting and actively cooperating with the Secretary of HUD in obtaining the compliance of contractors; penalizing non-compliance; providing incentives for good performance; and refraining from entering into contracts with any contractor that previously failed to comply with the requirements of Section 3. Reporting Requirements: Recipient agencies must document all actions taken to comply with the requirements of Section 3 and report these activities either through the Section 3 Performance Evaluation and Registration System (SPEARS), for Public Housing financial assistance, or any reporting system designated by program areas overseeing other funding. 2. What are the reporting requirements for legacy contracts entered into under the old Part 135 rule? On and after November 30, 2020, Section 3 regulations codified at 24 CFR Part 135 (the old rule) have not applied and will not apply to new grants, commitments, contracts, or projects. Contracts executed or projects for which assistance or funds were committed prior to November 30, 2020 are still required to adhere to the requirements of the old rule. Recipients of such assistance or funds will still be expected to maintain records of Section 3 statutory, regulatory, and contractual compliance but will no longer be required to report Section 3 compliance to HUD in SPEARS. Section 3 Frequently Asked Questions 15 HUD does not require funding recipients to change or alter contracts that were in place prior to the new Section 3 requirements becoming effective on November 30, 2020. 3. What are the reporting requirements for Section 3 projects for which assistance or funds are committed during the transition period? Projects for which assistance or funds are committed between November 30, 2020 and July 1, 2021 are subject to the new Section 3 regulations found in 24 CFR part 75, and HUD expects that funding recipients will begin following this final rule's requirements for new grants, commitments, and contracts. Recipients will be expected to maintain records of statutory, regulatory, and contractual compliance with Section 3 for these projects but will not be required to report to HUD on the requirements found in 24 CFR part 75. During the transition period between November 30, 2020 and July 1, 2021, recipients are expected to plan and revise processes, systems, and documents to comply with the new rule's requirements. During this time, funding recipients are still required to comply with Section 3’s statutory requirements by ensuring that, to the greatest extent feasible, recipients continue to direct economic opportunities generated by certain HUD financial assistance to low- and very low-income persons and businesses that provide economic opportunities to low- and very low-income persons. Recipients and employers should use this time to update policies and procedures for tracking labor hours and other requirements to ensure compliance with the new rules for projects for which funds are committed on or after July 1, 2021. 4. What is the reporting timeline for Public Housing Authorities and other recipients of public housing financial assistance? As of November 30, 2020, PHAs’ requirement to report their Section 3 activities and efforts starts 60 days after the end of their first fiscal year that begins after July 1, 2021. Please see the charts below for examples of PHA reporting schedules: Fiscal Year End New Reporting Period Begins New Reporting Period Ends 6/30/21 7/1/21 6/30/22 9/30/21 10/1/21 9/30/22 12/31/21 1/1/22 12/13/22 3/31/22 4/1/22 3/31/23 Section 3 Frequently Asked Questions 16 5. What are the reporting requirements for Public Housing Authorities and other recipients of public housing financial assistance during the transition period? All recipients of public housing financial assistance are required to follow the new Section 3 regulations found in 24 CFR part 75 beginning on November 30, 2020, and HUD expects that funding recipients and employers will begin following this final rule's requirements for new grants, commitments, and contracts on and after this date. Recipients will be expected to maintain records of statutory, regulatory, and contractual compliance with Section 3 but will not be required to report in SPEARS on the requirements found in 24 CFR part 75 until the recipient’s first full fiscal year after July 1, 2021, as indicated in Question #4 above. During the transition period between November 30, 2020 and a PHA or other recipient’s required reporting start date, employers and grantees are expected to plan and revise processes, systems, and documents to comply with the new rule's requirements. During this time, PHAs and other recipients are still required to comply with Section 3’s statutory requirements by ensuring that, to the greatest extent feasible, PHA’s continue to direct economic opportunities generated by certain HUD financial assistance to low- and very low-income persons, tenants of public and assisted housing, and businesses that provide economic opportunities to low- and very low-income persons. 6. What are good strategies for targeting Section 3 workers and businesses? In order to successfully target Section 3 workers and businesses for employment and contracting opportunities, recipients must establish and maintain an effective Section 3 program. HUD has found that hiring a Section 3 coordinator or assigning one individual the responsibility of coordinating all Section 3 related activities is instrumental in reaching Section 3’s employment and contracting goals. It is recommended that recipient agencies establish procedures to certify Section 3 workers and Section 3 business concerns for employment and contracting opportunities. Thereafter, they should maintain a list of eligible workers and businesses by skill, capacity or interest and contact them on a periodic basis when employment and contracting opportunities are available. Refer to the Section 3 regulations at 24 CFR § 75.15(b) and § 75.25(b) for a listing of qualitative efforts. Section 3 Frequently Asked Questions 17 7. Are funds provided to recipients so that they can comply with the requirements of Section 3? No. Funding has not been appropriated for Section 3 compliance. Section 3 requirements are only triggered when the normal expenditure of covered funds results in employment, training, or contracting opportunities. 8. Are Section 3 workers or business concerns guaranteed employment or contracting opportunities under Section 3? Section 3 is not an entitlement program; therefore, employment and contracts are not guaranteed. Low- and very low-income individuals and Section 3 business concerns must be able to demonstrate that they have the ability or capacity to perform the specific job or successfully complete the contract that they are seeking. 9. Are recipients, developers, and contractors required to provide long- term employment opportunities, and not simply seasonal or temporary employment? Recipients, developers, and contractors are required, to the greatest extent feasible, to direct employment opportunities to low- and very low-income persons, including seasonal and temporary employment opportunities. Benchmark goals include the calculation of all Section 3 worker and Targeted Section 3 Worker labor hours as a percentage of all labor hours worked on a project. Recipients, developers, and contractors are encouraged to provide long-term employment to ensure that they meet the benchmark goals. 10. When might a recipient agency be exempt from the quantitative reporting requirements of Section 3? A Small Public Housing Agency (less than 250 units) may elect to not report on labor hours. If the agency does elect not to report on labor hours, it is required to report solely on qualitative efforts as permitted in 24 CFR § 75.15(d). 11. Are recipients required to request developers or contractors to make payments into Section 3 training or implementation funds? No. Recipients are not required to request contractors to make payments into a fund. Section 3 Frequently Asked Questions 18 V. SECTION 3 CERTIFICATION: 1. How can a prospective Section 3 worker or business concern certify that they meet the eligibility requirements? The individual or business must contact the agency or developer from which they are seeking employment or contracting opportunities (e.g.., the PHA, city, or local government). They should identify themselves as a Section 3 worker, Targeted Section 3 worker, or Section 3 business concern and provide whatever documentation that the recipient agency requires under their certification procedures. Prospective Section 3 workers and business concerns may self-certify that they meet the requirements as defined in the regulations. HUD recipients, contractors and subcontractors may also establish their own system to certify Section 3 workers and business concerns. 2. What documentation must be maintained by HUD recipients, subrecipients, contractors, and/or subcontractors certifying that low- and very-low individuals and business concerns meet the regulatory definitions under Section 3? There are many ways that a worker can be certified as either a Section 3 Worker or Targeted Section 3 Worker under 24 CFR part 75: For a worker to qualify as a Section 3 worker, one of the following must be maintained: (i) A worker’s self-certification that their income is below the income limit from the prior calendar year; (ii) A worker’s self-certification of participation in a means-tested program such as public housing or Section 8-assisted housing; (iii) Certification from a PHA, or the owner or property manager of project-based Section 8- assisted housing, or the administrator of tenant-based Section 8-assisted housing that the worker is a participant in one of their programs; (iv) An employer’s certification that the worker’s income from that employer is below the income limit when based on an employer’s calculation of what the worker’s wage rate would translate to if annualized on a full-time basis; or (v) An employer’s certification that the worker is employed by a Section 3 business concern. (2) For a worker to qualify as a Targeted Section 3 worker, one of the following must be maintained: For Public Housing Financial Assistance projects: (i) A worker’s self-certification of participation in public housing or Section 8-assisted housing programs; (ii) Certification from a PHA, or the owner or property manager of project-based Section 8- assisted housing, or the administrator of tenant-based Section 8-assisted housing that the worker is a participant in one of their programs; (iii) An employer’s certification that the worker is employed by a Section 3 business concern; or (iv) A worker’s certification that the worker is a YouthBuild participant. Section 3 Frequently Asked Questions 19 For Housing and Community Development Financial Assistance projects: (i) An employer’s confirmation that a worker’s residence is within one mile of the work site or, if fewer than 5,000 people live within one mile of a work site, within a circle centered on the work site that is sufficient to encompass a population of 5,000 people according to the most recent U.S. Census; (ii) An employer’s certification that the worker is employed by a Section 3 business concern; or (iii) A worker’s self-certification that the worker is a YouthBuild participant. The documentation must be maintained for the time period required for record retentions in accordance with applicable program regulations or, in the absence of applicable program regulations, in accordance with 2 CFR § 200.334, Retention Requirements for Records (www.ecfr.gov/cgi- bin/retrieveECFR?n=se2.1.200_1334), which provides for retaining records for at least three years, as described in detail in that regulation.. A PHA or recipient may report on Section 3 workers and Targeted Section 3 workers for five years from when their certification as a Section 3 worker or Targeted Section 3 worker is established. 3. What are examples of acceptable evidence to determine eligibility as a Section 3 worker? HUD does not prescribe that any specific forms of evidence to establish Section 3 eligibility. Acceptable documentation includes, but is not limited to the following: • Proof of residency in a public housing project; or • Evidence of participation in the YouthBuild program. 4. What are examples of acceptable evidence for determining eligibility as a Section 3 business concern? HUD does not prescribe that any specific forms of evidence be required to establish Section 3 eligibility. The business seeking the preference must be able to demonstrate that they meet one of the following criteria: 1. At least 51 percent owned and controlled by low- or very low-income persons; 2. Over 75 percent of the labor hours performed for the business over the prior three-month period are performed by Section 3 workers; or 3. A business at least 51 percent owned and controlled by current public housing residents or residents who currently live in Section 8-assisted housing. 5. Are all public housing residents considered Section 3 workers regardless of their income? No. To qualify as a Section 3 Worker, an individual must meet one of the following criteria: 1. The worker’s income for the previous or annualized calendar year is below the income limit established by HUD; 2. The worker is employed by a Section 3 business concern; or 3. The worker is a YouthBuild participant. Section 3 Frequently Asked Questions 20 6. Does qualifying as a Section 3 businesses mean that the business will be selected if it meets the technical requirements of the bid, regardless of bid price? No. As provided in 2 CFR 200.318, contract awards shall only be made to responsible contractors possessing the ability to perform under the terms and conditions of the proposed contract. In order to meet the requirements of Section 3 and Federal and state procurement laws, recipient agencies must develop procedures that are consistent with all applicable regulations. 7. Can contracting with MBE/WBE businesses count towards Section 3 benchmarks? It depends. Section 3 is race and gender neutral. Only MBEs/WBEs that meet the eligibility criteria as a Section 3 business concern set forth in the regulation can be counted towards the Section 3 labor hour calculation. 8. Does a business have to be incorporated to be considered a Section 3 eligible business? No. A Section 3 business concern can be any type of business, such as a sole proprietorship, partnership, or a corporation, properly licensed and meeting all legal requirements to perform the contract under consideration. Section 3 Frequently Asked Questions 21 VI. ECONOMIC OPPORTUNITIES NUMERICAL BENCHMARKS: 1. How can low- and very low-income persons and businesses locate recipient agencies that are required to comply with Section 3 in their area? To find local recipients’ agencies, Section 3 residents or businesses should contact their local HUD office. To find your closest office, visit: www.hud.gov/localoffices. 2. How can I find Section 3 business concerns in my area? Contact local recipient agencies to find Section 3 business concerns in your area. Section 3 business concerns that have registered in the Section 3 Business Registry are also available at: https://portalapps.hud.gov/Sec3BusReg/BRegistry/BRegistryHome. 3. Do the benchmark requirements only count toward new hires? No, the rule does not apply to only new hires, but if someone is currently on staff and qualifies as a Section 3 resident under 24 CFR part 135, they will need to re-certify as either a Section 3 worker or Targeted Section 3 worker under 24 CFR part 75. 4. Should PHA’s report on staff hours? Yes, but not all PHA staff qualify as Section 3 workers. Only PHA staff that meet the definition of a Section 3 worker or Targeted Section 3 worker would qualify to be counted toward total Section 3 or Targeted Section 3 labor hours. Once a PHA determines that a Section 3 worker or Targeted Section 3 worker is hired or currently employed, the PHA would just report those hours as the numerator over the total labor hours funded with public housing financial assistance as the denominator. 5. What category of PHA Staff should be included? Both salaried and hourly workers need to be reported. There is a limited good faith assessment exception for PHAs and other recipient employers of hourly and salaried workers that are not subject to requirements specifying time and attendance reporting and do not have systems already in place to track labor hours. This exception is to address employers that do not already track labor hours without making changes in time and attendance or payroll. 6. Are recipient agencies required to meet the Section 3 benchmarks, or are they optional? The Section 3 benchmarks are minimum targets that must be reached in order for the Department to consider a recipient in compliance. Recipient agencies are required to make best efforts, or to the greatest extent feasible, to achieve the benchmarks required for the number of labor hours performed by both Section 3 workers and Targeted Section 3 workers. If an agency fails to fully meet the Section 3 benchmarks, they must adequately document the efforts taken to meet the numerical goals (see Question #9 for a discussion of safe harbor.) Section 3 Frequently Asked Questions 22 7. Will there be changes to the benchmark requirements? The Secretary of Housing and Urban Development is required in the Benchmark Notice published in the Federal Register to review and update the Benchmarks by Federal Register notice no less frequently than once every three years. 8. What is considered "other" public construction? Other public construction includes infrastructure work, such as extending water and sewage lines, sidewalk repairs, site preparation, and installing conduits for utility services. 9. What is the meaning of the safe harbor determination? Recipients will be considered to have complied with the Section 3 requirements and met the safe harbor, in the absence of evidence to the contrary, if they certify that they have followed the required prioritization of effort and met or exceeded the applicable Section 3 benchmarks. If a recipient agency or contractor does not meet the benchmark requirements but can provide evidence that they have made a number of qualitative efforts to assist low- and very low-income persons with employment and training opportunities, the recipient or contractor is considered to be in compliance with Section 3, absent evidence to the contrary (i.e., evidence or findings obtained from a Section 3 compliance review). Section 3 Frequently Asked Questions 23 VII. SECTION 3 COMPLAINTS: 1. How should complaints be made? Complaints alleging failure of compliance with this part may be reported to the HUD program office responsible for the public housing financial assistance or the Section 3 project, or to the local HUD field office. These offices can be found through the HUD website, www.hud.gov/. 2. Where else can I file complaints alleging denied employment and contracting opportunities? You may be eligible to bring complaints under other federal laws. The U.S. Equal Employment Opportunity Commission (EEOC) is responsible for enforcing federal laws that make it illegal to discriminate against a job applicant or an employee because of the person’s race, color, religion, sex (including pregnancy), national origin, age (40 or older), disability or genetic information (medical history or predisposition to disease). For more information about your rights, please contact EEOC at: www.EEOC.gov. The Department of Labor Office of Federal Contract Compliance Programs (OFCCP) enforces, for the benefit of job seekers and wage earners, the contractual promise of affirmative action and equal employment opportunity required of those who do business with the Federal government. More information about the services they provide can be obtained at: http://www.dol.gov/ofccp/. 61147.02100\34514883.2 -118- 00 73 23 – FEDERAL REQUIREMENTS FEDERAL CONTRACT PROVISIONS: During the performance of this Contract, Contractor shall comply with all applicable federal laws and regulations including but not limited to the federal contract provisions in this Exhibit. REQUIRED CONTRACT PROVISIONS IN ACCORDANCE WITH APPENDIX II TO PART 200 – CONTRACT PROVISIONS FOR NON-FEDERAL ENTITY CONTRACTS UNDER FEDERAL AWARDS (2 C.F.R. § 200.327) (a) Appendix II to Part 200 (A) – Breach of Contract Remedies: The Contract Documents include provisions related to breach of contract remedies. (b) Appendix II to Part 200 (B) - Termination for Cause/Convenience: The Contract Documents include provisions for termination for cause or convenience by City, including the manner by which it will be effected and the basis for settlement. (c) Appendix II to Part 200 (C) – Equal Employment Opportunity: Except as otherwise provided under 41 C.F.R. Part 60, if this contract meets the definition of a “federally assisted construction contract” in 41 C.F.R. § 60-1.3, then Contractor shall comply with the following equal opportunity clause, in accordance with Executive Order 11246 of September 24, 1965 entitled “Equal Employment Opportunity,” as amended by Executive Order 11375 of October 13, 1967 and implementation regulations at 41 C.F.R. Chapter 60: (i) The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (ii) The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin. (iii) The Contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the Contractor's legal duty to furnish information. 61147.02100\34514883.2 -119- 00 73 23 – FEDERAL REQUIREMENTS (iv) The Contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (v) The Contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (vi) The Contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (vii) In the event of the Contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (viii) The Contractor will include the portion of the sentence immediately preceding paragraph (i) and the provisions of paragraphs (i) through (vii) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event a Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request the United States to enter into such litigation to protect the interests of the United States. The applicant further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, That if the applicant so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. 61147.02100\34514883.2 -120- 00 73 23 – FEDERAL REQUIREMENTS The applicant further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the applicant agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings. (d) Appendix II to Part 200 (D) – Davis-Bacon Act: (i) Contractor must comply with the Davis-Bacon Act (40 U.S.C. 3141-3144, and 3146-3148) as supplemented by Department of Labor regulations (29 C.F.R. Part 5, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction”). (ii) All transactions regarding this contract shall be done in compliance with the Davis-Bacon Act (40 U.S.C. 31413144, and 3146-3148) and the requirements of 29 C.F.R. pt. 5 as may be applicable. The contractor shall comply with 40 U.S.C. 3141-3144, and 3146-3148 and the requirements of 29 C.F.R. pt. 5 as applicable. (iii) Contractors are required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. (iv) Additionally, contractors are required to pay wages not less than once a week. (e) Appendix II to Part 200 (D) – Copeland “Antti-Kickback” Act: (i) Contractor shall comply with the Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 C.F.R. Part 3) as may be applicable, which are incorporated by reference into this contact. In situations where the Davis- Bacon Act does not apply, neither does the Copeland “Anti-Kickback Act. The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non-Federal entity must report all suspected or reported violations to the Federal awarding agency. (ii) Contractor. The Contractor shall comply with 18 U.S.C. § 874, 40 U.S.C. § 3145, and the requirements of 29 C.F.R. pt. 3 as may be applicable, which are incorporated by reference into this contract. (iii) Subcontracts. The Contractor or subcontractor shall insert in any subcontracts the clause above and such other clauses as FEMA may by appropriate instructions 61147.02100\34514883.2 -121- 00 73 23 – FEDERAL REQUIREMENTS require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all of these contract clauses. (iv) Breach. A breach of the contract clauses above may be grounds for termination of the contract, and for debarment as a contractor and subcontractor as provided in 29 C.F.R. § 5.12. (f) Appendix II to Part 200 (E) – Contract Work Hours and Safety Standards Act: (i) If this contract is in excess of $100,000 and involves the employment of mechanics or laborers, Contractor shall comply with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 C.F.R. Part 5). Under 40 U.S.C. 3702, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. (ii) Overtime Requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (iii) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (ii) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (ii) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (ii) of this section. (iv) Withholding for unpaid wages and liquidated damages. The City shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (iii) of this section. 61147.02100\34514883.2 -122- 00 73 23 – FEDERAL REQUIREMENTS (v) Subcontracts. The Contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (ii) through (v) of this Section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The Contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (ii) through (v) of this Section. (g) Appendix II to Part 200 (F) – Rights to Inventions Made Under a Contract or Agreement: (i) If the Federal award meets the definition of “funding agreement” under 37 C.F.R. § 401.2(a) and the non-Federal entity wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that “funding agreement,” the non-Federal entity must comply with the requirements of 37 C.F.R. Part 401 (Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements), and any implementing regulations issued by the Federal awarding agency. (ii) The regulation at 37 C.F.R. § 401.2(a) currently defines “funding agreement” as any contract, grant, or cooperative agreement entered into between any Federal agency, other than the Tennessee Valley Authority, and any contractor for the performance of experimental, developmental, or research work funded in whole or in part by the Federal government. This term also includes any assignment, substitution of parties, or subcontract of any type entered into for the performance of experimental, developmental, or research work under a funding agreement as defined in the first sentence of this paragraph. (iii) This requirement does not apply to the Public Assistance, Hazard Mitigation Grant Program, Fire Management Assistance Grant Program, Crisis Counseling Assistance and Training Grant Program, Disaster Case Management Grant Program, and Federal Assistance to Individuals and Households – Other Needs Assistance Grant Program, as FEMA awards under these programs do not meet the definition of “funding agreement.” (h) Appendix II to Part 200 (G) – Clean Air Act and Federal Water Pollution Control Act: If this contract is in excess of $150,000, Contractor shall comply with all applicable standards, orders, or requirements issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-1387). (i) Pursuant to the Clean Air Act, (1) Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq., (2) Contractor agrees to report each violation to the City and understands and agrees that the City will, in turn, report each violation as required to assure notification to the Federal awarding agency and the appropriate Environmental Protection Agency Regional Office, and (3) Contractor agrees to include these requirements in each subcontract exceeding $150,000. (ii) Pursuant to the Federal Water Pollution Control Act, (1) Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq., (2) Contractor agrees to report each violation to the City and understands and agrees that the City will, in turn, report each violation as required to assure notification to the Federal awarding agency and the appropriate 61147.02100\34514883.2 -123- 00 73 23 – FEDERAL REQUIREMENTS Environmental Protection Agency Regional Office, and (3) Contractor agrees to include these requirements in each subcontract exceeding $150,000. (i) Appendix II to Part 200 (H) – Debarment and Suspension: A contract award (see 2 C.F.R. § 180.220) must not be made to parties listed on the government wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 C.F.R. part 1986 Comp., p. 189) and 12689 (3 C.F.R. part 1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. (i) This contract is a covered transaction for purposes of 2 C.F.R. pt. 180 and 2 C.F.R. pt. 3000. As such Contractor is required to verify that none of the Contractor, its principals (defined at 2 C.F.R. § 180.995), or its affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R. § 180.940) or disqualified (defined at 2 C.F.R. § 180.935). (ii) Contractor must comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C and must include a requirement to comply with these regulations in any lower tier covered transaction it enters into. (iii) This certification is a material representation of fact relied upon by City. If it is later determined that Contractor did not comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in addition to remedies available to the City, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment. (iv) Contractor warrants that it is not debarred, suspended, or otherwise excluded from or ineligible for participation in any federal programs. Contractor also agrees to verify that all subcontractors performing work under this contract are not debarred, disqualified, or otherwise prohibited from participation in accordance with the requirements above. Contractor further agrees to notify the City in writing immediately if Contractor or its subcontractors are not in compliance during the term of this contract. (j) Appendix II to Part 200 (I) – Byrd Anti-Lobbying Act: If this contract is in excess of $100,000, Contractor shall have submitted and filed the required certification pursuant to the Byrd Anti-Lobbying Amendment (31 U.S.C. § 1353). If at any time during the contract term funding exceeds $100,000.00, Contractor shall file with the City the Federal Standard Form LLL titled “Disclosure Form to Report Lobbying.” Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the recipient who in turn will forward the certification(s) to the awarding agency. (k) Appendix II to Part 200 (J) – §200.323 Procurement of Recovered Materials: (i) Contractor shall comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 61147.02100\34514883.2 -124- 00 73 23 – FEDERAL REQUIREMENTS include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement. (ii) In the performance of this contract, the Contractor shall make maximum use of products containing recovered materials that are EPA-designated items unless the product cannot be acquired: Competitively within a timeframe providing for compliance with the contract performance schedule; Meeting contract performance requirements; or At a reasonable price. (iii) Information about this requirement, along with the list of EPA-designate items, is available at EPA’s Comprehensive Procurement Guidelines web site, https://www.epa.gov/smm/comprehensive-procurement-guideline-cpg-program. (iv) The Contractor also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act.” (l) Appendix II to Part 200 (K) – §200.216 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment: (i) Contractor shall not contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system funded under this Contract. As described in Public Law 115–232, section 889, covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities). (1) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities). (2) Telecommunications or video surveillance services provided by such entities or using such equipment. (3) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country. (ii) See Public Law 115-232, section 889 for additional information. (m) §200.321 Affirmative Steps: (i) If Contractor utilizes any subcontractors, the following affirmative steps as listed in paragraphs (1) through (5) of 2 CFR § 200.321(b) must be taken: 61147.02100\34514883.2 -125- 00 73 23 – FEDERAL REQUIREMENTS (1) Placing qualified small and minority businesses and women's business enterprises on solicitation lists; (2) Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources; (3) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority businesses, and women's business enterprises; (4) Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority businesses, and women's business enterprises; and (5) Using the services and assistance, as appropriate, of such organizations as the Small Business Administration and the Minority Business Development Agency of the Department of Commerce. (n) Appendix II to Part 200 (L) – §200.322 Domestic Preferences for Procurement: (i) Contractor shall, to the greatest extent practicable, purchase, acquire, or use goods, products, or materials produced in the United States (including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this section must be included in all subcontracts (ii) For purposes of this section: (1) “Produced in the United States’’ means, for iron and steel products, that all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. (2) ‘‘Manufactured products’’ means items and construction materials composed in whole or in part of nonferrous metals such as aluminum; plastics and polymer-based products such as polyvinyl chloride pipe; aggregates such as concrete; glass, including optical fiber; and lumber. 61147.02100\34514883.2 -126- 00 73 23 – FEDERAL REQUIREMENTS CDBG GRANT AGREEMENT ATTACHED BEHIND THIS PAGE County of Orange Page 1 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI CONTRACT # 21-23-0019-PFI FOR PUBLIC FACILITIES & IMPROVEMENTS STANTON FAMILY RESOURCE CENTER IMPROVEMENT PROJECT BETWEEN COUNTY OF ORANGE AND CITY OF SAN JUAN CAPISTRANO CFDA# FAIN# PROGRAM/SERVICE TITLE FUNDING AGENCY 14.218 Pending Community Development Block Grant (CDBG)/Housing Rehabilitation, Public Facilities & Improvements, and/or Public Services U.S. Housing & Urban Development (HUD) County of Orange Page 2 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Table of Contents RECITALS............................................................................................................................... 6 General Terms and Conditions: ........................................................................................... 8 A. Governing Law and Venue: ........................................................................................ 8 B. Entire Contract: ........................................................................................................... 8 C. Amendments: .............................................................................................................. 8 D. Intentionally left blank ................................................................................................ 8 E. Delivery: ....................................................................................................................... 8 F. Acceptance Payment: ................................................................................................. 8 G. Intentionally left blank: ............................................................................................... 8 H. Patent/Copyright Materials/Proprietary Infringement:............................................. 8 I. Assignment: ................................................................................................................ 9 J. Non-Discrimination:.................................................................................................... 9 K. Termination: ................................................................................................................ 9 L. Consent to Breach Not Waiver: ................................................................................. 9 M. Independent Subrecipient: ......................................................................................... 9 N. Performance Warranty: .............................................................................................. 9 O. Insurance Requirements: ......................................................................................... 10 P. Changes: ................................................................................................................... 13 Q. Change of Ownership/Name, Litigation Status, Conflicts with County Interest: 13 R. Force Majeure: .......................................................................................................... 14 S. Confidentiality: .......................................................................................................... 14 T. Compliance with Laws: ............................................................................................ 14 U. Intentionally left blank .............................................................................................. 14 V. Severability: .............................................................................................................. 14 W. Attorney Fees: ........................................................................................................... 14 X. Interpretation: ........................................................................................................... 15 Y. Employee Eligibility Verification: ............................................................................ 15 Z. Indemnification: ........................................................................................................ 15 AA. Audits/Inspections:................................................................................................... 15 BB. Contingency of Funds: ............................................................................................. 16 CC. Expenditure Limit: .................................................................................................... 16 Additional Terms and Conditions: ..................................................................................... 17 1. Scope of Contract: .................................................................................................... 17 2. Term of Contract ....................................................................................................... 17 County of Orange Page 3 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI 3. Renewal: .................................................................................................................... 17 4. Maximum Obligation: ............................................................................................... 17 5. Amendments - Changes/Extra Work:. ..................................................................... 17 6. Breach of Contract: .................................................................................................. 17 7. Conditions Affecting Work: ..................................................................................... 18 8. Civil Rights: ............................................................................................................... 18 9. Conflict of Interest – Subrecipient’s Personnel: .................................................... 18 10. Conflict of Interest – County Personnel: ................................................................ 18 11. Consulting Contract – Follow-On Work: ................................................................. 18 12. Project Manager, County: ........................................................................................ 18 13. Subrecipient’s Project Manager and Key Personnel: ............................................ 19 14. Subrecipient Personnel – Reference Checks: ........................................................ 19 15. Data – Title To ........................................................................................................... 19 16. Licenses .................................................................................................................... 19 17. Disputes – Contract: ................................................................................................. 20 18. EDD Independent Subrecipient Reporting Requirements: ................................... 20 19. Emergency/Declared Disaster Requirements: ....................................................... 21 20. Errors and Omissions: ............................................................................................. 21 21. Non-Supplantation of Funds: .................................................................................. 22 22. Satisfactory Work ..................................................................................................... 22 23. Access and Records: ............................................................................................... 22 24. Signature in Counterparts ........................................................................................ 23 25. Reports/Meetings ...................................................................................................... 23 26. Subcontracting: ........................................................................................................ 23 27. Equal Employment Opportunity: ............................................................................. 23 28. Gratuities ................................................................................................................... 24 29. News/Information Release: ...................................................................................... 24 30. Notices ....................................................................................................................... 24 31. Ownership of Documents ........................................................................................ 25 32. Precedence: .............................................................................................................. 25 33. Termination – Orderly: ............................................................................................. 25 34. County Branding Requirements – Publicity, Literature, Advertisement and Social Media: … .................................................................................................................. 25 Program Specific Terms and Conditions: ......................................................................... 27 35. Debarment: ................................................................................................................ 27 36. Lobbying: .................................................................................................................. 27 County of Orange Page 4 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI 37. Fraud: ......................................................................................................................... 27 38. Fiscal Accountability: ............................................................................................... 27 39. Performance Standards: .......................................................................................... 28 40. Budget Schedule:. .................................................................................................... 28 41. Payment Requirements: ........................................................................................... 28 42. Modification of Budget:. ........................................................................................... 30 43. Annual Audit: . ......................................................................................................... 30 44. D-U-N-S Number and Related Information: ............................................................ 31 45. Program Income: ...................................................................................................... 31 46. Performance: ............................................................................................................. 32 47. Performance Monitoring: ......................................................................................... 33 48. Federal Administrative and Related Requirements:. ............................................. 34 49. Definitions: ................................................................................................................. 45 Signature Page .................................................................................................................... 48 County of Orange Page 5 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI ATTACHMENTS Attachment A - Scope of Services Attachment B - Payment/Compensation Attachment C - Budget Schedule Attachment D - Staffing Plan Attachment E - Performance Standards EXHIBITS Exhibit 1– OC Community Resources Contract Reimbursement Policy Exhibit 2 – Drug Free Workplace Certification Exhibit 3 – Debarment and Suspension Certificate Exhibit 4 – Disclosure Form to Report Lobbying Exhibit 5 - Lobbying Certification County of Orange Page 6 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Contract # 21-23-0019-PFI with City of San Juan Capistrano for Public Facilities & Improvements This Contract # 21-23-0019-PFI for Public Facilities & Improvements (hereinafter referred to as “Contract”) is made and entered into as of the date fully executed by and between the County of Orange, a political subdivision of the State of California; hereinafter referred to as “County” and City of San Juan Capistrano, D-U-N-S # 960583185 , a California Municipality, with a place of business at 32400 Paseo Adelanto, San Juan Capistrano, CA 92675 hereinafter referred to as “Subrecipient”), with County and Subrecipient sometimes referred to as “party” or collectively as “parties”. ATTACHMENTS This Contract is comprised of this document and the following Attachments, which are attached hereto and incorporated by reference into this Contract: Attachment A – Scope of Services Attachment B – Payment/Compensation Attachment C – Budget Schedule Attachment D – Staffing Plan Attachment E - Performance Standards RECITALS WHEREAS, Subrecipient and County are entering into this Contract for Public Facilities & Improvements under a cost reimbursement Contract; and WHEREAS, County solicited Contract for Public Facilities & Improvements as set forth herein, and Subrecipient represented that it is qualified to provide Public Facilities & Improvements to the County as further set forth here; and WHEREAS, Subrecipient agrees to provide Public Facilities & Improvements to the County as further set forth in the Scope of Service, attached hereto as Attachment A; and WHEREAS, County agrees to pay Subrecipient based on the schedule of fees set forth in Payment/Compensation, attached hereto as Attachment B; and WHEREAS, Subrecipient agrees to manage allotted funding set forth in the Budget Schedule, attached hereto as Attachment C; and WHEREAS, Subrecipient agrees to provide staff set forth in Staffing Plan, attached hereto as Attachment D; and County of Orange Page 7 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI WHEREAS, Subrecipient agrees to meet the Performance Standards requirements set forth in attached hereto as Attachment E; and WHEREAS, the County Board of Supervisors has authorized the OC Community Resources Director or his designee to enter into a Contract for Public Facilities & Improvements with the Subrecipient to carry out certain program services and activities for the Fiscal Year 2021-22; NOW, THEREFORE, the Parties mutually agree as follows: County of Orange Page 8 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI ARTICLES General Terms and Conditions: A. Governing Law and Venue: This Contract has been negotiated and executed in the State of California and shall be governed by and construed under the laws of the State of California. In the event of any legal action to enforce or interpret this Contract, the sole and exclusive venue shall be a court of competent jurisdiction located in Orange County, California, and the parties hereto agree to and do hereby submit to the jurisdiction of such court, notwithstanding Code of Civil Procedure Section 394. Furthermore, the parties specifically agree to waive any and all rights to request that an action be transferred for adjudication to another county. B. Entire Contract: This Contract contains the entire Contract between the parties with respect to the matters herein, and there are no restrictions, promises, warranties or undertakings other than those set forth herein or referred to herein. No exceptions, alternatives, substitutes or revisions are valid or binding on County unless authorized by County in writing. Electronic acceptance of any additional terms, conditions or supplemental Contracts by any County employee or agent, including but not limited to installers of software, shall not be valid or binding on County unless accepted in writing by County’s Contract Administrator. C. Amendments: No alteration or variation of the terms of this Contract shall be valid unless made in writing and signed by the parties; no oral understanding or agreement not incorporated herein shall be binding on either of the parties; and no exceptions, alternatives, substitutes or revisions are valid or binding on County unless authorized by County in writing. D. Intentionally left blank E. Delivery: Time of delivery of goods or services is of the essence in this Contract. County reserves the right to refuse any goods or services and to cancel all or any part of the goods not conforming to applicable specifications, drawings, samples or descriptions or services that do not conform to the prescribed Scope of Services. Acceptance of any part of the order for goods shall not bind County to accept future shipments nor deprive it of the right to return goods already accepted at Subrecipient’s expense. Over shipments and under shipments of goods shall be only as agreed to in writing by County. Delivery shall not be deemed to be complete until all goods or services have actually been received and accepted in writing by County. F. Acceptance Payment: Unless otherwise agreed to in writing by County, 1) acceptance shall not be deemed complete unless in writing and until all the goods/services have actually been received, inspected, and tested to the satisfaction of County, and 2) payment shall be made in arrears after satisfactory acceptance. G. Intentionally left blank: H. Patent/Copyright Materials/Proprietary Infringement: Unless otherwise expressly provided in this Contract, Subrecipient shall be solely responsible for clearing the right County of Orange Page 9 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI to use any patented or copyrighted materials in the performance of this Contract. Subrecipient warrants that any software as modified through services provided hereunder will not infringe upon or violate any patent, proprietary right, or trade secret right of any third party. Subrecipient agrees that, in accordance with the more specific requirement contained in paragraph “Z” below, it shall indemnify, defend and hold County and County Indemnitees harmless from any and all such claims and be responsible for payment of all costs, damages, penalties and expenses related to or arising from such claim(s), including, costs and expenses but not including attorney’s fees. I. Assignment: The terms, covenants, and conditions contained herein shall apply to and bind the heirs, successors, executors, administrators and assigns of the parties. Furthermore, neither the performance of this Contract nor any portion thereof may be assigned by Subrecipient without the express written consent of County. Any attempt by Subrecipient to assign the performance or any portion thereof of this Contract without the express written consent of County shall be invalid and shall constitute a breach of this Contract. J. Non-Discrimination: In the performance of this Contract, Subrecipient agrees that it will comply with the requirements of Section 1735 of the California Labor Code and not engage nor permit any subcontractors to engage in discrimination in employment of persons because of the race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, or sex of such persons. Subrecipient acknowledges that a violation of this provision shall subject Subrecipient to penalties pursuant to Section 1741 of the California Labor Code. K. Termination: In addition to any other remedies or rights it may have by law, County has the right to immediately terminate this Contract without penalty for cause or after 30 days’ written notice without cause, unless otherwise specified. Cause shall be defined as any material breach of contract, any misrepresentation or fraud on the part of the Subrecipient. Exercise by County of its right to terminate the Contract shall relieve County of all further obligation. L. Consent to Breach Not Waiver: No term or provision of this Contract shall be deemed waived and no breach excused, unless such waiver or consent shall be in writing and signed by the party claimed to have waived or consented. Any consent by any party to, or waiver of, a breach by the other, whether express or implied, shall not constitute consent to, waiver of, or excuse for any other different or subsequent breach. M. Independent Subrecipient: Subrecipient shall be considered an independent contractor and neither Subrecipient, its employees, nor anyone working under Subrecipient shall be considered an agent or an employee of County. Neither Subrecipient, its employees nor anyone working under Subrecipient shall qualify for workers’ compensation or other fringe benefits of any kind through County. N. Performance Warranty: Subrecipient shall warrant all work under this Contract, taking necessary steps and precautions to perform the work to County’s satisfaction. Subrecipient shall be responsible for the professional quality, technical assurance, timely completion and coordination of all documentation and other goods/services County of Orange Page 10 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI furnished by the Subrecipient under this Contract. Subrecipient shall perform all work diligently, carefully, and in a good and workmanlike manner; shall furnish all necessary labor, supervision, machinery, equipment, materials, and supplies, shall at its sole expense obtain and maintain all permits and licenses required by public authorities, including those of County required in its governmental capacity, in connection with performance of the work. If permitted to subcontract, Subrecipient shall be fully responsible for all work performed by subcontractors. O. Insurance Requirements: Prior to the provision of services under this Contract, the Subrecipient agrees to purchase all required insurance at Subrecipient’s expense, including all endorsements required herein, necessary to satisfy the County that the insurance provisions of this Contract have been complied with. Subrecipient agrees to keep such insurance coverage, Certificates of Insurance, and endorsements on deposit with the County during the entire term of this Contract. In addition, all subcontractors performing work on behalf of Subrecipient pursuant to this Contract shall obtain insurance subject to the same terms and conditions as set forth herein for Subrecipient. Subrecipient shall ensure that all subcontractors performing work on behalf of Subrecipient pursuant to this Contract shall be covered under Subrecipient’s insurance as an Additional Insured or maintain insurance subject to the same terms and conditions as set forth herein for Subrecipient. Subrecipient shall not allow subcontractors to work if subcontractors have less than the level of coverage required by County from Subrecipient under this Contract. It is the obligation of Subrecipient to provide notice of the insurance requirements to every subcontractor and to receive proof of insurance prior to allowing any subcontractor to begin work. Such proof of insurance must be MAINTAINED by Subrecipient through the entirety of this Contract for inspection by County representative(s) at any reasonable time. All self-insured retentions (SIRs) shall be clearly stated on the Certificate of Insurance. Any self-insured retention (SIR) in an amount in excess of Fifty Thousand Dollars ($50,000) shall specifically be approved by the County’s Risk Manager, or designee, upon review of Subrecipient’s current audited financial report. If Subrecipient’s SIR is approved, Subrecipient, in addition to, and without limitation of, any other indemnity provision(s) in this Contract, agrees to all of the following: 1) In addition to the duty to indemnify and hold the County harmless against any and all liability, claim, demand or suit resulting from Subrecipient’s, its agents, employee’s or subcontractor’s performance of this Contract, Subrecipient shall defend the County at its sole cost and expense with counsel approved by Board of supervisors against same; and 2) Subrecipient’s duty to defend, as stated above, shall be absolute and irrespective of any duty to indemnify or hold harmless; and 3) The provisions of California Civil Code Section 2860 shall apply to any and all actions to which the duty to defend stated above applies, and the Subrecipient’s SIR provision shall be interpreted as though the Subrecipient was an insurer and the County was the insured. County of Orange Page 11 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI If the Subrecipient fails to maintain insurance acceptable to the County for the full term of this Contract, the County may terminate this Contract. Qualified Insurer The policy or policies of insurance must be issued by an insurer with a minimum rating of A- (Secure A.M. Best's Rating) and VIII (Financial Size Category as determined by the most current edition of the Best's Key Rating Guide/Property-Casualty/United States or ambest.com). It is preferred, but not mandatory, that the insurer be licensed to do business in the State of California (California Admitted Carrier). If the insurance carrier does not have an A.M. Best Rating of A-/VIII, the CEO/Office of Risk Management retains the right to approve or reject a carrier after a review of the company's performance and financial ratings. The policy or policies of insurance maintained by the Subrecipient shall provide the minimum limits and coverage as set forth below: Coverage Minimum Limits Commercial General Liability $1,000,000 per occurrence $2,000,000 aggregate Automobile Liability including coverage $1,000,000 per occurrence for owned, non-owned and hired vehicles Workers Compensation Statutory Employers Liability Insurance $1,000,000 per occurrence Network Security & Privacy $1,000,000 per claims-made Liability Professional Liability $1,000,000 per claims-made $1,000,000 aggregate Sexual Misconduct $1,000,000 per occurrence Employee Dishonesty $100,000 per occurrence Required Coverage Forms The Commercial General Liability coverage shall be written on Insurance Services Office (ISO) form CG 00 01, or a substitute form providing liability coverage at least as broad. County of Orange Page 12 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI The Business Auto Liability coverage shall be written on ISO form CA 00 01, CA 00 05, CA 0012, CA 00 20, or a substitute form providing coverage at least as broad. Required Endorsements The Commercial General Liability policy shall contain the following endorsements, which shall accompany the Certificate of Insurance: 1) An Additional Insured endorsement using ISO form CG 20 26 04 13 or a form at least as broad naming the County of Orange its elected and appointed officials, officers, agents and employees as Additional Insureds, or provide blanket coverage, which will state AS REQUIRED BY WRITTEN Contract. 2) A primary non-contributing endorsement using ISO form CG 20 01 04 13, or a form at least as broad evidencing that the Subrecipient’s insurance is primary and any insurance or self-insurance maintained by the County of Orange shall be excess and non-contributing. The Network Security and Privacy Liability policy shall contain the following endorsements which shall accompany the Certificate of Insurance: 1) An Additional Insured endorsement naming the County of Orange, its elected and appointed officials, officers, agents and employees as Additional Insureds for its vicarious liability. 2) A primary and non-contributing endorsement evidencing that the Subrecipient’s insurance is primary and any insurance or self-insurance maintained by the County of Orange shall be excess and non-contributing. The Workers’ Compensation policy shall contain a waiver of subrogation endorsement waiving all rights of subrogation against the County of Orange, its elected and appointed officials, officers, agents and employees or provide blanket coverage, which will state AS REQUIRED BY WRITTEN Contract. All insurance policies required by this Contract shall waive all rights of subrogation against the County of Orange, its elected and appointed officials, officers, agents and employees when acting within the scope of their appointment or employment. The County of Orange shall be the loss payee on the Employee Dishonesty coverage. A Loss Payee endorsement evidencing that the County of Orange is a Loss Payee shall accompany the Certificate of Insurance. Subrecipient shall notify County in writing within thirty (30) days of any policy cancellation and ten (10) days for non-payment of premium and provide a copy of the cancellation notice to County. Failure to provide written notice of cancellation may constitute a material breach of the Contract, upon which the County may suspend or terminate this Contract. County of Orange Page 13 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI If Subrecipient’s Professional Liability and Network Security & Privacy Liability are “Claims-Made” policy(ies), Subrecipient shall agree to maintain coverage for two (2) years following the completion of the Contract. The Commercial General Liability policy shall contain a severability of interests clause also known as a “separation of insureds” clause (standard in the ISO CG 0001 policy). Insurance certificates should be forwarded to the agency/department address listed on the solicitation. If the Subrecipient fails to provide the insurance certificates and endorsements within seven (7) days of notification by the Contract Administrator, award may be made to the next qualified vendor. County expressly retains the right to require Subrecipient to increase or decrease insurance of any of the above insurance types throughout the term of this Contract. Any increase or decrease in insurance will be as deemed by County of Orange Risk Manager as appropriate to adequately protect County. County shall notify Subrecipient in writing of changes in the insurance requirements. If Subrecipient does not deposit copies of acceptable Certificates of Insurance and endorsements with County incorporating such changes within thirty (30) days of receipt of such notice, this Contract may be in breach without further notice to Subrecipient, and County shall be entitled to all legal remedies. The procuring of such required policy or policies of insurance shall not be construed to limit Subrecipient's liability hereunder nor to fulfill the indemnification provisions and requirements of this Contract, nor act in any way to reduce the policy coverage and limits available from the insurer. P. Changes: Subrecipient shall make no changes in the work or perform any additional work without the County’s specific written approval. Q. Change of Ownership/Name, Litigation Status, Conflicts with County Interest: Subrecipient agrees that if there is a change or transfer in ownership of Subrecipient’s business prior to completion of this Contract, and the County agrees to an assignment of the Contract, the new owners shall be required under terms of sale or other instruments of transfer to assume Subrecipient’s duties and obligations contained in this Contract and complete them to the satisfaction of the County. County reserves the right to immediately terminate the Contract in the event the County determines that the assignee is not qualified or is otherwise unacceptable to the County for the provision of services under the Contract. In addition, Contractor has the duty to notify the County in writing of any change in the Contractor’s status with respect to name changes that do not require an assignment of the Contract. The Contractor is also obligated to notify the County in writing if the Contractor becomes a party to any litigation against the County, or a party to litigation that may reasonably affect the Contractor’s performance under the Contract, as well as County of Orange Page 14 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI any potential conflicts of interest between Contractor and County that may arise prior to or during the period of Contract performance. While Contractor will be required to provide this information without prompting from the County any time there is a change in Contractor’s name, conflict of interest or litigation status, Contractor must also provide an update to the County of its status in these areas whenever requested by the County. The Contractor shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with County interests. In addition to the Contractor, this obligation shall apply to the Contractor’s employees, agents, and subcontractors associated with the provision of goods and services provided under this Contract. The Contractor’s efforts shall include, but not be limited to establishing rules and procedures preventing its employees, agents, and subcontractors from providing or offering gifts, entertainment, payments, loans or other considerations which could be deemed to influence or appear to influence County staff or elected officers in the performance of their duties. R. Force Majeure: Subrecipient shall not be assessed with liquidated damages or unsatisfactory performance penalties during any delay beyond the time named for the performance of this Contract caused by any act of God, war, civil disorder, employment strike or other cause beyond its reasonable control, provided Subrecipient gives written notice of the cause of the delay to County within 36 hours of the start of the delay and Subrecipient avails himself of any available remedies. S. Confidentiality: Subrecipient agrees to maintain the confidentiality of all County and County-related records and information pursuant to all statutory laws relating to privacy and confidentiality that currently exist or exist at any time during the term of this Contract. All such records and information shall be considered confidential and kept confidential by Subrecipient and Subrecipient’s staff, agents and employees. T. Compliance with Laws: Subrecipient represents and warrants that services to be provided under this Contract shall fully comply, at Subrecipient’s expense, with all standards, laws, statutes, restrictions, ordinances, requirements, and regulations (collectively “laws”), including, but not limited to those issued by County in its governmental capacity and all other laws applicable to the services at the time services are provided to and accepted by County. Subrecipient acknowledges that County is relying on Subrecipient to ensure such compliance, and pursuant to the requirements of paragraph “Z” below, Subrecipient agrees that it shall defend, indemnify and hold County and County Indemnitees (defined below) harmless from all liability, damages, costs and expenses arising from or related to a violation of such laws. U. Intentionally left blank V. Severability: If any term, covenant, condition or provision of this Contract is held by a court of competent jurisdiction to be invalid, void, or unenforceable, the remainder of the provisions hereof shall remain in full force and effect and shall in no way be affected, impaired or invalidated thereby. W. Attorney Fees: In any action or proceeding to enforce or interpret any provision of this Contract, each party shall bear their own attorney’s fees, costs and expenses. County of Orange Page 15 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI X. Interpretation: This Contract has been negotiated at arm’s length and between persons sophisticated and knowledgeable in the matters dealt with in this Contract. In addition, each party had been represented by experienced and knowledgeable independent legal counsel of their own choosing or has knowingly declined to seek such counsel despite being encouraged and given the opportunity to do so. Each party further acknowledges that they have not been influenced to any extent whatsoever in executing this Contract by any other party hereto or by any person representing them, or both. Accordingly, any rule or law (including California Civil Code Section 1654) or legal decision that would require interpretation of any ambiguities in this Contract against the party that has drafted it is not applicable and is waived. The provisions of this Contract shall be interpreted in a reasonable manner to effect the purpose of the parties and this Contract. Y. Employee Eligibility Verification: The Subrecipient warrants that it fully complies with all Federal and State statutes and regulations regarding the employment of aliens and others and that all its employees performing work under this Contract meet the citizenship or alien status requirement set forth in Federal statutes and regulations. The Subrecipient shall obtain, from all employees performing work hereunder, all verification and other documentation of employment eligibility status required by Federal or State statutes and regulations including, but not limited to, the Immigration Reform and Control Act of 1986, 8 U.S.C. §1324 et seq., as they currently exist and as they may be hereafter amended. The Subrecipient shall retain all such documentation for all covered employees for the period prescribed by the law. The Subrecipient shall indemnify, defend with counsel approved in writing by County, and hold harmless, the County, and its County Indemnitees, its agents, officers, and employees from employer sanctions and any other liability which may be assessed against the Subrecipient or the County or County Indemnitees, any combination of the three in connection with any alleged violation of any Federal or State statutes or regulations pertaining to the eligibility for employment of any persons performing work under this Contract. Z. Indemnification: Subrecipient agrees to indemnify, defend with counsel approved in writing by County, and hold County, its elected and appointed officials, officers, employees, agents and those special districts and agencies which County’s Board of Supervisors acts as the governing Board (“County Indemnitees”) harmless from any claims, demands or liability of any kind or nature, including but not limited to personal injury or property damage, arising from or related to the services, products or other performance provided by Subrecipient pursuant to this Contract. If judgment is entered against Subrecipient and County by a court of competent jurisdiction because of the concurrent active negligence of County or County Indemnitees, Subrecipient and County agree that liability will be apportioned as determined by the court. Neither party shall request a jury apportionment. AA. Audits/Inspections: Subrecipient agrees to permit the County’s Auditor-Controller or the Auditor-Controller’s authorized representative (including auditors from a private auditing firm hired by the County) access during normal working hours to all books, accounts, records, reports, files, financial records, supporting documentation, including payroll and accounts payable/receivable records, and other papers or property of Subrecipient for the purpose of auditing or inspecting any aspect of performance under County of Orange Page 16 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI this Contract. The inspection and/or audit will be confined to those matters connected with the performance of the Contract including, but not limited to, the costs of administering the Contract. The County will provide reasonable notice of such an audit or inspection. The County reserves the right to audit and verify the Subrecipient’s records before final payment is made. Subrecipient agrees to maintain such records for possible audit for a minimum of three years after final payment, unless a longer period of records retention is stipulated under this Contract or by law. Subrecipient agrees to allow interviews of any employees or others who might reasonably have information related to such records. Further, Subrecipient agrees to include a similar right to the County to audit records and interview staff of any subcontractor related to performance of this Contract. Should the Subrecipient cease to exist as a legal entity, the Subrecipient’s records pertaining to this Contract shall be forwarded to the County’s Project Manager. BB. Contingency of Funds: Subrecipient acknowledges that funding or portions of funding for this Contract may be contingent upon State budget approval; receipt of funds from, and/or obligation of funds by, the State of California to County; receipt of funds from the Department of Housing and Urban Development (“HUD”), and inclusion of sufficient funding for the services hereunder in the budget approved by County’s Board of Supervisors for each fiscal year covered by this Contract. If such approval, funding or appropriations are not forthcoming, or are otherwise limited, County may immediately terminate or modify this Contract without penalty. CC. Expenditure Limit: The Subrecipient shall notify the County of Orange assigned Contract Administrator in writing when the expenditures against the Contract reach 75 percent of the dollar limit on the Contract. The County will not be responsible for any expenditure overruns and will not pay for work exceeding the dollar limit on the Contract unless a written and approved change order to cover those costs has been issued. Board of Supervisor approval may be required. County of Orange Page 17 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Additional Terms and Conditions: 1. Scope of Contract: This Contract specifies the contractual terms and conditions by which the County will procure Public Facilities & Improvements from Subrecipient as further detailed in the Scope of Services, identified and incorporated herein by this reference as “Attachment A”. 2. Term of Contract: This Contract shall commence on July 1, 2021 and continue through June 30, 2022, unless otherwise terminated by the County. 3. Renewal: This Contract may not be renewed. 4. Maximum Obligation: The total Maximum Obligation of County to the Subrecipient for the cost of services provided in accordance with this Contract is $ 350,000, with individual Maximum Obligation budgets for each Fiscal Year as further detailed in the Budget Schedule, identified and incorporated herein by this reference as Attachment “C”. 5. Amendments - Changes/Extra Work: The Subrecipient shall make no changes to this Contract without the County’s written consent. In the event that there are new or unforeseen requirements, the County has the discretion with the Subrecipient’s concurrence, to make changes at any time without changing the scope or price of the Contract. If County-initiated changes or changes in laws or government regulations affect price, the Subrecipient’s ability to deliver services, or the project schedule, the Subrecipient will give County written notice no later ten (10) days from the date the law or regulation went into effect or the date the change was proposed and Subrecipient was notified of the change. Such changes shall be agreed to in writing and incorporated into a Contract amendment. Said amendment shall be issued by the County-assigned Contract Administrator, shall require the mutual consent of all Parties, and may be subject to approval by the County Board of Supervisors. Nothing herein shall prohibit the Subrecipient from proceeding with the work as originally set forth or as previously amended in this Contract. 6. Breach of Contract: The failure of the Subrecipient to comply with any of the provisions, covenants or conditions of this Contract shall be a material breach of this Contract. In such event the County may, and in addition to any other remedies available at law, in equity, or otherwise specified in this Contract: a) Terminate the Contract immediately, pursuant to Section K herein; b) Afford the Subrecipient written notice of the breach and ten (10) calendar days or such shorter time that may be specified in this Contract within which to cure the breach; c) Discontinue payment to the Subrecipient for and during the period in which the Subrecipient is in breach; and County of Orange Page 18 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Offset against any monies billed by the Subrecipient but yet unpaid by the County those monies disallowed pursuant to the above. 7. Conditions Affecting Work: The Subrecipient shall be responsible for taking all steps reasonably necessary, to ascertain the nature and location of the work to be performed under this Contract; and to know the general conditions which can affect the work or the cost thereof. Any failure by the Subrecipient to do so will not relieve Subrecipient from responsibility for successfully performing the work without additional cost to the County. The County assumes no responsibility for any understanding or representations concerning the nature, location(s) or general conditions made by any of its officers or agents prior to the execution of this Contract, unless such understanding or representations by the County are expressly stated in the Contract. 8. Civil Rights: Subrecipient attests that services provided shall be in accordance with the provisions of Title VI and Title VII of the Civil Rights Act of 1964, as amended, Section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975 as amended; Title II of the Americans with Disabilities Act of 1990, and other applicable State and Federal laws and regulations prohibiting discrimination on the basis of race, color, national origin, ethnic group identification, age, religion, marital status, sex or disability. 9. Conflict of Interest – Subrecipient’s Personnel: The Subrecipient shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the best interests of the County. This obligation shall apply to the Subrecipient; the Subrecipient’s employees, agents, and subcontractors associated with accomplishing work and services hereunder. The Subrecipient’s efforts shall include, but not be limited to establishing precautions to prevent its employees, agents, and subcontractors from providing or offering gifts, entertainment, payments, loans or other considerations which could be deemed to influence or appear to influence County staff or elected officers from acting in the best interests of the County. 10. Conflict of Interest – County Personnel: The County of Orange Board of Supervisors policy prohibits its employees from engaging in activities involving a conflict of interest. The Subrecipient shall not, during the period of this Contract, employ any County employee for any purpose. 11. Consulting Contract – Follow-On Work: No person, firm, subsidiary or subcontractor of a firm that has been awarded a consulting services contract or a contract which includes a consulting component may be awarded a Contract for the performance of services, the purchase of goods or supplies, or the provision of any other related action which arises from or can reasonably be deemed an end-product of work performed under the initial consulting to consulting-related Contract. 12. Project Manager, County: The County shall appoint a Project Manager to act as liaison between the County and the Subrecipient during the term of this Contract. The County’s Project Manager shall coordinate the activities of the County staff assigned to work with the Subrecipient. County of Orange Page 19 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI The County’s Project Manager, in consultation and agreement with the County, shall have the right to require the removal and replacement of the Subrecipient’s Project Manager and key personnel. The County’s Project Manager shall notify the Subrecipient in writing of such action. The Subrecipient shall accomplish the removal within three (3) business days after written notice from the County’s Project Manager. The County’s Project Manager shall review and approve the appointment of the replacement for the Subrecipient’s Project Manager and key personnel. Said approval shall not be unreasonably withheld. The County is not required to provide any additional information, reason or rationale in the event it requires the removal of Subrecipient’s Project Manager from providing further services under the Contract. 13. Subrecipient’s Project Manager and Key Personnel: Subrecipient shall appoint a Project Manager to direct the Subrecipient’s efforts in fulfilling Subrecipient’s obligations under this Contract. This Project Manager shall be subject to approval by the County and shall not be changed without the written consent of the County’s Project Manager, which consent shall not be unreasonably withheld. The Subrecipient’s Project Manager, in consultation and agreement with County, shall be assigned to this project for the duration of the Contract and shall diligently pursue all work and services to meet the project time lines. The County’s Project Manager shall have the right to require the removal and replacement of the Subrecipient’s Project Manager from providing services to the County under this Contract. The County’s Project Manager shall notify the Subrecipient in writing of such action. The Subrecipient shall accomplish the removal within five (5) business days after written notice by the County’s Project Manager. The County’s Project Manager shall review and approve the appointment of the replacement for the Subrecipient’s Project Manager. The County is not required to provide any additional information, reason or rationale in the event it The County is not required to provide any additional information, reason or rationale in the event it requires the removal of Subrecipient’s Project Manager from providing further services under the Contract. 14. Subrecipient Personnel – Reference Checks: The Subrecipient warrants that all persons employed to provide service under this Contract have satisfactory past work records indicating their ability to adequately perform the work under this Contract. Subrecipient’s employees assigned to this project must meet character standards as demonstrated by background investigation and reference checks, coordinated by the agency/department issuing this Contract. 15. Data – Title To: All materials, documents, data or information obtained from the County data files or any County medium furnished to the Subrecipient in the performance of this Contract will at all times remain the property of the County. Such data or information may not be used or copied for direct or indirect use by the Subrecipient after completion or termination of this Contract without the express written consent of the County. All materials, documents, data or information, including copies, must be returned to the County at the end of this Contract. 16. Licenses: At its own expense, Subrecipient and its subcontractors, if any, shall, at all time during the term of this Contract, maintain in full force and effect such licenses or County of Orange Page 20 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI permits as may be required by the State of California or any other government entity. Subrecipient and his subcontractors, if any, shall strictly adhere to, and obey, all governmental rules and regulations now in effect or as subsequently enacted or modified, as promulgated by any local, State, or Federal governmental entity. 17. Disputes – Contract: A. The parties shall deal in good faith and attempt to resolve potential disputes informally. If the dispute concerning a question of fact arising under the terms of this Contract is not disposed of in a reasonable period of time by the Subrecipient’s Project Manager and the County‘s Project Manager, such matter shall be brought to the attention of the Contract Administrator by way of the following process: 1. The Subrecipient shall submit to the agency/department assigned Contract Administrator a written demand for a final decision regarding the disposition of any dispute between the parties arising under, related to, or involving this Contract, unless the County, on its own initiative, has already rendered such a final decision. 2. The Subrecipient’s written demand shall be fully supported by factual information, and, if such demand involves a cost adjustment to the Contract, the Subrecipient shall include with the demand a written statement signed by a senior official indicating that the demand is made in good faith, that the supporting data are accurate and complete, and that the amount requested accurately reflects the Contract adjustment for which the Subrecipient believes the County is liable. B. Pending the final resolution of any dispute arising under, related to, or involving this Contract, the Subrecipient agrees to diligently proceed with the performance of this Contract, including the delivery of goods and/or provision of services. The Subrecipient’s failure to diligently proceed shall be considered a material breach of this Contract. Any final decision of the County shall be expressly identified as such, shall be in writing, and shall be signed by the Director. If the County fails to render a decision within 90 days after receipt of the Subrecipient’s demand, it shall be deemed a final decision adverse to the Subrecipient’s contentions. Nothing in this section shall be construed as affecting the County’s right to terminate the Contract for cause or termination for convenience as stated in Section K herein. 18. EDD Independent Subrecipient Reporting Requirements: Effective January 1, 2001, the County of Orange is required to file in accordance with subdivision (a) of Section 6041A of the Internal Revenue Code for services received from a “service provider” to whom the County pays $600 or more or with whom the County enters into a contract for $600 or more within a single calendar year. The purpose of this reporting requirement is to increase child support collection by helping to locate parents who are delinquent in their child support obligations. County of Orange Page 21 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI The term “service provider” is defined in California Unemployment Insurance Code Section 1088.8, Subparagraph B.2 as “an individual who is not an employee of the service recipient for California purposes and who received compensation or executes a contract for services performed for that service recipient within or without the State.” The term is further defined by the California Employment Development Department to refer specifically to independent Subrecipients. An independent Subrecipient is defined as “an individual who is not an employee of the ... government entity for California purposes and who receives compensation or executes a contract for services performed for that ... government entity either in or outside of California.” The reporting requirement does not apply to corporations, general partnerships, limited liability partnerships, and limited liability companies. Additional information on this reporting requirement can be found at the California Employment Development Department web site located at http://www.edd.ca.gov/Employer_Services.htm 19. Emergency/Declared Disaster Requirements: In the event of an emergency or if Orange County is declared a disaster area by the County, State or Federal government, this Contract may be subjected to unusual usage. The Subrecipient shall service the County during such an emergency or declared disaster under the same terms and conditions that apply during non-emergency/disaster conditions. The pricing quoted by the Subrecipient shall apply to serving the County’s needs regardless of the circumstances. If the Subrecipient is unable to supply the goods/services under the terms of the Contract, then the Subrecipient shall provide proof of such disruption and a copy of the invoice for the goods/services from the Subrecipient’s supplier(s). Additional profit margin as a result of supplying goods/services during an emergency or a declared disaster shall not be permitted. In the event of an emergency or declared disaster, emergency purchase order numbers will be assigned. All applicable invoices from the Subrecipient shall show both the emergency purchase order number and the Contract number. 20. Errors and Omissions: All reports, files and other documents prepared and submitted by Subrecipient shall be complete and shall be carefully checked by the professional(s) identified by Subrecipient as Project Manager and key personnel attached hereto, prior to submission to the County. Subrecipient agrees that County review is discretionary and Subrecipient shall not assume that the County will discover errors and/or omissions. If the County discovers any errors or omissions prior to approving Subrecipient’s reports, files and other written documents, the reports, files or documents will be returned to Subrecipient for correction. Should the County or others discover errors or omissions in the reports, files or other written documents submitted by the Subrecipient after County approval thereof, County approval of Subrecipient’s reports, files or documents shall not be used as a defense by Subrecipient in any action between the County and Subrecipient, and the reports, files or documents will be returned to Subrecipient for correction. County of Orange Page 22 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI 21. Non-Supplantation of Funds: Subrecipient shall not supplant any Federal, State, or County funds intended for the purposes of this Contract with any funds made available under this Contract. Subrecipient shall not claim reimbursement from County for, or apply sums received from County with respect to, that portion of its obligations which have been paid by another source of revenue. Subrecipient agrees that it shall not use funds received pursuant to this Contract, either directly or indirectly, as a contribution or compensation for the purposes of obtaining Federal, State, or County funds under any Federal, State, or County program without prior written approval from the County. 22. Satisfactory Work: Services rendered hereunder are to be performed to the written satisfaction of County. County’s staff will interpret all reports and determine the quality, acceptability and progress of the services rendered. 23. Access and Records: A. County, the State of California and the United States Government and/or their representatives, shall have access, for purposes of monitoring, auditing, and examining, to Subrecipient’s activities, books, documents and papers (including computer records and emails) and to records of Subrecipient’s subcontractors, consultants, contracted employees, bookkeepers, accountants, employees and participants related to this Contract. Subrecipient shall insert this condition in each Contract between Subrecipient and a subcontractor that is pursuant to this Contract shall require the subcontractor to agree to this condition. Such departments or representatives shall have the right to make excerpts, transcripts and photocopies of such records and to schedule on site monitoring at their discretion. Monitoring activities also may include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of Subrecipient are kept. Subrecipient shall make available its books, documents, papers, financial records, etc., within three (3) days after receipt of written demand by Director which shall be deemed received upon date of sending. In the event Subrecipient does not make the above referenced documents available within the County of Orange, California, Subrecipient agrees to pay all necessary and reasonable expenses incurred by County, or County’s designee, in conducting any audit at the location where said records and books of account are maintained. B. Records Retention. All accounting records and evidence pertaining to all costs of Subrecipient and all documents related to this Contract shall be kept available at Subrecipient’s office or place of business for the duration of this Contract and thereafter for five (5) years after completion of an audit. Records which relate to: (1) complaints, claims, administrative proceedings or litigation arising out of the performance of this Contract; or (2) costs and expenses of this Contract to which County or any other governmental department takes exception, shall be retained beyond the five (5) years until final resolution or disposition of such appeals, litigation, claims, or exceptions. County of Orange Page 23 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI C. Liability. Subrecipient shall pay to County the full amount of County’s liability to the State or Federal government or any department thereof resulting from any disallowance or other audit exceptions to the extent that such liability is attributable to Subrecipient’s failure to perform under this Contract. 24. Signature in Counterparts: The Parties agree that separate copies of this Contract and/or electronic signatures and handwritten signatures may be signed by each of the Parties, and this Contract will have the same force and effect as if the Original had been signed by all the Parties. 25. Reports/Meetings: The Subrecipient shall develop reports and any other relevant documents necessary to complete the services and requirements as set forth in this contract. The County’s Project Manager and the Subrecipient’s Project Manager will meet on reasonable notice to discuss the Subrecipient’s performance and progress under this Contract. If requested, the Subrecipient’s Project Manager and other project personnel shall attend all meetings. The Subrecipient shall provide such information that is requested by the County for the purpose of monitoring progress under this Contract. 26. Subcontracting: No performance of this Contract or any portion thereof may be subcontracted by the Subrecipient without the express written consent of the County. Any attempt by the Subrecipient to subcontract any performance of this Contract without the express written consent of the County shall be invalid and shall constitute a breach of this Contract. In the event that the Subrecipient is authorized by the County to subcontract, this Contract shall take precedence over the terms of the Contract between Subrecipient and subcontractor, and shall incorporate by reference the terms of this Contract. The County shall look to the Subrecipient for performance and indemnification and not deal directly with any subcontractor. All work performed by a subcontractor must meet the approval of the County of Orange. 27. Equal Employment Opportunity: The Subrecipient shall comply with U.S. Executive Order 11246 entitled, “Equal Employment Opportunity” as amended by Executive Order 11375 and as supplemented in Department of Labor regulations (41 CFR, Part 60) and applicable State of California regulations as may now exist or be amended in the future. The Subrecipient shall not discriminate against any employee or applicant for employment on the basis of race, color, national origin, ancestry, religion, sex, marital status, political affiliation or physical or mental condition. Regarding handicapped persons, the Subrecipient will not discriminate against any employee or applicant for employment because of physical or mental handicap in regard to any position for which the employee or applicant for employment is qualified. The Subrecipient agrees to provide equal opportunity to handicapped persons in employment or in advancement in employment or otherwise treat qualified handicapped individuals without discrimination based upon their physical or mental handicaps in all employment practices such as the following: employment, upgrading, promotions, transfers, recruitments, advertising, layoffs, terminations, rate of pay or other forms of County of Orange Page 24 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI compensation, and selection for training, including apprenticeship. The Subrecipient agrees to comply with the provisions of Sections 503 and 504 of the Rehabilitation Act of 1973, as amended, pertaining to prohibition of discrimination against qualified handicapped persons in all programs and/or activities as detailed in regulations signed by the Secretary of the Department of Health and Human Services effective June 3, 1977, and found in the Federal Register, Volume 42, No. 68 dated May 4, 1977, as may now exist or be amended in the future. Regarding Americans with disabilities, Subrecipient agrees to comply with applicable provisions of Title 1 of the Americans with Disabilities Act enacted in 1990 as may now exist or be amended in the future. 28. Gratuities: The Subrecipient warrants that no gratuities, in the form of entertainment, gifts or otherwise, were offered or given by the Subrecipient or any agent or representative of the Subrecipient to any officer or employee of the County with a view toward securing the Contract or securing favorable treatment with respect to any determinations concerning the performance of the Contract. For breach or violation of this warranty, the County shall have the right to terminate the Contract, either in whole or in part, and any loss or damage sustained by the County in procuring on the open market any goods or services which the Subrecipient agreed to supply shall be borne and paid for by the Subrecipient. The rights and remedies of the County provided in the clause shall not be exclusive and are in addition to any other rights and remedies provided by law or under the Contract. 29. News/Information Release: The Subrecipient agrees that it will not issue any news releases in connection with either the award of this Contract or any subsequent amendment of or effort under this Contract without first obtaining review and written approval of said news releases from the County through the County’s Project Manager. 30. Notices: Any and all notices, requests demands and other communications contemplated, called for, permitted, or required to be given hereunder shall be in writing, except through the course of the Parties routine exchange of information and cooperation during the terms of the work and services. Any written communications shall be deemed to have been duly given upon actual in-person delivery, if delivery is by direct hand, or upon delivery on the actual day of receipt or no greater than four calendar days after being mailed by US certified or registered mail, return receipt requested, postage prepaid, whichever occurs first. The date of mailing shall count as the first day. All communications shall be addressed to the appropriate party at the address stated herein or such other address as the parties hereto may designate by written notice from time to time in the manner aforesaid. For County: OC Community Resources OC Community Resources Housing and Community Development Contract Development and Management Project Manager Contract Administrator 1501 East St. Andrew Place, 1st Floor 601 N. Ross St., 6th Floor Santa Ana, CA 92705-4930 Santa Ana, CA 92701 County of Orange Page 25 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI For Subrecipient: City of San Juan Capistrano 32400 Paseo Adelanto San Juan Capistrano, CA 92675 Attn: Project Manager 31. Ownership of Documents: The County has permanent ownership of all directly connected and derivative materials produced under this Contract by the Subrecipient. All documents, reports and other incidental or derivative work or materials furnished hereunder shall become and remains the sole property of the County and may be used by the County as it may require without additional cost to the County. None of the documents, reports and other incidental or derivative work or furnished materials shall be used by the Subrecipient without the express written consent of the County. 32. Precedence: The Contract documents consist of this Contract and its exhibits and attachments. In the event of a conflict between or among the Contract documents, the order of precedence shall be the provisions of the main body of this Contract, i.e., those provisions set forth in the recitals and articles of this Contract, and then the exhibits and attachments. 33. Termination – Orderly: After receipt of a termination notice from the County of Orange, the Subrecipient may submit to the County a termination claim, if applicable. Such claim shall be submitted promptly, but in no event later than 60 days from the effective date of the termination, unless one or more extensions in writing are granted by the County upon written request of the Subrecipient. Upon termination County agrees to pay the Subrecipient for all services performed prior to termination which meet the requirements of the Contract, provided, however, that such compensation combined with previously paid compensation shall not exceed the total compensation set forth in the Contract. Upon termination or other expiration of this Contract, each party shall promptly return to the other party all papers, materials, and other properties of the other held by each for purposes of performance of the Contract. 34. County Branding Requirements – Publicity, Literature, Advertisement and Social Media: A. County owns all rights to the name, logos, and symbols of County. The use and/or reproduction of County’s name, logos, or symbols for any purpose, including commercial advertisement, promotional purposes, announcements, displays, or press releases, without County’s prior written consent is expressly prohibited. B. Contractor may develop and publish information related to this Contract where all of the following conditions are satisfied: 1. Contract Administrator/assigned Deputy Purchasing Agent provides its written approval of the content and publication of the information at least 30 days prior to Contractor publishing the information, unless a County of Orange Page 26 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI different timeframe for approval is agreed upon by the Contract Administrator/assigned Deputy Purchasing Agent; 2. Unless directed otherwise by Contract Administrator/assigned Deputy Purchasing Agent, the information includes a statement that the program, wholly or in part, is funded through County, State and Federal government funds [funds identified as applicable]; 3. The information does not give the appearance that the County, its officers, employees, or agencies endorse: a. any commercial product or service; and, b. any product or service provided by Contractor, unless approved in writing by Contract Administrator/assigned Deputy Purchasing Agent; and, 4. If Contractor uses social media (such as Facebook, Twitter, YouTube or other publicly available social media sites) to publish information related to this Contract, Contractor shall develop social media policies and procedures and have them available to the Contract Administrator/assigned Deputy Purchasing Agent. Contractor shall comply with County Social Media Use Policy and Procedures as they pertain to any social media developed in support of the services described within this Contract. The policy is available on the Internet at http://www.ocgov.com/gov/ceo/cio/govpolicies. THE REMAINDER OF THE PAGE WAS INTENTIONALLY LEFT BLANK County of Orange Page 27 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Program Specific Terms and Conditions: 35. Debarment: Subrecipient certifies that it is not debarred or suspended or otherwise excluded from or ineligible for participation in Federal/State assistance programs in accordance with 29 CFR Part 98. 36. Lobbying: A. Subrecipient shall complete and immediately forward to the County the “Disclosure of Lobbying Activities,” a copy of which is attached hereto as Exhibit 4 and incorporated herein by this reference, if subrecipient, or any person, firm or corporation acting on Subrecipient’s behalf, engaged or engages in lobbying any federal office, employee, elected official or agency with respect to this Contract or funds to be received by subrecipient pursuant to this Contract. B. Subrecipient agrees that the funds provided herein shall not be used to promote, directly or indirectly, any political party, political candidate or political activity, except as permitted by law. 37. Fraud: Subrecipient shall immediately report all suspected or known instances and facts concerning possible fraud, abuse or criminal activity under this Contract. Subrecipient shall inform staff and the general public of how to report fraud, waste or abuse through appropriate postings of incident reporting notice. The County’s Anti- Fraud Program can be accessed through: http://ocgov.com/gov/risk/programs/antifraud. 38. Fiscal Accountability: A. Financial Management System: Subrecipient shall establish and maintain a sound financial management system, based upon generally accepted accounting principles. Contractor’s system shall provide fiscal control and accounting procedures that will include the following: i. Information pertaining to the line items as identified in Attachment C to this Contract; ii. Source documentation to support accounting records; and iii. Proper charging of costs and cost allocation. B. Subrecipient’s Record: Subrecipient’s records shall be sufficient to: i. Permit preparation of required reports; ii. Permit tracking of funds to a level of expenditure adequate to establish that funds have not been used in violation of the applicable restrictions on the use of such funds; iii. Permit the tracking of program income, or profits earned, and any costs incurred (such as stand-in costs) that are otherwise allowable except for; and iv. Permit tracking and reporting of leveraging as required. C. Costs Charged: Cost shall be charged to this Contract only in accordance with the County and other requirements as required by funding source(s). County of Orange Page 28 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI 39. Performance Standards: Subrecipient shall comply with and adhere to the performance accountability standards as described in this Contract and applicable regulations and the activity levels to be utilized by County for program evaluation and monitoring included, but not limited to those listed in the Attachment E-Performance Standards attached hereto and incorporated herein by reference. 40. Budget Schedule: Subrecipient agrees that the expenditures of any and all funds under this Contract will be in accordance with the Budget Schedule, a copy of which is attached hereto as Attachment C, and which by this reference is incorporated herein and made a part hereof as if fully set forth. 41. Payment Requirements: If funding levels are significantly affected by state or federal budget and funds are not allocated and available for the continuance of the function performed by Subrecipient, the Contract may be terminated by the County at the end of the period for which funds are available. The County shall notify Subrecipient at the earliest possible time of any service, which will or may be affected by a shortage of funds. No penalty shall accrue to the County in the event this provision is exercised and the County shall not be obligated nor liable for any damages as a result of termination under this provision of this Contract, and nothing herein shall be construed as obligating the County to expend or as involving the County in any Contract or other obligation for future payment of money in excess of appropriations authorized by law. A. Contract Amount: It is expressly agreed and understood that the total amount to be paid by County under this Contract shall not exceed the total County funding as set forth in Attachment B-Payment/Compensation to Subrecipient attached hereto and incorporated herein by reference. B. County will reclaim any unused balance of funds for reallocation to other County approved projects. C. Payment of Project Activities: 1. Payment of Project Activities: County will reimburse Subrecipient for eligible project-related costs only. Subrecipient shall submit requests for reimbursement to County on a monthly basis beginning on August 1, 2021, and must provide adequate documentation as required by County in accordance with the OC Community Resources Contract Reimbursement Policy, as set forth in Exhibit 1, attached hereto and incorporated herein by reference. In addition, Subrecipient will provide a progress Grantee Performance Report (“GPR Information Form”) for the time period covered, as prescribed by County. Failure to provide any of the required documentation and reporting will cause County to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to Subrecipient, until such documentation and reporting has been received and approved by County. 2. If Subrecipient has no request for reimbursement during any quarter during the term of this Contract, a GPR Information Form, including and County of Orange Page 29 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI explanation as to why no invoices were being processed, shall be required in lieu of a request for reimbursement. 3. The following “Required Expenditure Threshold” criteria have been established to guide the Subrecipient in structuring and scheduling their expenditure of funds received through this Contract, through term of Contract. The criteria thresholds are consistent with the criteria used by OC Community Resources to determine performance including, but not limited to, determinations of future award of funds, additional funding requests and/or determinations for the recapture of funding. *Milestone Date Minimum Required Expenditure Threshold February 15, 2022 50% of Contracted Amount Expended March 15, 2022 70% of Contracted Amount Expended April 15, 2022 80% of Contracted Amount Expended Failure to achieve at least the aforementioned 50% drawdown, without extenuating circumstances, may cause any remaining balance in this Contract to be reclaimed by County, and will negatively affect future funding to Subrecipient. Failure to achieve the aforementioned 80% drawdown goal, without written exception approved by the Director, may cause any remaining balance in this Contract to be reclaimed by County, and will impact future funding to Subrecipient 4. Subrecipient will have forty-five (45) days following the expiration of the Contract to submit outstanding invoices for reimbursement of eligible costs incurred during the Contract period. After the forty-five (45) day period for submitting invoices has expired, County shall reallocate the remaining balance under this Contract for other program purposes and Subrecipient shall be ineligible for any further reimbursement. D. Funds shall not be disbursed for any costs incurred prior to the certification by County and/or HUD of Certificate(s) of Insurance as further defined in Paragraph O “Insurance Requirements” of this Contract. E. Eligible costs related to services provided by Subrecipient must be incurred during the period beginning July 1, 2021. The Project shall be completed, and all funds provided through this Contract shall be expended on eligible Project activities through and including June 30, 2022. a. Housing Rehabilitation Contracts and Public Facilities & Improvements Contracts. i. Subrecipient may be eligible to request additional funding up to the maximum set forth as identified in County policy if Subrecipient meets or exceeds any one of the Minimum Required Expenditure Thresholds at 50%, 70% or 80% on or prior to the milestone date as set forth in Paragraph 42. C.3. ii. If additional funding is available for allocation to Subrecipient, and the basic goals and objectives of the program are not altered, Subrecipient County of Orange Page 30 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI and County shall amend the Subrecipient Scope of Services component of this Contract. Furthermore, Subrecipient shall demonstrate to the satisfaction of County that the required Performance Expenditure and Accomplishment Thresholds set forth in Paragraph 47.C will continue to be met before such extension and additional allocation shall be granted. iii. Contract Extension (No Cost Extension) 1. The term of this Contract and the provisions herein may be extended to cover an additional time period as specified herein. 2. The date for Project completion, the term of the Contract, and expenditure of all funds may be extended by the Director without further action by the Board as identified in County policy. Subrecipient must notify the Director in writing 45 days prior to June 30, 2022, to request an extension. For all extensions, the deadline for submittal of invoices shall be forty-five (45) days after the new expiration date. 3. Contract extension provisions are not applicable to program administration activities. b. Public Services Contracts cannot be extended. F. County and Participating Cities previously entered into a Cooperation Agreement effective July 1, 2020 as amended, in which both Parties agreed to cooperate in the undertaking, or assist in the undertaking, of community development and housing assistance activities. G. Metropolitan Cities with populations of over 50,000, are eligible to participate in the Community Planning and Development (“CPD”) program funds directly from HUD and have opted to participate in the CPD programs through the County’s Urban County Program as a metropolitan city. 42. Modification of Budget: Upon written approval of County, Subrecipient shall have the authority to transfer allocated program funds from one category of the overall program Budget to another category of the overall Budget. No such transfer may be made without the express prior written approval of County. A modification of the Budget may include the addition of any new Budget category. 43. Annual Audit: If Subrecipient expends Federal funds in a fiscal year which equal or exceed $750,000 (seven hundred fifty thousand dollars) as specified in 2 CFR Part 200.500- Subpart F-Audit Requirements, Subrecipient shall cause an audit to be prepared by a Certified Public Accountant (“CPA”) who is a member in good standing with the American Institute of Certified Public Accountants (“AICPA”) of the California Society of CPA’s. The audit must be performed annually in accordance with Generally Accepted Auditing Standards (“GAAS”) authorized by the AICPA and Federal laws and regulations governing the programs in which it participates. Furthermore, County retains the right to require Subrecipient to submit similarly prepared audit at Subrecipient’s expense even in instances when Subrecipient’s expenditure is less than $750,000. Subrecipient will be required to identify corrective County of Orange Page 31 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI action taken in response to any findings identified by CPA related to their funded activity or program. Subrecipient will ensure an annual financial audit is performed in compliance with the Federal Single Audit Act and will submit two (2) copies of such audit report, including a copy of the management letter, to County within six (6) months of the end of each Contract year in which Subrecipient has received federal funding (i.e., July 1 – June 30). Failure to meet this requirement may result in County denying reimbursement of funds to Subrecipient, as well as future funding qualification. Subrecipients, which are exempt from statutory audit requirements, shall maintain records, which are available for review by County or Federal officials. Subrecipient acknowledges that any and all “Financial Statements” submitted to County pursuant to this Contract become public records and are subject to public inspection pursuant to the California Public Records Act (Section 6250 et seq. of the California Government). 44. D-U-N-S Number and Related Information: D-U-N-S Number: A unique, non- indicative 9-digit identifier issued and maintained by the Dun & Bradstreet (D&B) that verifies the existence of a business entity. The D-U-N-S number is needed to coordinate with the System for Award Management (SAM) that combines federal procurement systems and the Catalog of Federal Domestic Assistance into one new system. https://www.SAM.gov The D-U-N-S Number must be provided to County prior to the execution of this Contract. Subrecipient shall ensure all D-U-N-S information is up to date and the D-U-N-S number status is “active,” prior to execution of this Contract. If County cannot access the Subrecipient’s DUNS information related to this federal sub award on the Federal Funding Accountability and Transparency Act Sub Award Reporting System (SAM.GOV) due to errors in the Subrecipient’s data entry for its D-U-N-S number, the Subrecipient must immediately update the information as required. If County cannot access the Subrecipient’s D-U-N-S information related to this federal sub award on the Federal Funding Accounting and Transparency Act Sub Award Reporting System (SAM.GOV) due to errors in the Subrecipient’s data entry for its D-U- N-S number, the Subrecipient must immediately update the information as required. The County reserves the right to verify and validate any information prior to contract award and during the entire term of the Contract. 45. Program Income: A. Subrecipient shall comply with regulations, as well as all applicable State or County regulations concerning the reporting and payment procedures for program income. B. Definition: “Program Income” means, as provided by 24 CFR § 570.504, gross income received by the Subrecipient directly generated by a grant supported activity, or earned only as a result of the grant agreement during the grant period. County of Orange Page 32 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI C. Use. The Subrecipient shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this Contract. D. All Program Income accrued shall be returned to County on a quarterly basis prior to Subrecipient receiving any reimbursement from grant funds provided under this Contract. E. Subrecipient shall provide information of the receipt of Program Income by Subrecipient related to this Contract on all GPR Information Forms submitted with requests for reimbursement. F. Subrecipient shall complete and submit a Year-End Program Income letter, indicating amount of Program Income and include any reimbursement remittance necessitated therein, by July 15, after the close of the Contract fiscal year. 46. Performance: A. Subrecipient shall provide the oversight, administration, and project management necessary to accomplish all contracted activities in a timely manner. Subrecipient also agrees to comply with all applicable Federal, State, and local laws and regulations governing the funds provided under this Contract. B. Subrecipient shall comply with all applicable HUD regulations, as described in Paragraph 49 “Federal Administrative and Related Requirements” of this Contract, concerning administrative requirements and maintain records as to services provided and total number of persons served through the project, including but not limited to, population-served analysis (i.e., extremely-low income persons, very-low income persons, and low-income persons as defined by HUD). Such information shall be available for periodic monitoring by representatives of County or HUD and shall be submitted by Subrecipient in report form to County by dates specified by County. C. The following “Performance Threshold” criteria shall be used to assess the level of performance of the Subrecipient, including Attachment A — Scope of Services, attached hereto and incorporated herein by reference. Furthermore, the criteria will be considered by OC Community Resources when determining future funding. In order to be considered in compliance with the performance threshold criteria, the Subrecipient must, on or before the required milestone date, submit to OC Community Resources a request for reimbursement which demonstrates that Subrecipient has expended funds and met their proposed accomplishment goals at the required levels, unless exempted in writing by the County. D. Subrecipient shall complete and submit a Year End GPR Information Form by August 14, after the close of the Contract fiscal year. E. Should the activity being funded through this Contract be completed, cancelled or terminated prior to the termination date set forth herein in Paragraph 2 “Term County of Orange Page 33 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI of Contract,” or if funds allocated through this Contract are fully expended, prior to end of Contract term, Subrecipient must continue to serve its clients for the entire term of this Contract. Subrecipient shall complete and submit a Mid-Year and Year End GPR Information Form at the time of the completion, cancellation or termination. F. Subrecipient shall complete and submit a GPR Information Form in support of all requests for reimbursement. Said GPR Information Form shall consist of a cumulative report of project related accomplishments as set forth in Attachment A - Scope of Services, for the subject quarter. If at any time during the term of this Contract Subrecipient has no activity occuring during any quarter, Subrecipient shall prepare and submit to County a Quarterly GPR Information Form, regardless of actual activity. G. Subrecipient acknowledges that the GPR Information Form is a monitoring tool that will be reviewed and evaluated to determine Subrecipient’s level of performance relative to this Contract. H. Subrecipient shall submit all requested data necessary to complete the Consolidated Annual Performance and Evaluation Report (CAPER), and monitor program accountability and progress in accordance with HUD requirements, in the format and at the time designated by County. I. Readiness – for Housing Rehabilitation and Public Facilities & Improvements Projects: Subrecipient shall be required to demonstrate to County its readiness to immediately initiate its Project upon execution of this Contract by providing to the County documentation including, but not limited to, the following: Board or Council Minutes/Resolution; Awarded bid documents with timeline requirements; and, executed Architect and Engineer (hereafter referred to as “A&E”) contracts with specific project timelines consistent with funding. By July 30 of Contract term, Subrecipient shall provide County a Project Readiness Checklist incorporating the status of all Project-phasing milestones. In the case of milestones not yet reached, Subrecipient shall provide projected target dates for when said milestones would be met. The Project Readiness Checklist shall clearly demonstrate that Subrecipient will meet the “Minimum Required Expenditure Thresholds” as set forth in this Paragraph 47.C. Subrecipient acknowledges that said Project Readiness Checklist may be considered to evaluate the performance of the Subrecipient. 47. Performance Monitoring: A. Performance Monitoring of Subrecipient by County, State of California and/or HUD shall consist of requested and/or required written reporting, as well as onsite monitoring by County, State of California or HUD representatives. B. County shall periodically evaluate Subrecipient’s progress in complying with the terms of this Contract. Subrecipient shall cooperate fully during such monitoring. County shall report the findings of each monitoring to Subrecipient. County of Orange Page 34 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI C. County shall monitor the performance of Subrecipient against the goals, outcomes, milestones and performance standards required herein. Substandard performance, as determined by County, will constitute non-compliance with this Contract for which County may immediately terminate the Contract. If action to correct such substandard performance is not taken by Subrecipient within the time period specified by County, payment(s) will be denied in accordance with the provisions contained in this Paragraph 47 of this Contract. D. HUD in accordance with 24 CFR Part 570 Subpart O, 570.902, will annually review the performance of County to determine whether County has carried out its Community Development Block Grant (CDBG) assisted activities in a timely manner and has significantly disbursed CDBG funds and met the mandated “1.5 ratio” threshold. Subrecipient is responsible to ensure timely drawdown of funds. 48. Federal Administrative and Related Requirements: Subrecipient must comply with all federal requirements as it pertains for 24 CFR Parts 91 and 570. Subrecipient acknowledges that administration of its operation and services are subject to the requirements as established in 2 CFR Part 200, et al. Subrecipient shall procure all materials, property, or services in accordance with the requirements of 2 CFR § 200.318-326. A. Financial Management: 1. Accounting Standards Subrecipient agrees to comply with 24 CFR 84.21-28 and agrees to adhere to the accounting principles and procedures required therein, utilize adequate internal controls, and maintain necessary source documentation for all costs incurred. 2. Cost Principles: The Subrecipient shall administer its program in conformance with 2 CFR Part 200, et al; (and if Subrecipient is a governmental or quasi- governmental agency, the applicable sections of 24 CFR 85, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments,”) as applicable. These principles shall be applied for all costs incurred whether charged on a direct or indirect basis. B. Documentation and Record Keeping 1. Records to be Maintained Subrecipient shall maintain all records required by the Federal regulations specified in 24 CFR 570.506 that are pertinent to the activities to be funded under this Contract. Such records shall include, but not be limited to: County of Orange Page 35 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI a. Records providing a full description of each activity undertaken; b. Records demonstrating that each activity undertaken meets the one of the National Objectives of the CDBG program; c. Records required to determine the eligibility of activities; d. Records required to document the acquisition, improvement, use, or disposition of real property acquired or improved with CDBG assistance; e. Records documenting compliance with the fair housing and equal opportunity components of the CDBG program; f. Financial records as required by federal regulations 24 CFR 570.502, and 24 CFR 84.21-28; and g. Other records necessary to document compliance with Subpart K of 23 CFR. 2. Retention Subrecipient shall retain all financial records, supporting documents, statistical records, and all other records pertinent to this Contract for a period of five (5) years. The retention period begins on the date of the submission of the County’s annual performance and evaluation report to HUD in which the activities assisted under the Contract are reported on for the final time. Notwithstanding the above, if there is litigation, claims, audits, negotiations or other actions that involve any of the records cited and that have started before the expiration of the five-year period, then such records must be retained until completion of the actions and resolution of all issues, or the expiration of the five-year period, whichever occurs later. 3. Client Data a. Subrecipient shall maintain client data demonstrating client eligibility for services provided for a period of five (5) years after the termination of all activities funded under this Contract, or after the resolution of all Federal audit finding, whichever occurs later. Such data shall be consistent and include, but not limited to, client name, address, verifiable income level (as documented by income tax returns, employee payroll records, retirement statements, etc. or other third party documentation acceptable to County, for determining eligibility), and description of service provided. Such information shall be made available to HUD representatives, County monitors, or their designees, for review upon request. b. Subrecipient shall develop and implement procedures to ensure the confidentiality of records pertaining to any individual provided family violence prevention or treatment services under any project assisted under the subject program, including protection against the release of the address or location of any family violence shelter project, except with the written authorization of the person responsible for the operation of that shelter. 4. Disclosure County of Orange Page 36 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Subrecipient shall maintain client data demonstrating client eligibility for services provided. Such data shall include, but not be limited to, client name, address, income level or other basis for determining eligibility, and description of service provided. Such information shall be made available to County monitors or their designees for review upon request. 5. Close-Outs Subrecipient’s obligation to County shall not end until all close-out requirements are completed. Activities during this close-out period shall be completed in accordance with federal and State regulations and shall include, but are not limited to: making final payments; submitting final invoice(s), report(s), in accordance with the requirements of Paragraph 49, and documentation; disposing of program assets (including the return to County of all unused materials and equipment); remitting any program income balances and accounts receivable to County, and determining the custodianship of records. Notwithstanding the foregoing, the terms of this Contract shall remain in effect during any period that the Subrecipient has control over CDBG funds, including Program Income. C. Personnel & Participation Conditions 1. Civil Rights Compliance Subrecipient agrees to comply with California Civil Rights Act Ordinances and Title VI of the Civil Rights Act of 1964, as amended, Title VIII of the Civil Rights Act of 1968, as amended, Section 104(b) and Section 109 of Title I of the Housing and Community Development Act of 1974, as amended, Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, the Age Discrimination Act of 1975, Executive Order 11063, and with Executive Order 11246, as amended by Executive Orders 11375, 11478, 12107 and 12086. 2. Nondiscrimination in Employment and Contracting Subrecipient agrees to comply with the non-discrimination in employment and contracting opportunities laws, regulations, and executive orders referenced in 24 CFR 570.607, as revised by Executive Order 13279, including 24 CFR Part 8, 24 CFR 570.602 and Section 504 of Rehabilitation Act of 1973, Americans with Disabilities Act of 1990, Executive Order 11063. The applicable non-discrimination provisions in Section 109 of the Housing and Community Development Act (HCDA) are still applicable. 3. Affirmative Action: Subrecipient agrees that it shall be committed to carry out an Affirmative Action Program that encompasses that principals provided in President’s Executive Order 11246, as revised on January 4, 2002. 4. Americans with Disabilities Act: County of Orange Page 37 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Subrecipient agrees to comply with Section 504 of the Rehabilitation Act of 1973 as amended; Title VI and VII of the Civil Rights Act of 1964 as amended; Americans with Disabilities Act, 42 USC 12101; California Code of Regulations, Title 2, Title 22: California Government Code, Sections 11135, et seq; and other federal and state laws and executive orders prohibit discrimination. All programs, activities, employment opportunities, and services must be made available to all persons, including persons with disabilities. 5. Drug-Free Workplace: The Subrecipient hereby certifies compliance with Government Code Section 8355 in matters relating to providing a drug-free workplace as set forth in Exhibit 2, attached hereto and incorporated herein by reference. The Subrecipient will: a. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations, as required by Government Code Section 8355(a). b. Establish a drug-free awareness program as required by Government Code Section 8355(b) to inform employees about all of the following: i. The dangers of drug abuse in the workplace; ii. The Subrecipient’s policy of maintaining a drug free workplace; iii. Any available counseling, rehabilitation, and employee assistance programs; and iv. Penalties that may be imposed upon employees for drug abuse violations. c. Provide as required by Government Code Section 8355(c) that every employee who works under this Contract: i. Will receive a copy of the company’s drug-free policy statement; and ii. Will agree to abide by the terms of the company’s statement as a condition of employment under this Contract. Failure to comply with these requirements may result in suspension of payments under the contract or termination of the contract or both, and the Subrecipient may be ineligible for award of any future County contracts if the County determines that any of the following has occurred: iii. The Subrecipient has made false certification, or iv. The Subrecipient violates the certification by failing to carry out the requirements as noted above. 6. Anti-Lobbying: Subrecipient certifies that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that: a. No federal appropriated funds will be paid, by or on behalf of it, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of congress, or an employee of a Member of Congress County of Orange Page 38 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI in connection with the awarding of any federal contract, the making of any federal grant, the making of any Federal loan, the entering into of any Cooperative Agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or Cooperative Agreement; and b. Subrecipient shall include subject anti-lobbying certification in award documents for all sub-Subrecipients at all tiers (including sub-subcontracts, sub-subgrants, and contract under grants, loans, and Cooperative Agreements) and that all sub-Subrecipients shall certify and disclose accordingly. 7. Employment Restrictions: a. Prohibited Activity: Subrecipient is prohibited from using funds provided herein, or personnel employed in the administration of the program, for: political activities, sectarian or religious activities, lobbying, political patronage, and nepotism activities. b. OSHA: Where employees are engaged in activities not covered under the Occupational Safety and Health Act of 1970, they shall not be required or permitted to work, be trained, or receive services in buildings or surroundings or under working conditions which are unsanitary, hazardous or dangerous to the participants’ health or safety. c. Employee Rights i. Federal Minimum Wage Subrecipient must follow the Fair Labor Standards Act (FLSA), as it currently exists and it may be amended, which sets basic minimum wage and overtime pay standards. These standards are enforced by The United States Department of Wage and Hour Division under Department’s Wage and Hour Division. The Federal minimum wage provisions are contained in the FLSA. Many states also have minimum wage laws. In cases where an employee is subject to both state and federal minimum wage laws, the employee is entitled to the higher minimum wage. d. California Minimum Wage i. Subrecipient must follow the California enacted legislation signed by the Governor of California, raising the minimum wage for all industries (MW-2007). (AB 1835, CH230, Stats of 2006, adding sections 1182.12 and 1182.13 to the California Labor Code.) Pursuant to its authority under Labor Code section 1182.13, the Department of Industrial Relations amends and republishes Sections, 1, 2, 3, and 5 of the General Minimum Wage Order. MW-2001, Section 4, Separability, has not been changed. Consistent with this enactment, amendments are made to the minimum wage, and the meals and lodging credits sections of all of the IWC’s County of Orange Page 39 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI industry and occupation orders. This summary must be made available to employees in accordance with the IWC’s wage orders. Copies of the full text of the amended wage orders may be obtained by ordering on-line at www.dir.ca.gov/WP.asp or by contacting your local Division of Labor Standards Enforcement office. e. Hatch Act: Subrecipient agrees that no funds provided, nor personnel employed under this Contract, shall be in any way or to any extent engaged in the conduct of political activities in violation of the Hatch Act, 5 U.S.C. Section 1501 et seq. and Chapter 15 of Title V of the U.S.C. f. Religious Organization/Activities: In accordance with 24 CFR 570.200(j), Subrecipient shall not discriminate against faith-based organizations in administering its federal HUD activities. Subrecipient agrees that funds provided under this Contract will not be utilized for inherently religious activities prohibited by 24 CFR 570.200(j), such as worship, religious instruction, or proselytization or to promote religious interest, or for the benefit of a religious organization. 8. Labor Standards a. Subrecipient agrees to contact County no less than fourteen (14) days prior to the Pre-Construction Meeting date to seek consultation regarding application of requirements per federal labor standards regulations or Davis-Bacon related Acts. b. Subrecipient will comply with Davis-Bacon Act and/or State Prevailing Wage requirements, when applicable. c. Subrecipient agrees to comply with all applicable requirements of the Secretary of Labor in accordance with the Davis-Bacon Act, the provisions of Contract Work Hours and Safety Standards Act, the Copeland “Anti-Kickback” Act (40 U.S.C. 276, 327-333), and all other applicable Federal, State and local laws and regulations pertaining to labor standards. Subrecipient shall maintain all applicable documentation, which demonstrates compliance with hour and wage requirements of this part. Such documentation shall be made available to County for review upon request. d. Subrecipient agrees that, except with respect to the rehabilitation or construction of residential property designed for residential use for less than eight (8) units, all Subrecipients engaged in contracts of $2,000.00 or more for construction, renovation or repair of any building or work financed in whole or in part with assistance provided under this Contract, shall comply with all applicable federal requirements including Department of Labor regulations, under 29 CFR, Parts 3, 1, 5, 7 and 1926 governing the payment of wages and ratio of apprentices and trainees to journeymen. Nothing hereunder is intended to relieve County of Orange Page 40 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI e. Subrecipient of its obligation, if any, to require payment of the higher rate under state or local laws Subrecipient shall insert provisions meeting the requirements of this Paragraph in all such Contracts. In case where the Davis-Bacon Act applies, Subrecipient agrees to submit the Construction Bid Package for this project to County for modification, Subrecipient shall construct project in accordance with the approved Construction Bid Package. 9. California Labor Code Compliance a. Prevailing Wage laws apply, Subrecipient hereby agrees to pay, or cause its subcontractors to pay, Prevailing Wage rates at all times for all construction, improvements, or modifications to be completed for County under this Contract. Subrecipient herein agrees that Subrecipient shall post, or cause to be posted, a copy of the most current, applicable Prevailing Wage rates at the site where the construction, improvements, or modifications are performed. b. Payroll Records Subrecipient agrees that: Certified copies of all payroll records for this project shall be required pursuant to the provisions of California Labor Code “Section 1776”. The reporting format and words of certification shall be as indicated in Title 8 of the California Code of Regulations, Section 16401. Certified copies of the payroll records of all subcontractors working on this project are required. It shall be the responsibility of the prime contractor to ensure subcontractor compliance. Certified copies of all payroll records shall be submitted on a weekly basis to County through the duration of this Contract. Subrecipient acknowledges that failure to comply with Section 1776 may result in a forfeiture of one hundred dollars ($100) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated, and it should be recognized that a contractor or subcontractor, or agent or representative thereof who neglects to comply is guilty of a misdemeanor pursuant to California Labor Code Section 1777. 10. Economic Opportunities Compliance Subrecipient agrees to abide by the provisions of OMB Circulars 102 and 110, as applicable, 24 CFR 570.611 with respect to conflicts of interest, and covenants that it presently has no financial interest and shall not acquire any financial interest, direct or indirect, which would conflict in any manner or degree with the performance of services required under this Contract. Subrecipient further covenants that in the performance of this Contract no person having such a financial interest shall be employed or retained by County of Orange Page 41 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Subrecipient hereunder. These conflict of interest provisions apply to any person who is an employee, agent, consultant, officer, or elected official or appointed official of County or Subrecipient, or any designated public agencies which are receiving funds under the CDBG Entitlement Program. This Contract is subject to the requirements of 12 USC 1701u, the HUD regulations issued pursuant thereto at 24 CFR, 135.1 et seq., and any applicable rules and orders of HUD issued Federal financial assistance shall be conditioned upon compliance with 12 USC 1701u. Failure to fulfill these requirements shall subject Subrecipient and any sub-Subrecipients, their successors and assigns, to those remedies specified herein. Subrecipient certifies and agrees that no conflict exists which would prevent compliance with requirements. The Subrecipient agrees to abide by 24 CFR, 135.38, below and will insert the following clause in any subcontracts executed with third parties for work covered by this Contract: “The work to be performed under this Contract is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing. The Parties to this Contract agree to comply with HUD’s regulations in 24 CFR part 135, which implement Section 3. As evidenced by their execution of this Contract, the Parties to this Contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. The Subrecipient agree to send to each labor organization or representative of workers with which the Subrecipient has a collective bargaining agreement or other understanding if any, a notice advising the labor organization or workers’ representative of the Subrecipient’s commitments under this section clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. The Subrecipient agrees to include this Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The Subrecipient will not subcontract with any subcontractor where the County of Orange Page 42 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Subrecipient has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR part 135. The Subrecipient will certify that any vacant employment positions, including training positions, that are filled (1) after the Subrecipient is selected but before the Contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not filled to circumvent the Subrecipient’s obligations under 24 CFR part 135. Noncompliance with HUD’s regulations in 24 CFR part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. With respect to work performed in connection with Section 3 covered Indian housing assistance, section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extend feasible (1) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of Contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this Contract that are subject to the provisions of Section 3 and section 7(b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b).” 11. Environmental Conditions: Subrecipient shall comply with HUD Environmental Review under HUD regulations at 24 CFR 58 et seq., which implement the National Environmental Policy Act (NEPA); and, the California Environmental Quality Act (CEQA). No costs shall be incurred and no funds shall be disbursed prior to certification by County and/or HUD of environmental compliance. Subrecipient shall incur no costs for any project-related activity defined in Subrecipient Scope of Services and County shall not disburse funds prior to certification by County and/or HUD for environmental compliance. Subrecipient shall provide requested material to County for the Environmental Review process required by applicable regulations. a. Air and Water: Subrecipient agrees to comply with the following regulations in so far as they apply to the performance of this Contract: Clean Air Act, 42 U.S.C., 1857, et seq. Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251, et seq. Environmental Protection Agency (EPA) regulations pursuant to 40 CFR 50 and 40 CFR 58. b. Flood Disaster Protection: Subrecipient agrees to comply with the requirements of the Flood County of Orange Page 43 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Disaster Protection Act of 1973, including as applicable any regulations set forth in 24 CFR 55, (implementing Executive Order 11988) in regard to the sale, lease or other transfer of land acquired, cleared, or improved under the terms of this Contract, as it may apply to the provisions of this Contract. c. Lead-Based Paint: Subrecipient agrees that any construction or rehabilitation of residential structures with assistance provided under this Contract shall be subject to HUD Lead-Based Paint Regulations at 24 CFR 570.608, and 24 CFR 35, particularly, 24 CFR 35.100 through 35.175. Such regulations pertain to all HUD-assisted housing and require that all owners, prospective owners, and tenants or properties constructed prior to 1978 be properly notified with the “Protect Your Family From Lead In Your Home” publication, found at http://www.epa.gov/lead that such properties may include lead- based paint. d. Historic Preservation: Subrecipient agrees to comply with the Historic Preservation requirements set forth in the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470) and the procedures set forth in 36 CFR 800, Protection of Historic Properties, insofar as they apply to the performance of this Contract. In general, this requires concurrence from the State Historic Preservation Officer for all rehabilitation and demolition of historic properties that are fifty years old or older or that are included on a Federal, State, or local historic property list. e. Energy Efficiency Standards: Subrecipient agrees to comply with the California Energy Commission Assembly Bill 970, Title 24, Part I of the California Code of Regulations (AB970: Building Efficiency Energy Standards), in regard to construction and property development, when applicable. f. Modifications/Transfers of Real Property: Any proposed modification or change in use of real property acquired or improved, in whole or in part, by CDBG funds from the use planned at the time of the acquisition or improvement, including disposition, is prohibited. i. Subrecipient shall ensure that any real property under Subrecipient’s control that was acquired or improved in whole or in part with CDBG funds in excess of $25,000 is either: i.i. Used to meet one of the national objectives contained in 24 CFR 570.208 for a period not less than five years, or for such period of time as determined to be appropriate by County, after expiration of the Contract and close-out of Subrecipient’s participation in the CDBG Program, or, until five years after the close-out of the grant from which the assistance to the property, whichever occurs first; or, County of Orange Page 44 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI i.ii. Disposed of in a manner which results in County being reimbursed in an amount equal to the current fair market value of the property less any portion thereof attributable to expenditures of non-CDBG funds for acquisition of, or improvement to, the property. Such reimbursement is not required after the period of time specified in accordance with this Paragraph 49. g. Property Records: Subrecipient shall maintain real property inventory records, which clearly identify properties purchased, improved, or sold. Properties retained shall continue to meet eligibility criteria, rental limitations, health, safety and building codes, etc., and shall conform to federal and State regulations. h. Equipment: Subrecipient shall use, manage and dispose of equipment in accordance with federal and State regulations. i. Subcontracts: i. Subrecipient shall submit all subcontract agreements to County for review and consent prior to entering into such subcontracts. For construction subcontracts, Subrecipient shall submit the Construction Bid Package to County for review and written approval by Director or designee prior to advertising for bids and award for the construction contract. Subrecipient shall construct Project in accordance with the Construction Bid Package, which Director approved, unless prior written approval is received from Director for modification thereof. ii. Subrecipient shall assume responsibility for all subcontracted services to assure Contract compliance. iii. Subrecipient shall cause all of the provisions of this Contract in entirety to be included in and made a part of any subcontract executed in the performance of this Contract. iv. Subrecipient shall monitor all subcontracted services on a quarterly basis to assure Contract compliance. Results of said monitoring efforts shall be summarized in written form, and supported with documented evidence of follow-up actions(s) to correct any area(s) of Contract non- compliance. Documentation shall be made available for periodic monitoring by representatives of County and/or HUD. j. Fair Housing: Subrecipient shall affirmatively further fair housing in accordance with 24 CFR 570. Under section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to affirmatively further fair housing. HUD requires the same of its funded sub-recipients. The Subrecipient has a duty to affirmatively further fair housing opportunities for classes protected under the Fair Housing Act, along with all applicable State & Federal requirements. k. Grantor Recognition: County of Orange Page 45 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Subrecipient shall insure recognition of the role of the County in providing services through this Contract. All activities, facilities and items utilized pursuant to this Contract shall be prominently labeled as to funding source. In addition, Subrecipient will include a reference to the support provided herein in all publications made possible with funds made available under this Contract. Subrecipient will retain documentation of such recognition, which shall be available for periodic monitoring by representatives of County or HUD. l. Rehabilitation Act: Subrecipient agrees to comply with any federal regulations issued pursuant to compliance with Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. 706) which prohibits discrimination against the handicapped in any federally assisted program. County shall provide Subrecipient with any guidelines necessary for compliance with that portion of the regulations in force during the term of this Contract. 49. Definitions: For the purposes of this Contract the following definitions shall apply: A. OC Community Resources (OCCR): Designated as the Lead for the development and implementation of County of Orange Urban County Program’s Consolidated Plan. B. Director: Director of OC Community Resources, or designee. C. Grantee Performance Report (GPR) Information Form: A Program activity data document provided by County to Subrecipient used to monitor, track and report the performance of Subrecipient. D. OC Community Resources Contract Reimbursement Policy: A County document setting policies regarding types of documentation required to support the costs incurred and paid (including but not limited to copies of paid invoices, certified payroll registers, bank statements, etc.) E. Project: Any site or sites, including buildings, and/or activities assisted with federal program funds. F. OMB: Federal Office of Management and Budget. G. CAPER: Consolidated Annual Performance and Evaluation Report. An annual published report to HUD and the public on all housing-related activities. County of Orange Page 46 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI H. CDBG: 24 CFR Part 570 - Community Development Block Grant – the CDBG regulations set forth eligible activities and the national objectives that each activity must meet. The Catalog of Federal Domestic Assistance (CFDA) # 14.218 distributes formula grants (CDBG) to develop viable urban communities by providing decent housing, a suitable living environment, and expanding economic opportunities, principally for persons of low and moderate income. I. Continuum of Care: An Orange County group composed of representatives of relevant organizations that serve homeless and formerly homeless persons that are organized to plan for and provide, as necessary, a system of services to address the various needs of homeless persons and persons at risk of homelessness. J. Homeless Management Information System (HMIS): The information system designated by the Continuum of Care to comply with HUD’s data collection, management, and reporting standards and used to collect client-level data and data on the provision of housing and services to homeless individuals and families and persons at risk of homelessness. (24 CFR Part 580) K. Equipment: Tangible, non-expendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. L. Substantial Amendment: The following criteria will be used by the County – if any one criteria applies, a substantial amendment will be required: i. A new activity not previously listed and described in the Consolidated Plan/Annual Action Plan; ii. When a proposal is made to amend the description of an existing activity in such a way that the newly described purpose, scope, or beneficiaries differ significantly from the original activity’s purpose, scope, or beneficiaries; and/or iii. An increase in the amount of Federal Community Planning Development and/or local funds allocated to an existing activity when the following apply: a. An increase in funding for a public service activity in an amount that is consistent with County policy; or b. An increase in the funding for public facility improvements/housing rehabilitation in an amount that is consistent with County policy. M. Construction Bid Package: A package of bidding documents which includes the proposal, bidding instructions, Contract documents, detailed estimated costs, and plans and specifications for a construction project, all prepared in accordance with applicable Federal regulations. N. Program Administration: An activity relating to the general management, oversight and coordination of community development programs. Costs directly related to carrying out eligible activities are not included. County of Orange Page 47 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI THE REMAINDER OF THE PAGE WAS INTENTIONALLY LEFT BLANK County of Orange Page 48 of 48 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Signature Page IN WITNESS WHEREOF, the Parties hereto certify that they have read and understand all the terms and conditions contained herein and have hereby cause this Contract to be executed. *City of San Juan Capistrano By: By: Name: Name: Title: Title: Dated: Dated: *For Subrecipients that are corporations, signature requirements are as follows: 1) One signature by the Chairman of the Board, the President or any Vice President; and 2) One signature by the secretary, any Assistant secretary, the Chief Financial Officer or an Assistant Treasurer. For Subrecipients that are not corporations, the person who has authority to bind the Subrecipient to a contract, must sign on one of the lines above. ************************************************************ COUNTY OF ORANGE A Political Subdivision of the State of California By: Dated: Dylan Wright, Director OC Community Resources APPROVED AS TO FORM DEPUTY COUNTY COUNSEL By: Dated: Deputy County Counsel ATTACHMENT A County of Orange Page 1 of 2 San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI SCOPE OF SERVICES PUBLIC FACILITIES & IMPROVEMENTS 1. Scope of Services A. HUD Matrix Code / Activity: 03L Sidewalks/ 570.201 (c) B. Project Title ADA Street and Ramp Improvements D. Program Description: Subrecipient shall use CDBG funds received under this Contract for their ADA Street and Ramp Improvements. The work at this location would construct ADA compliant curb ramps as well as modify the striping to ensure ADA compliance through an intersection and will also include a wider sidewalk in front of the residential house located on the eastside of El Camino Real to meet ADA standards and curb ramp improvements at various locations. E. Project Need: The project is needed to ensure ADA compliance on a street and sidewalk as well as ensuring various curb ramps meet ADA compliance. F. Low/Mod Neighborhood Preservation: The Federal mandate for the elimination of discrimination against individuals with disabilities, Congress emphasized that Americans with Disabilities Act (ADA) regulations seek to dispel stereotypes and assumptions about disabilities and to assure equality of opportunity, full participation, independent living, and economic self-sufficiency for people with disabilities. The repair of these roadways will add to the livability of the Subrecipient for not only residents of all ages but especially for seniors and persons with disabilities if the accessibility in these areas is improved. ATTACHMENT A County of Orange Page 2 of 2 San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI G. Program Objectives and Outcomes Chart: Activity Outputs 1. Design Design of Project 2. Construction Management Project Oversite 3. Construction Ramps, sidewalk, Street Lines Performance Objectives Performance Outcomes 1. Suitable Living Environment Availability/Accessibility CDBG National Objective: LMC 570.208 (a)(2) Outcomes 9,752 People ATTACHMENT B County of Orange Page 1 of 2 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI PAYMENT/COMPENSATION PUBLIC SERVICES 1. COMPENSATION: This is a Contract between the County and the Subrecipient for $350,000 as set forth in Attachment A. Scope of Services attached hereto and incorporated herein by reference. The Subrecipient agrees to accept the specified compensation as set forth in this Contract as full remuneration for performing all services and furnishing all staffing and materials required, for any reasonably unforeseen difficulties which may arise or be encountered in the execution of the services until acceptance, for risks connected with the services, and for performance by the Subrecipient of all its duties and obligations hereunder. The County shall have no obligation to pay any sum in excess of the total Contract amount specified unless authorized by an amendment in accordance with paragraphs C and P of the County’s General Terms and Conditions. 2. FIRM DISCOUNT AND PRICING STRUCTURE: Subrecipient guarantees that prices quoted are equal to or less than prices quoted to any other local, state or federal government entity for services of equal or lesser scope. Subrecipient agrees that no price increases shall be passed along to the County during the term of this Contract not otherwise specified and provided for within this Contract. 3. PAYMENT TERMS: An invoice for services/activities shall be submitted to the address specified below upon the completion of the services/activities and approval of the County Project Manager. Subrecipient shall reference Contract number on invoice. Payment will be net 30 days after receipt of an invoice, contingent upon availability of funds, in a format acceptable to the County of Orange, verified and approved by OC Community Resources and subject to routine processing requirements of the County. The responsibility for providing an acceptable invoice rests with the Subrecipient. Billing shall cover services not previously invoiced. The Subrecipient shall reimburse the County of Orange for any monies paid to the Subrecipient for services not provided or when services do not meet the Contract requirements. ATTACHMENT B County of Orange Page 2 of 2 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI Payments made by the County shall not preclude the right of the County from thereafter disputing any items or services involved or billed under this Contract and shall not be construed as acceptance of any part of the services. Invoice(s) are to be sent to: OC Community Resources Accounting 601 N Ross St, 6th Floor, Santa Ana, CA 92701 INVOICING INSTRUCTIONS: Further instructions regarding invoicing/reimbursement as set forth in Exhibit 1-OC Community Resources Contract Reimbursement Policy, are attached hereto and incorporated herein by reference. The Subrecipient will provide an invoice on Subrecipient’s letterhead for services rendered. Each invoice will have a number and will include the following information: The Demand Letter/Invoice must include Delivery Order (DO) Number, Contract Number, Service date(s) – Month of Service along with other required documentation (See Exhibit 1). 4. OC COMMUNITY RESOURCES CONTRACT REIMBURSEMENT POLICY: Further instructions regarding invoicing/reimbursements as set forth in Exhibit 1 – OC Community Resources Contract Reimbursement Policy, are attached hereto and incorporated herein by reference. ATTACHMENT C County of Orange Page 1 of 1 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI BUDGET SCHEDULE PUBLIC FACILITIES & IMPROVEMENTS 1. Subrecipient’s Budget Schedule A. Administration and Project Cost Project Budget Chart City of San Juan Capistrano ADA Street and Ramp Improvements Project Costs/Activity Urban County Funds Leveraged Resources Total Design/Project Development $42,000 N/A $42,000 Construction Management $25,000 N/A $25,000 Construction $283,000 N/A $283,000 Total Project Cost $350,000 0 $350,000 B. Detailed Project Cost Budget Description The Subrecipient will utilize $350,000 in CDBG funds are requested for the reconstruction curb ramps, sidewalks and streets. County of Orange Page 1 of 1 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI ATTACHMENT D 1. Staffing Plan Project Title: ADA Street and Ramp Improvements - City of San Juan Capistrano Classification/Title Housing Supervisor / Associate Planner City’s Public Work’s Division The substitution or addition of other key individuals in any given category or classification shall be allowed only with prior written approval of the County Project Manager. The Subrecipient may reserve the right to involve other personnel, as their services are required. The specific individuals will be assigned based on the need and time of the service/class required. Assignment of additional key personnel shall be subject to County approval. Subrecipient shall provide the name of the staff to the County within a time mutually agreed upon by the Parties but no event later than 30 days after the execution of the Contract. ATTACHMENT E County of Orange Page 1 of 1 City of San Juan Capistrano OC Community Resources Contract # 21-23-0019-PFI PERFORMANCE STANDARDS PUBLIC FACILITIES & IMPROVEMENTS 1. Performance Standards July 1, 2021 – Contract Start Date 2. Tools to Measure Project’s Effect ADA Street and Ramp Improvements Milestone Date Minimum Required Expenditure/ Accomplishment Threshold Activity Results Achieved February 15th 50% of Contracted Amount Expended $175,000 February 15th 50% of Proposed Accomplishments Achieved Design and/or installation March 15th 70% of Contracted Amount Expended $250,000 March 15th 70% of Proposed Accomplishments Achieved Construction and/or installation April 15th 80% of Contracted Amount Expended $280,000 April 15th 80% of Proposed Accomplishments Achieved Construction and/or installation 3. The Subrecipient will use several tools in measuring the project’s effect on the intended beneficiaries through project management. The Subrecipient will measure its success in meeting the needs of its community based on whether it has provided more accessible pedestrian mobility in accordance with ADA standards. The Subrecipient will also meet the milestone dates as identified in the chart above. Page 1 of 2 EXHIBIT 1 Subject: OC Community Resources Contract Reimbursement Policy Effective: July 1, 2010 Revised: January 17, 2020 PURPOSE: This policy contains updated fiscal documentation requirements for contract reimbursement for OC Community Services and OC Housing & Community Development. The procedures provide instructions for submitting reimbursement demand letter or invoice. REFERENCES: Executed County Board of Supervisors approved contract Budget included in contract or presented as an attachment 48 CFR Part 31 Contract Cost Principles and Procedures 24 CFR Parts 85, 570.502, 570.201, 576.21, 576.51 and 576.61: For OC Housing & Community Development Contracts only. 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) BACKGROUND: The executed Board of Supervisors approved contract is the authorization for all aspects of payment, including the maximum amount to be paid, the payee, and the scope of services and work. Payments are made in strict accordance with the contract terms. Allowable costs are identified in referenced Uniform Guidance and Code of Federal Regulations (CFR). ATTACHMENTS: Reimbursement Policy Status Form (RPS-1) POLICY: Contractor is responsible for the submission of accurate claims. This reimbursement policy is intended to ensure that the Contractor is reimbursed based on the code or codes that correctly describe the services provided. This information is intended to serve only as a general reference resource regarding OC Community Services’ and OC Housing & Community Development’s reimbursement policy for the services described and is not intended to address every aspect of a reimbursement situation. Accordingly, OC Community Services and OC Housing & Community Development may use reasonable discretion in interpreting and applying this policy to services provided in a particular case. Other factors affecting reimbursement may supplement, modify or, in some cases, supersede this policy. These factors may include, but are not limited to: legislative mandates and County directives. OC Community Services and OC Housing & Community Development may modify this reimbursement policy at any time by publishing a new version of the policy. However, the information presented in this policy is accurate and current as of the date of publication. Cost incurred by Contractor must be substantiated and incurred during the contract period. Total of all reimbursements cannot exceed the amount of the contract. Cost must be allowable under applicable Code of Federal Regulations (CFR) or Uniform Guidance. All supporting documentation for reimbursement must be submitted with demand letter or invoice. If contract Page 2 of 2 requires matching contribution, documentation substantiating contribution match must be submitted with demand letter or invoice. At any time, based on County’s business needs and/or Contractor’s performance, the County may designate Contractor to submit abbreviated or comprehensive documentation, as identified in the respective sections. Upon designation, Contractor will be notified, in writing via Reimbursement Policy Status Form, of which requirements are in full force. When Contractor is required to submit comprehensive documentation, in addition to the items identified in the Abbreviated Documentation Requirements Section, Contractor must also provide the documentation identified in the Comprehensive Documentation Requirements Section. PROCEDURES: Abbreviated Documentation Requirements Compile and submit: 1.Supporting documentation includes, but is not limited to: a.General ledger/expense transaction report b.Payroll register or labor distribution report c.Payroll allocation plan d.Personnel Documentation e.Benefit plan and calculation of benefit f.Employer-employee contract for non-customary benefits (if applicable) g.Pre-approval documentation for equipment purchases equal to or greater than $5,000 2.The following is required with the first month’s invoice only: a.Cost allocation plan for rent, utilities, etc. b.Indirect rate approved by cognizant agency (if applicable) 3.Summary of leveraged resources (if applicable) 4.Demand letters must contain the following certification (if required by Contract): “By signing this report, I certify to the best of my knowledge and belief that the report is true, complete, and accurate, and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31 Sections 3729-3730 and 3801-3812)” 5.Grantee Performance Report (if required by Contract) 6.Supporting documentation shall be on single-sided sheets 7.Please redact employees’ Social Security Number from payroll reports 8.Demand letter or invoice, along with supporting documentation shall be submitted to: OC Community Resources Accounting 601 N. Ross St., 6th Floor Santa Ana, CA 92701 Comprehensive Documentation Requirements In addition to abbreviated documentation, compile and submit: 9.Purchase orders, invoices, and receipts 10.Cashed checks 11.Check register 12.Consultant/sub-contractor invoices (with description of services) 13.Travel expense documentation: mileage reimbursement, hotel bill, meal reimbursement ACTION: Distribute this policy to all appropriate staff INQUIRIES: Inquiries may be directed to OCCR Accounts Payable at: OCCRAccountsPayable@occr.ocgov.com Reimbursement Policy Status Form Per OC Community Resources Contract Reimbursement Policy, in regards to the Contract # listed herein, Contractor is designated with the Documentation Status of Abbreviated unless Comprehensive is checked below. If the contractor’s designation should change to Abbreviated, a new status form shall be approved. All related documentation requirements are in full force, until further notice. Contractor: City of San Juan Capistrano Effective Date: July 1, 2021 Contract #: 21-23-0019-PFI Documentation Status: ☒ Abbreviated ☐Comprehensive ************************************************************************************************************* Program Authorization by: Auditor Controller Authorization by: Print Name: Julia Bidwell Signed by: Date: Two signatures are required to implement the form. Distribution: Contractor Auditor Controller Contract File Program File Reimbursement Policy Status (RPS-1) Print Name: Eric Takanishi Signed by: Date: Certification for a Drug-Free Workplace City of San Juan Capistrano Contract # 21-23-0019-PFI U.S. Department of Housing and Urban Development EXHIBIT 2 Applicant Name CDBG – Public Facilities and Improvements, Housing Rehabilitation, Public Services Program/Activity Receiving Federal Grant Funding Acting on behalf of the above named Applicant as its Authorized Official, I make the following certifications and agree ments to the Department of Housing and Urban Development (HUD) regarding the sites listed below: I certify that the above named Applicant will or will continue to provide a drug-free workplace by: a.Publishing a statement notifying employees that the un- lawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the Applicant's work- place and specifying the actions that will be taken against employees for violation of such prohibition. b.Establishing an on-going drug-free awareness program to inform employees --- (I)The dangers of drug abuse in the workplace; (2)The Applicant's policy of maintaining a drug-free workplace; (3)Any available drug counseling, rehabilitation, and employee assistance programs; and (4)The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace. c.Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph a.; d.Notifying the employee in the statement required by para- graph a. that, as a condition of employment under the grant, the employee will --- (I)Abide by the terms of the statement; and (2) Notify the employer in writing of his or her convic- tion for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; e.. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph d.(2) from an em- ployee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, includ- ing position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; f.Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph d.(2), with respect to any employee who is so convicted --- (I)Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfacto - rily in a drug abuse assistance or rehabilitation program ap - proved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; g.Making a good faith effort to continue to maintain a drug - free workplace through implementation of paragraphs a. thru f. 2. Sites for Work Performance. The Applicant shall list (on separate pages) the site(s) for the performance of work done in connection with the HUD funding of the program/activity shown above: Place of Performance shall include the street address, city, county, State, and zip code. Identify each sheet with the Applicant name and address and the program/activity receiving grant funding .) Check here 0if there are workplaces on file that are not identified on the attached sheets. I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate. Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties. (18 U .S.C. 1001, 1010, 1012; 31 U.S.C. 3729, 3802) Name of Authorized Official Title Signature Date X form HUD-50070 (3/98) ref. Handbooks 7417.1 , 7475.13, 7485.1 & .3 County of Orange OC Community Resources Page 1 of 2 City of San Juan Capistrano Contract No. 21-23-0019-PFI Exhibit 3 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION LOWER TIER COVERED TRANSACTIONS This certification is required by the regulations implementing Executive Order 12549, Debarment and suspension, 29 CFR Part 98.510, Participants’ responsibilities. The regulations were published as Part VII of the May 26, 1988 Federal Register (pages 19160-19211) (BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION) (1)The contractor or grant recipient of Federal assistance funds certifies, by submission of this exhibit document, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. (2)Where the contractor or grant recipient of Federal assistance funds is unable to certify to any of the statements in this certification, the contractor or grant recipient shall attach an explanation to this exhibit document. Name Title Authorized Signature Date County of Orange OC Community Resources Page 2 of 2 City of San Juan Capistrano Contract No. 21-23-0019-PFI Exhibit 3 DEBARMENT AND SUSPENSION CERTIFICATION - Instructions for Certification 1.By signing and submitting this exhibit document, the contractor or grant recipient of Federal assistance funds is providing the certification as set out below. 2.The certification in the clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the contractor or grant recipient of Federal assistance funds knowingly rendered an erroneous certification in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3.The contractor recipient of Federal assistance funds shall provide immediate written notice to the County of Orange/Workforce Investment Board to which this certification document is submitted if at any time the contractor or grant recipient of Federal assistance funds learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4.The contractor or grant recipient of Federal assistance funds agrees by submitting this certification document that, should the covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 5.The contractor or grant recipient of Federal assistance funds further agrees by submitting this certification document that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 6.The contractor or grant recipient in a covered transaction may rely upon a certification of a contractor or grant recipient in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. The contractor or grant recipient may decide the method and frequency by which it determines the eligibility of its principals. 7.Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of the contractor or grant recipient is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 8.Except for transactions authorized under paragraph 5 of these instructions, if the contractor or grant recipient in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. County of Orange OC Community Resources Page 1 of 3 City of San Juan Capistrano Contract No. 21-23-0019-PFI EXHIBIT 4 INSTRUCTIONS FOR COMPLETION OF SF-LLL DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient at the initiat ion or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress. or an employee of a Member of Congress in connection with a covered F ederal action. Use the SF LLL-A Continuation sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budge t for additional information. 1.Identify the type of covered Federal action for which lobbying is and has been secured to influence the outcome of a covered action. 2.Identify the status of the covered Federal action. 3.Identify the appropriate classification of this report. If this is a follow up report caused by a material change to the info rmation previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this repor ting entity for this covered Federal action. 4.Enter the full name, address, city, state and zip code of the reporting ent ity. Include congressional district. if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be a prime or subaward recipient. Identify the tier of the subawardee, e. g. the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts. subgrants and contract awards under grants. 5.If the organization filing the report, in item 4 checks "Subawardee", then enter the full name, address, city, state, and zip code of the prime Federal recipient. Include congressional district, if known. 6.Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below age ncy name, if known. For example, Department of Transportation, United States Coast Guard. 7.Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans and loan commitments. 8.Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e. g. Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number the contract, grant. or loan award number; the application proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP DE 90 09." 9.For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the primary entity identified in item 4 or 5. 10.(a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the covered Federal action. (b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI). 11.Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying enti ty (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report enter h e cumulative amount of payment made or planned to be made. 12.Check the appropriate box(es). Check all boxes that apply. If payment is made through an in kind contribution, specify the nature and value of the in kind payment. 13.Check the appropriate box(es). Check all boxes that apply. If other, specify nature. 14.Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal official(s) or employee(s) contacted and the officer(s), employee(s), or Member(s) of Congress that were contacted. 15.Check whether or not a SF LLL A Continuation Sheet(s) is attached. 16.The certifying official shall sign and date the form, print his/her name, title, and telephone number. Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time fo r reviewing instructions. searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reduc ing this burden, to the Office of Management and Budget. Paperwork Reduction Project (0348 0046) Washington D.C., 20503. County of Orange OC Community Resources Page 2 of 3 City of San Juan Capistrano Contract No. 21-23-0019-PFI EXHIBIT 4 DISCLOSURE OF LOBBYING ACTIVITIES Complete this form to disclose activities pursuant to 31 U.S.C 1352 1.Type of Federal Actions: a.contract b.grant c.cooperative agreement d.loan e.loan guarantee f.loan insurance 2.Status of Federal Actions: a.bid/offer/application b.initial award c.post-award 3.Report Type: a.initial filing b.material change For material change only: Year: Quarter: Date of last report: 4.Name and Address of Reporting Entity 5.If Reporting Entity in No. 4 is a Subawardee: Enter Name and Address of Prime: Congressional District, if known: Prime Subawardee Tier if known Congressional District, if known: 6.Federal Department / Agency:7.Federal Program Name/Description 8.Federal Action Number, if known:9.Award Amount, if known: $ 10a. Name and Address of Lobbying Entity (if individual, last name, first name, MI): (attach Continuation Sheets SF-LLL-A, if necessary) 10b. Individual Performing Services (including address if different from No. 10a) (last name, first name, MI): 11.Amount of Payment (check all that apply): $ Actual Planned 13.Type of Payment (check all that apply) a.retainer b.one-time free c.commission d.contingent fee e.deferred f.other specify: 12.Form of Payment (check all that apply): a.cash b.in-kind: specify: nature: value: 14.Enter Description of Services performed or to be Performed and date(s) of Service, including officer(s), employee(s), or Memb er(s) contacted, for Payment indicated on item 11: 15.Continuation sheet(s) SF-LLL-A attached:Yes No 16.Information requested through this form authorized by Title 31 U.S.C. Section 1352. This disclosure of lobbying activities is a material representation of fact upon which reliance was placed by the tier above when this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported to the Congress semiannually and will be available for public inspection. An person who fails to file the required disclosure shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Signature: Print Name: Title: Telephone No: Date: County of Orange OC Community Resources Page 3 of 3 City of San Juan Capistrano Contract No. 21-23-0019-PFI Reporting Entity: Page of BILLING CODES 3410-01 -C; 6450-01-C; 6890-01 ;6025-01-C; 7510-01-C , 35 1 0-FE-C; 8120-01 -C; 4710-24-C, 6116-01 -C, EXHIBIT 4 DISCLOSURE OF LOBBYING ACTIVITIES CONTINUATION SHEET Approved by OMS - 0348-0046 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: EXHIBIT 5 Page 1 of 1 (1)No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2)If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form LLL, “Disclosure Form to Report Lobbying," in accordance with its instructions. (3)The undersigned shall require that the language of this certification be included in the award documents for all* subawards at all tiers (including subcontracts, subgrants and contracts under grants, loans, and cooperative agreements) and that all* subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10, 000 and not more than $100,000 for each such failure. Grantee/Contractor Organization Name Title Authorized Signature *Note: In these instances, "All," in the Final Rule is expected to be clarified to show that it applies to covered contract/grant transactions over $100,000 (per OMB). City of San Juan Capistrano Contract No. 21-23-0019-PFII 61147.02100\34514883.2 -127- 01 00 00 – GENERAL REQUIREMENTS 01 00 00 – GENERAL REQUIREMENTS PART 1 -- GENERAL 1.1 DESCRIPTION To be added 1.2 RELATED REQUIREMENTS SPECIFIED ELSEWHERE PART 2 -- PRODUCTS (NOT USED) PART 3 -- EXECUTION 3.1 LAYOUT OF WORK AND QUANTITY SURVEYS General. The Contractor shall utilize a properly licensed surveyor to perform all layout surveys required for the control and completion of the Work, and all necessary surveys to compute quantities of Work performed. City and/or the Engineer of Record has established primary control to be used by the Contractor for establishing lines and grades required for the Work. Primary control consists of benchmarks and horizontal control points in the vicinity of the Work. A listing and identification of the primary control is provided on the Drawings. Before beginning any layout work or construction activity, the Contractor shall check and verify primary control, and shall advise the City Representative of any discrepancies. Quantity surveys. The Contractor shall perform such surveys and computations as are necessary to determine quantities of Work performed or placed during each progress payment period, and shall perform all surveys necessary for the City Representative to determine final quantities of Work in place. The City Representative will determine final quantities based upon the survey data provided by the Contractor, and the design lines and grades. If requested by the City Representative, the Contractor shall provide an electronic copy of data used for quantity computations. All surveys performed for measurement of final quantities of Work and material shall be subject to approval of City’s Representative. Unless waived by City’s Representative in each specific case, quantity surveys made by the Contractor shall be made in the presence of City’s Representative. Surveying 1. Accuracy. Degree of accuracy shall be an order high enough to satisfy tolerances specified for the Work and the following: 61147.02100\34514883.2 -128- 01 00 00 – GENERAL REQUIREMENTS (a) Right-of-way and alignment of tangents and curves shall be within 0.1 foot. (b) Structure points shall be set within 0.01 foot, except where operational function of the special features or installation of metalwork and equipment require closer tolerances. When formwork has been placed and is ready for concrete, the Contractor shall check the formwork for conformance with the drawings and to ensure that the forms are sufficiently within the tolerance limits for the completed work. (c) Cross-section points shall be located within 0.1 foot, horizontally and vertically. (d) Aerial Mapping shall meet National Mapping Standards for 2-foot contour intervals. Records. Survey data shall be recorded in accordance with recognized professional surveying standards. Original field notes, computations, and other surveying data shall be recorded on electronic data collectors or in standard field books and must be of sufficient quality to enable the Contractor to prepare accurate record drawings as required by the Contract Documents. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required for surveys for the layout of work and quantity surveys shall be included in the Schedule of Pay Items for items of work requiring the surveys. No additional compensation shall be made to the Contractor for this Work. 3.2 SCHEDULE Estimated Schedule. Within 14 Days after the issuance of the Notice to Proceed, Contractor shall prepare a Project schedule and shall submit this to the Engineer for Approval. The receipt or Approval of any schedules by the Engineer or the City shall not in any way relieve the Contractor of its obligations under the Contract Documents. The Contractor is fully responsible to determine and provide for any and all staffing and resources at levels which allow for good quality and timely completion of the Project. Contractor’s failure to incorporate all elements of Work required for the performance of the Contract or any inaccuracy in the schedule shall not excuse the Contractor from performing all Work required for a completed Project within the specified Contract time period. If the required schedule is not received by the time the first payment under the Contract is due, Contractor shall not be paid until the schedule is received, reviewed and accepted by the Engineer. Schedule Contents. The schedule shall indicate the beginning and completion dates of all phases of construction; critical path for all critical, sequential time related activities; and “float time” for all “slack” or “gaps” in the non-critical activities. The schedule shall clearly identify all staffing and other resources which in the Contractor’s judgment are needed to complete the Project within the time specified for completion. The overall Project Schedule duration shall be within the Contract time. Schedule Updates. Contractor shall continuously update its construction schedule. Contractor shall submit an updated and accurate construction schedule to the Engineer monthly when requested to do so by Engineer. Contractor shall also submit schedules showing a three week detailed look-ahead at bi-weekly meetings conducted 61147.02100\34514883.2 -129- 01 00 00 – GENERAL REQUIREMENTS with the City. The Engineer may withhold progress payments or other amounts due under the Contract Documents if Contractor fails to submit an updated and accurate construction schedule. 3.3 TEMPORARY FIELD OFFICE Inspector’s Field Office. N/A Utility Services. Contractor, at its expense, shall arrange for, develop and maintain all utilities, including but not limited to water, electric power, sewage disposal and telephone communications, at the Site to meet the requirements of the Work. Sanitation. The Contractor shall provide sanitary facilities for all persons working on the project. These facilities shall be kept clean and shall not be unsightly or produce odors. 3.4 PROTECTION OF WORK AND PROPERTY All traffic detector loops, fences, walls, culverts, property line monuments, or other obstructions (except property line monuments within five (5) feet of the centerline of the mains) which are removed, damaged, or destroyed in the course of the Work, shall be replaced or repaired to the original condition. If Contractor provides the City with reasonable notice of the need for such repair or replacement, it shall be performed by the City. If the Contractor fails to provide the City with reasonable notice, the repair or replacement shall be performed by and at the expense of the Contractor to the satisfaction of the City, whether or not those obstructions have been shown on the Plans, unless otherwise stated herein. It is then the Contractor’s responsibility to employ at its expense a Licensed Land Surveyor to restore all property line monuments located more than five (5) feet from the centerline of the mains, which are destroyed or obliterated. Property line monuments located within five (5) feet of the centerline of the mains will be replaced by the City at no expense to the Contractor, provided the City is notified at least 48 hours before the property line monuments are damaged. Contractor shall provide such heat, covering, and enclosures as are necessary to protect all Work, materials, equipment, appliances, and tools against damage by weather conditions. Contractor shall take adequate precautions to protect existing sidewalks, curbs, pavements, utilities, and other adjoining property and structures, and to avoid damage thereto, and Contractor shall repair any damage thereto caused by the Work operations. Contractor shall: 1. Enclose the working area with a substantial barricade, and arrange work to cause minimum amount of inconvenience and danger to the public. 2. Provide substantial barricades around any shrubs or trees indicated to be preserved. 3. Deliver materials to the Project site over a route designated by the Engineer. 61147.02100\34514883.2 -130- 01 00 00 – GENERAL REQUIREMENTS 4. Provide any and all dust control required and follow the Applicable air quality regulations as appropriate. If the Contractor does not comply, the City shall have the immediate authority to provide dust control and deduct the cost from payments to the Contractor. 5. Confine Contractor’s apparatus, the storage of materials, and the operations of its workers to limits required by law, ordinances, permits, or directions of the Engineer. Contractor shall not unreasonably encumber the Project site with its materials. 6. Take care to prevent disturbing or covering any survey markers, monuments, or other devices marking property boundaries or corners. If such markers are disturbed by accident, they shall be replaced by a civil engineer or land surveyor acceptable to the City, at no cost to the City. 7. Ensure that existing facilities, fences and other structures are all adequately protected and that, upon completion of all Work, all facilities that may have been damaged are restored to a condition acceptable to the City. 8. Preserve and protect from injury all buildings, pole lines and all direction, warning and mileage signs that have been placed within the right-of-way. 9. At the completion of work each day, leave the Project site in a clean, safe condition. 10. Comply with any stage construction and traffic control plans. Access to residences and businesses shall be maintained at all times, unless otherwise permitted in writing by the City. These precautionary measures will apply continuously and not be limited to normal working hours. Full compensation for the Work involved in the preservation of life, safety and property as above specified shall be considered as included in the prices paid for the various contract items of Work, and no additional allowance will be made therefore. Should damage to persons or property occur as a result of the Work, Contractor shall be responsible for proper investigation, documentation, including video or photography, to adequately memorialize and make a record of what transpired. The City shall be entitled to inspect and copy any such documentation, video, or photographs. 3.5 SITE CONDITIONS SURVEYS Work Included. Contractor shall conduct thorough pre-construction and post-construction site condition surveys of the entire project area. Site Conditions surveys shall include written documentation of the conditions found, as well as photographs and video recordings of the area within at least 80 feet of any construction area and staging area. The written notes, photographs, and video shall be suitable for forensic purposes to resolve any damage claims that may arise as a result of construction. 61147.02100\34514883.2 -131- 01 00 00 – GENERAL REQUIREMENTS Submittals. 1. Written documentation of site condition survey at pre-construction and post- construction. 2. Photographs as described herein of pre-construction and post-construction conditions. 3. Video recordings as described herein of pre-construction and post-construction conditions. 4. Submittals shall be made within three days of the surveys. All post-construction data shall be submitted prior to the final project inspection. Site Condition Written Documentation. Written documentation shall include the time, date, and conditions under which the site survey was made. The documentation shall note the condition of structures, pavement, sidewalks, utilities, fences, and etc. within the work areas. Photographs. 1. General – Contractor shall take enough photographs during each site survey to provide a record of conditions existing prior to construction and conditions after construction. Pre-construction photographs shall be taken prior to any construction or mobilization of equipment, but not more than one week prior to actual start of work. The pre-construction photographs may be staged at different times to match the progression of the Work. 2. The photographs shall document existing damage to public and private facilities, both prior to and after construction. Conditions to be documented include, but are not limited to: sidewalk cracks, broken curbs, separated property walls, improvements within public right-of-ways, access roads used, utility covers and markings, signs, pavement striping, pavement, unique or unusual conditions, adjacent driveways, landscaping, survey markers, and any feature directed by the Engineer. Private property that is adjacent to the public right-of-way shall be documented to the extent visible from the public right-of-way. 3. Photographs shall include items to indicate scale, as needed. In particular, scales or other items shall be laid next to close ups of structural cracks and other damaged areas being recorded. Scaling shall also be used to document elevation differences, as needed. 4. One set of color prints shall be submitted. Additional sets shall be available for reviewing in settling any construction disputes. A set of photos shall also be furnished in electronic format. The resolution shall be at least equal to 7 mega- pixels. All photos shall be documented as to time and date taken, photographer, project number, location, and orientation. Documentation shall include a brief description of objects photographed. Video Recording. 61147.02100\34514883.2 -132- 01 00 00 – GENERAL REQUIREMENTS 1. Video recordings shall document the conditions of the entire area affected by construction, as well as nearby structures and facilities. The general documentation requirements for videos are the same as for photographs. Video recorders shall accurately and continuously record the time and date. 2. Video recordings shall include an audio portion made simultaneously during the videoing. The audio recording shall describe the location, time, orientation, and objects being recorded. Special commentary shall be provided for unusual conditions or damage noted. 3. Video equipment shall be capable of producing high resolution images and shall have zoom capabilities. 4. Video recordings shall provide an overall picture of the sites and shall provide detailed images of damaged areas. Video shall extend to the maximum height of structures. 5. The Engineer shall have the right to reject any audio video recordings submitted with unintelligible audio, uncontrolled pan or zoom, or of poor quality. Video recordings shall be repeated when rejected. 6. Video recordings shall be submitted with labels indicating the project, date, recorder, and other pertinent information. Recordings shall be submitted on standard DVDs in a standard format. Timing. Contractor shall provide written notice of the time scheduled for the site conditions survey and the place it is to begin. Contractor shall obtain the Engineer’s concurrence prior to beginning the condition survey. The Engineer reserves the right to cancel the survey due to weather conditions or other problems. Videoing shall be done during times of good visibility and no videoing or photography shall be done during periods of visible precipitation or when standing water obscures pavement. Contractor shall provide the Engineer with an opportunity to have a representative present when taking the photos and provide guidance during photographing. Site Surveyor. The site condition surveyor(s) shall be experienced in construction and potential damage concerns. The site condition surveyor(s) shall be familiar with the photography and video equipment being used. Field Quality Control. Prior to submitting videos and photographs, the Contractor shall spot check the photos and videos in the field to insure they accurately reflect the actual conditions and to insure they are correctly labeled. Soils Compaction Testing. 61147.02100\34514883.2 -133- 01 00 00 – GENERAL REQUIREMENTS 1. All soils compaction testing will be done by a licensed geotechnical engineer furnished by the City. Soils compaction testing will be done for all footings and foundations prior to placement of rebar or concrete. 2. For pipeline construction, soil compaction testing will be done at 100-foot intervals at the bottom of the trench prior to placement of pipe bedding; at the top of the pipe bedding above the pipe; every two vertical feet of trench backfill; at the top of the trench backfill, which should be the bottom of the pavement section; and at the top of the aggregate base prior to pavement construction. 3.6 SUBMITTAL REQUIREMENTS FOR MANUALS AND RECORD DRAWINGS General. The Contractor shall furnish all materials and perform all Work required for furnishing submittals to City in accordance with Contract Documents. Technical Manuals. 1. The Contractor shall submit technical operation and maintenance information for each item of mechanical, electrical and instrumentation equipment in an organized manner in the Technical Manual. It shall be written so that it can be used and understood by City’s operation and maintenance staff. 2. The Technical Manual shall be subdivided first by specification section number; second, by equipment item; and last, by "Category." "Categories" shall conform to the following (as applicable): (a) Category 1 - Equipment Summary: (1) Summary: A summary table shall indicate the equipment name, equipment number, and process area in which the equipment is installed. (b) Category 2 - Operational Procedures: (1) Procedures: Manufacturer-recommended procedures on the following shall be included in Part 2: a. Installation b. Adjustment c. Startup d. Location of controls, special tools, equipment required, or related instrumentation needed for operation e. Operation procedures f. Load changes g. Calibration h. Shutdown 61147.02100\34514883.2 -134- 01 00 00 – GENERAL REQUIREMENTS i. Troubleshooting j. Disassembly k. Reassembly l. Realignment m. Testing to determine performance efficiency n. Tabulation of proper settings for all pressure relief valves, low and high pressure switches, and other protection devices o. List of all electrical relay settings including alarm and contact settings (c) Category 3 - Preventive Maintenance Procedures: (1) Procedures: Preventive maintenance procedures shall include all manufacturer-recommended procedures to be performed on a periodic basis, both by removing and replacing the equipment or component, and by leaving the equipment in place. (2) Schedules: Recommended frequency of preventive maintenance procedures shall be included. Lubrication schedules, including lubricant SAE grade, type, and temperature ranges, shall be covered. (d) Category 4 - Parts List: (1) Parts List: A complete parts list shall be furnished, including a generic description and manufacturer's identification number for each part. Addresses and telephone numbers of the nearest supplier and parts warehouse shall be included. (2) Drawings: Cross-sectional or exploded view drawings shall accompany the parts list. (e) Category 5 - Wiring Diagrams: (1) Diagrams: Part 5 shall include complete internal and connection wiring diagrams for electrical equipment items. (f) Category 6 - Shop Drawings: (1) Drawings: This part shall include approved shop or fabrication drawings, complete with dimensions. (g) Category 7 - Safety: (1) Procedures: This part describes the safety precautions to be taken when operating and maintaining the equipment or working near it. (h) Category 8 - Documentation: 61147.02100\34514883.2 -135- 01 00 00 – GENERAL REQUIREMENTS (1) All equipment warranties, affidavits, and certifications required by the Technical Specifications shall be placed in this part. 3. The Contractor shall furnish to City six (6) identical Technical Manuals. Each set shall consist of one or more volumes, each of which shall be bound in a standard binder. Spare Parts List - The Contractor shall furnish to City six (6) identical sets of spare parts information for all mechanical, electrical, and instrumentation equipment. The spare parts list shall include the current list price of each spare part. The spare parts list shall include those spare parts which each manufacturer recommends be maintained by City in inventory. Each manufacturer or supplier shall indicate the name, address, and telephone number of its nearest outlet of spare parts to assist City in ordering. The Contractor shall cross-reference all spare parts lists to the equipment numbers designated in the Contract Documents. The spare parts lists shall be bound in standard size, 3-ring binder. Record Drawings 1. The Contractor shall maintain one record set of Drawings at the Site. On these, it shall mark all Project conditions, locations, configurations, and any other changes or deviations which may vary from the information represented in the original Contract Documents, including buried or concealed construction and utility features which are revealed during the course of construction. Special attention shall be given to recording the horizontal and vertical location of all buried utilities that differ from the locations indicated, or which were not indicated on the Contract Drawings. Said record drawings shall be supplemented by any detailed sketches as necessary or directed to fully indicate the Work as actually constructed. These master record drawings of the as-built conditions, including all revisions made necessary by Addenda and Change Orders shall be maintained up-to-date during the progress of the Project. Red ink shall be used for alterations and notes. Notes shall identify relevant Change Orders by number and date. 2. For all Projects involving the installation of any pipeline, Contractor shall survey and record the top of the pipe at a minimum of every 100 linear feet, and at each bend, recording both the horizontal and vertical locations. 3. Record drawings shall be accessible to City’s Representative at all times during the construction period. Failure on the Contractor’s part to keep record drawings current could result in withholding partial payment. 4. Upon Completion of the Project and as a condition of final acceptance, the Contractor shall finalize and deliver a complete set of Record Drawings to City’s Representative. The information submitted by the Contractor will be assumed to be correct, and the Contractor shall be responsible for, and liable to City, for the accuracy of such information, and for any errors or omissions which may or may not appear on the Record Drawings. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to complete the Manuals and Record Drawings shall 61147.02100\34514883.2 -136- 01 00 00 – GENERAL REQUIREMENTS be included in Contractor’s bid and distributed in the Schedule of Pay. No additional compensation shall be made to the Contractor for this Work. 3.7 MATERIALS Materials to be Furnished by the Contractor 1. Inspection of Materials. Materials furnished by the Contractor which will become a part of the Project shall be subject to inspection at any one or more of the following locations, as determined by City’s Representative: at the place of production or manufacture, at the shipping point, or at the site of the Work. To allow sufficient time to provide for inspection, the Contractor shall submit to City’s Representative, at the time of issuance, copies of purchase orders or other written instrument confirming procurement of the materials, including drawings and other pertinent information, covering materials on which inspection will be made. 2. No later than fourteen (14) Days prior to manufacture of material, Contractor shall inform City’s Representative, in writing, the date the material is to be manufactured. 3. Contractors Obligations. The inspection of materials at any of the locations specified above or the waiving of the inspection thereof shall not impact whether the materials and equipment conform to the Contract Documents. Contractor will not be relieved from furnishing materials meeting the requirements of the Contract Documents due to City’s inspection or lack of inspection of the equipment or materials. Acceptance of any materials will be made only after materials are installed in the Project. 4. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to accommodate City’s testing efforts, including any travel required by Contractor’s forces, shall be included in Contractor’s bid and distributed in the Schedule of Pay Items related to the materials requiring testing. No additional compensation shall be made to the Contractor for this Work. 3.8 LOCAL CONDITIONS AND REQUIREMENTS Access to Work and Haul Routes 1. General. All work on the rights-of-way necessary for access to the Site shall be performed by the Contractor. 2. Access, Damage, Restoration. The Contractor shall make his own investigation of the condition of available public or private roads and of clearances, restrictions, bridge-load limits, permit or bond requirements, and other limitations that affect or may affect transportation and ingress or egress at the Site. Claims for changes in Contract Price or Contract Times arising out of the unavailability of transportation facilities or limitations thereon shall not be considered by City. 3. The Contractor shall maintain and repair any damage arising out of Contractor’s operations to all roads used during construction of the Project, and upon 61147.02100\34514883.2 -137- 01 00 00 – GENERAL REQUIREMENTS completion of all Work, but prior to final acceptance, the roads shall be restored to their original condition. Prior to using any road for access to the Site, the Contractor shall conduct a photograph and/or video survey of the roadway with a copy submitted to City’s Representative. 4. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to complete this Work, shall be included in Contractor’s bid and distributed in the Schedule of Pay Items. No additional compensation shall be made to the Contractor for this Work. Power. Contractor shall provide at its own expense all necessary power required for operations under the contract. The Contractor shall provide and maintain in good order such modern equipment and installations as shall be adequate in the opinion of the Engineer to perform in a safe and satisfactory manner the Work required by the contract. Construction Water. 1. Construction water shall not be used for purposes other than those required to satisfactorily complete the contract. 2. All connections to the City's water system used for the purposes of obtaining construction water shall utilize a temporary construction meter and backflow prevention device supplied by the City. The City-furnished backflow prevention device shall be tested immediately after installation and the construction meter and backflow prevention device shall not be placed into service until the backflow prevention device passes such tests. Backflow prevention device testing shall be performed in accordance with applicable standards, and test results shall be provided to the Engineer. If the temporary construction meter and backflow prevention device are moved to alternate location(s) during construction, the backflow prevention device shall again be tested as described above immediately after re-installation. 3. For each temporary construction meter requested by the Contractor for the performance of work under this contract, an amount equivalent to the deposit requirement for temporary construction meters listed in the current approved version of the City’s Policies and Procedures Manual shall be withheld from the final contract payment until the temporary construction meters are returned. Operation of Existing Water Facilities 1. The Contractor shall not operate any of the existing water systems, including pumps, motors, and hydrants, but shall contact the City two (2) working days in advance with a list and location of the water system facilities that will require operating, opening, stopping, or closure by the City. 2. At the option of the Engineer, the Contractor may be permitted to operate valves for the purpose of making connections to existing mains. The City will perform all notification to existing customers regarding temporary loss of service. 61147.02100\34514883.2 -138- 01 00 00 – GENERAL REQUIREMENTS 3. Contractor shall submit a request on City’s standard form for any shut-down of existing water facilities. 4. [**INSERT CONTRACTOR’S NOTICE (DOOR HANGERS) REQUIREMENTS, IF ANY**]. Construction at Existing Utilities 1. General. Where the Work to be performed crosses or otherwise interferes with water, sewer, gas, or oil pipelines; buried cable; or other public or private utilities, the Contractor shall perform construction in such a manner so that no damage will result to either public or private utilities. It shall be the responsibility of the Contractor to determine the actual locations of, and make accommodates to maintain, all utilities. 2. Permission, Notice and Liability. Before any utility is taken out of service, permission shall be obtained by the Contractor from the owner. The owner, any impacted resident or business owner and the City Representative will be advised of the nature and duration of the utility outage as well as the Contractor’s plan for providing temporary utilities if required by the owner. The Contractor shall be liable for all damage which may result from its failure to maintain utilities during the progress of the Work, and the Contractor shall indemnify City as required by the Contract Documents from all claims arising out of or connected with damage to utilities encountered during construction; damages resulting from disruption of service; and injury to persons or damage to property resulting from the negligent, accidental, or intentional breaching of utilities. 3. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to complete this Work, shall be included in Contractor’s bid and distributed in the Schedule of Pay Items. No additional compensation shall be made to the Contractor for this Work. Traffic Control 1. General. Contractor shall abide by traffic control plans approved by the appropriate jurisdiction. 2. Protections. Roads subject to interference by the Work shall be kept open or suitable temporary passages through the Work shall be provided and maintained by the Contractor. The Contractor shall provide, erect, and maintain all necessary barricades, suitable and sufficient flasher lights, flag persons, danger signals, and signs, and shall take all necessary precautions for the protection of the Work and the safety of the public. No construction work along public or private roads may proceed until the Contractor has proper barricades, flasher lights, flag persons, signals, and signs in place at the construction site. 3. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to complete this Work, shall be included in Contractor’s bid and distributed in the Schedule of Pay Items. No additional compensation shall be made to the Contractor for this Work. 61147.02100\34514883.2 -139- 01 00 00 – GENERAL REQUIREMENTS Cleaning Up 1. Contractor at all times shall keep premises free from debris such as waste, rubbish, and excess materials and equipment. Contractor shall not store debris under, in, or about the premises. Contractor shall also clean all asphalt and concrete areas to the degree necessary to remove oil, grease, fuel, or other stains caused by Contractor operations or equipment. The use of water, resulting in mud on streets, will not be permitted as substitute for sweeping or other methods. Dust control may require having a water truck onsite for the duration of the project, and/or use of temporary hoses and pipelines to convey water. 2. Contractor shall fully clean up the site at the completion of the Work. If the Contractor fails to immediately clean up at the completion of the Work, the City may do so and the cost of such clean up shall be charged back to the Contractor. 3.9 ENVIRONMENTAL QUALITY PROTECTION Environmental Conditions 1. Contractor must comply with all applicable environmental laws, Project conditions, and constraints, including, but not limited to: 2. City has considered these Environmental Conditions when determining the Contract Times and no additional time or compensation will be added to the Contract due to these Conditions. Landscape and Vegetation Preservation 1. General. The Contractor shall exercise care to preserve the natural landscape and vegetation, and shall conduct operations so as to prevent unnecessary destruction, scarring, or defacing of the natural surroundings in the vicinity of the Work. 2. Damage and Restoration. Movement of crews and equipment within the rights-of- way and over routes provided for access to the Work shall be performed in a manner to prevent damage to property. When no longer required, construction roads shall be restored to original contours. 3. Upon completion of the Work, and following removal of construction facilities and required cleanup, land used for construction purposes and not required for the completed installation shall be scarified and regraded, as required, so that all surfaces are left in a condition that will facilitate natural revegetation, provide for proper drainage, and prevent erosion. 4. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to complete this Work, shall be included in Contractor’s bid and distributed in the Schedule of Pay Items. No additional compensation shall be made to the Contractor for this Work. Protected Species 61147.02100\34514883.2 -140- 01 00 00 – GENERAL REQUIREMENTS 1. General. If, in the performance of the Work, evidence of the possible occurrence of any Federally listed threatened or endangered plant or animal is discovered, the Contractor shall notify the City Representative immediately, giving the location and nature of the findings. Written confirmation of the evidence, location and nature of the findings shall be forwarded to City within 2 Days. 2. Procedures. The Contractor shall immediately cease all construction activities in the immediate area of the discovery to the extent necessary to protect the endangered plant or animal. If directed by the City Representative, Contractor will refrain from working in the immediate area, suspend the Work in its entirety, or alter its performance to ensure full compliance with all applicable permits, laws and regulations. Any City directed changes to the Work as a result of a siting will be pursuant to the Contract Documents. 3. False Siting. Any costs or delays incurred by City or the Contractor due to unreasonable or false notification of an endangered plant or animal will be borne by the Contractor. 4. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to comply with this paragraph, shall be included in Contractor’s bid and distributed in the Schedule of Pay Items. No additional compensation shall be made to the Contractor for this Work. Preservation of Historical and Archeological Resources 1. General. If, in the performance of the Work, Contractor should unearth cultural resources (for example, human remains, animal bones, stone tools, artifacts and/or midden deposits) through excavation, grading, watering or other means, the Contractor notify the Construction/Archeological Monitor and/or the City Representative immediately, giving the location and nature of the findings. Written confirmation of the evidence, location and nature of the findings shall be forwarded to the Construction/Archeological Monitor and/or City within 2 Days. 2. Procedures. The Contractor shall immediately cease all construction activities in the immediate area of the discovery to the extent necessary to protect the cultural resource. If directed by the City Representative, Contractor will refrain from working in the immediate area, suspend the Work in its entirety, or re-sequence and/or alter its performance to ensure full compliance with all applicable permits, laws and regulations. Should the presence of cultural resources be confirmed, the Contractor will assist the City Representative and the Construction/Archeological Monitor in the preparation and implementation of a data recovery plan. The Contractor shall provide such cooperation and assistance as may be necessary to preserve the cultural resources for removal or other disposition. Any City directed changes to the Work as a result of the cultural resource will be pursuant to the Contract Documents. 61147.02100\34514883.2 -141- 01 00 00 – GENERAL REQUIREMENTS 3. Contractor’s Liability. Should Contractor, without permission, injure, destroy, excavate, appropriate, or remove any cultural resource on or adjacent to the Site, it will be subject to disciplinary action, arrest and penalty under applicable law. The Contractor shall be principally responsible for all costs of mitigation and/or restoration of cultural resources related to the unauthorized actions identified above. Contractor shall be required to pay for unauthorized damage and mitigation costs to cultural resources (historical and archeological resources) as a result of unauthorized activities that damage cultural resources and shall indemnify City pursuant to the Contract Documents. 4. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to comply with this paragraph, shall be included in Contractor’s bid and distributed in the Schedule of Pay Items. No additional compensation shall be made to the Contractor for this Work. Dust and Pollution Control 1. Contractor shall provide all necessary material, equipment and labor to prevent and control the emission of dust and any other potential pollutant on site. 2. Contractor shall not discharge into the atmosphere from any source smoke, dust or other air contaminants in violation of the law, rules, and regulations of the governing agency. 3. Cost. Unless otherwise called for by the Contract Documents, the cost of all material, equipment, and labor required to comply with this paragraph, shall be included in Contractor’s bid and distributed in the Schedule of Pay Items. No additional compensation shall be made to the Contractor for this Work. Fugitive Dust 1. In addition to all other environmental and air quality requirements of the Contract Documents, Contractor must also comply with the most recent version of any rules implemented by the Air Quality Management City (AQMD) with jurisdiction over the Project in order to reduce the amount of particulate matter entrained in the ambient air as a result of the Project. All equipment shall be AQMD compliant and permitted, as needed. 2. City has considered these other requirements when determining the Contract Times and no additional time or compensation will be added to the Contract due to these requirements. Management of Storm, Surface and Other Waters 1. Storm water, surface water, groundwater, and nuisance, or other waters may be encountered at various times during construction of the Project. Federal and State laws require the City and its contractors to manage such waters pursuant to the requirements of California State Water Resources Control Board Order Number 2009-0009-DWQ, the Federal Clean Water Act, and the California Porter Cologne Water Quality Control Act. Contractor acknowledges that it has investigated the 61147.02100\34514883.2 -142- 01 00 00 – GENERAL REQUIREMENTS risk arising from such waters in conjunction with the Project, and assumes any and all risks and liabilities arising therefrom. 2. The Contractor shall perform all construction operations in such a manner as to comply, and ensure all subcontractors to comply, with all applicable Federal, State, and local laws, orders, and regulations concerning the control and abatement of water pollution; and all terms and conditions of any applicable permits issued for the Project. In the event there is a conflict between Federal, State, and local laws, regulations, and requirements, the most stringent shall apply. 3. Contractor violations. If noncompliance should occur, the Contractor shall report this to the City Representative immediately, with the specific information submitted in writing within 2 Days. Consistent violations of applicable Federal, State, or local laws, orders, regulations, or Water Quality Standards may result in City stopping all site activity until compliance is ensured. The Contractor shall not be entitled to any change in Contract Price or Contract Times, claim for damage, or additional compensation by reason of such a work stoppage. Corrective measures required to bring activities into compliance shall be at the Contractor's expense. 4. Compliance with Construction General Storm water Permit. Contractor shall be required to comply with all aspects of the State Water Resources Control Board (State Board) Water Quality Order No. 2009-0009-DWQ, National Pollutant Discharge Elimination System General Permit for Storm Water Discharges Associated with Construction Activity (Permit) for all projects that involve construction on or disturbance of one acre or more of land or which are part of a larger common area of development. (a) Contractor shall prepare and implement a Storm Water Pollution Prevention Plan (SWPPP) for the Project site based on the appropriate Risk Level requirements, and draft and coordinate submittal of all Permit related documents with City’s Legally Responsible Person and/or Authorized Signatory as those terms are defined in the Permit. The Contractor shall submit the SWPPP to the City Representative for review not less than fifteen (15) Days prior to the start of on- site construction work. City will file the Notice of Intent and pay the filing fee. (b) The SWPPP shall be developed by a Qualified SWPPP Developer and implemented by a Qualified SWPPP Practitioner as those terms are defined in the Permit and shall include industry standard requirements for water quality control including but not be limited to the following: (1) Sediment and erosion control measures to manage sediment and erosion including vegetative practices, structural control, silt fences, straw dikes, sediment controls or operator controls as appropriate. Storm water management measures shall be instituted as required, including velocity dissipaters, and solid waste controls shall address controls for building materials and offsite tracking of sediment. (2) Wastewater and storm water management controls to divert offsite surface flows around the Project site and to divert surface flows within the Project area away from areas of open earth or stockpiles of building and 61147.02100\34514883.2 -143- 01 00 00 – GENERAL REQUIREMENTS other materials. Wastewater from general construction activities, such as drain water collection, aggregate processing, concrete batching, drilling, grouting, or other construction operations, shall not enter flowing or dry watercourses without having met the authorized non-storm water discharge requirements listed in State Board Water Quality Order No. 2009-0009-DWQ, Section III.C., including proper notification to the Regional Water Board. (3) Pollution prevention measures including methods of dewatering, unwatering, excavating, or stockpiling earth and rock materials which include prevention measures to control silting and erosion, and which will intercept and settle any runoff of sediment-laden waters. (4) Turbidity prevention measures for prevention of excess turbidity including, but are not restricted to, intercepting ditches, settling ponds, gravel filter entrapment dikes, flocculating processes, recirculation, combinations thereof, or other approved methods that are not harmful to aquatic life. All such wastewaters discharged into surface waters, shall contain the least concentration of settleable material possible, and shall meet all conditions of section 402, the National Pollutant Discharge Elimination System (NPDES) permit. (5) Overall construction site management measures to address changes at the Project site as the Project moves through different phases and changes that account for rainy and dry season management practices. (6) Pollution control measures and construction activity methods that will prevent entrance, or accidental spillage, of solid matter, contaminants, debris, or other pollutants or wastes, into streams, flowing or dry watercourses, lakes, wetlands, reservoirs, or underground water sources. Such pollutants and wastes include, but are not restricted to: refuse, garbage, cement, sanitary waste, industrial waste, hazardous materials, radioactive substances, oil and other petroleum products, aggregate processing, tailings, mineral salts, and thermal pollution. (7) Control measures for stockpiled or deposited materials prohibiting the stockpile or deposit of excavated materials, or other construction materials, near or on stream banks, lake shorelines, or other watercourse perimeters where they can be washed away by high water or storm runoff, or can, in any way, encroach upon the watercourse. (8) Develop and implement a Rain Event Action Plan (REAP), if required, that must be designed and implemented to protect all exposed portions of the site 48 hours prior to any likely precipitation event. (9) Monitoring, reporting and record keeping, as necessary to achieve compliance with applicable Permit requirements, including but not limited to annual reports and rain event reports. (c) Before any Permit related documents, including the SWPPP, rain event reports, or annual reports may be submitted to the State Board or implemented on the Project site, they must first be reviewed and approved by City. 61147.02100\34514883.2 -144- 01 00 00 – GENERAL REQUIREMENTS (d) City retains the right to procure and maintain coverage under the Permit for the Project site if the Contractor fails to draft a SWPPP or other Permit related document, or fails to proceed in a manner that is satisfactory to City. City reserves the right to implement its own SWPPP at the Project site, and hire additional contractors to maintain compliance. Whether Contractor has adequately maintained compliance with the Permit shall be City’s sole determination. In the event that Contractor has failed or is unable to maintain compliance with the Permit, any costs or fines incurred by City in implementing a SWPPP, or otherwise maintaining compliance with the Construction General Permit shall be paid by the Contractor. (e) Failure to implement the SWPPP or otherwise comply with the Permit is a violation of federal and state law. Contractor hereby agrees to indemnify City as required by the Contract Documents for any noncompliance or alleged noncompliance with the Permit arising out of or in connection with the Project, except for liability resulting from the sole established negligence, willful misconduct or active negligence of City. City may seek damages from Contractor for delay in completing the Contract in accordance with the Contract Documents, caused by Contractor’s failure to comply with the Permit. 5. In addition to compliance with the Permit, Contractor shall comply with the lawful requirements of any applicable municipality, district, drainage district, flood control district, and other local agencies regarding discharges of storm water, surface water, groundwater or other nuisance waters off of the Project site. 6. Oil storage tanks management. (a) Storage tank placement. All oil or other petroleum product (hereinafter referred to collectively as oil) storage tanks shall be placed at least 20 feet from streams, flowing or dry watercourses, lakes, wetlands, reservoirs, and any other water source. (b) Storage area dikes. Storage areas shall be diked at least 12 inches high or graded and sloped to permit safe containment of leaks and spills equal to the capacity of all tanks and/or containers located within each area, plus a sufficient amount of freeboard to contain the 25-year rainstorm. (c) Diked area barriers. Diked areas shall have an impermeable barrier at least 10 mils thick. Areas used for refueling operations shall have an impermeable liner at least 10 mils thick buried under 2 to 4 inches of soil. (d) Spill Prevention Control and Countermeasure Plan (SPCC). Where the location of a construction site is such that oil from an accidental spillage could reasonably be expected to enter into or upon the navigable waters of the United States or adjoining shorelines, and the aggregate storage of oil at the site is over 1,320 gallons or a single container has a capacity in excess of 660 gallons, the Contractor shall prepare an SPCC Plan. The Contractor shall submit the SPCC Plan to the Engineer at least 30 days prior to delivery or storage of oil at the site. The Plan must have been reviewed and certified by a registered professional engineer in accordance with 40 C.F.R., part 112 61147.02100\34514883.2 -145- 01 00 00 – GENERAL REQUIREMENTS 7. Underground tank prohibition. The Contractor shall not use underground storage tanks. 8. Construction safety standards. The Contractor shall comply with the sanitation and potable water requirements of Section 7 of United States Bureau of Reclamation's publication “Reclamation Safety And Health Standards.” 9. Other Permits. (a) Other permits applicable to the Project are listed in the Special Conditions. The Contractor shall obtain all other necessary licenses and permits. (b) Monitoring. The Contractor is required to conduct monitoring in order to meet the requirements of the permits, which may include sampling, testing and inspections. (c) Recordkeeping. The Contractor shall retain all records and data required by the permits for the time specified in the contract. 10. Cost. Except as specified herein, the cost of complying with this section shall be included in the Schedule of Pay Items for work which necessitate the water pollution prevention measures required by this paragraph. END OF GENERAL REQUIREMENTS 61147.02100\34514883.2 1 EXHIBIT “A” Change Order Form EXHIBIT “A” CHANGE ORDER FORM City of San Juan Capistrano Contract Change Order # Project: Change Order No.: Orig. Contract Amt.: $ Days Contract No.: Contractor: Prev. Appvd. Changes: $ Days Owner: City of San Juan Capistrano This Change: $ Days Revised Contract Amt.: $ Days This Change Order covers changes to the subject contract as described herein. The Contractor shall construct, furnish equipment and materials, and perform all work as necessary or required to complete the Change Order items for a lump sum price agreed upon between the Contractor and City of San Juan Capistrano, otherwise referred to as Owner. Item No. Description of Changes Increase/ (Decrease) in Contract Amount Contract Time Extension, Days 1 2 Totals $ This Contract Change Order consists of 2 pages and any exhibits attached to this Contract Change Order shall not be part of the Contract Change Order unless specifically initialed by or on behalf of both the Contractor and the City of San Juan Capistrano. Contract Change Order # Page 1 of 2 32400 Paseo Adelanto San Juan Capistrano, CA 92675 61147.02100\34514883.2 2 EXHIBIT “A” Change Order Form The amount of the contract will be increased by the sum of $ and the contract time shall be extended by working days. The undersigned Contractor approves the foregoing Change Order # as to the changes, if any, in the contract price specified for each item including any and all supervision costs and other miscellaneous costs relating to the change in work, and as to the extension of time allowed, if any, for completion of the entire work on account of said Change Order #. The Contractor agrees to furnish all labor and materials and perform all other necessary work, inclusive of the directly or indirectly related to the approved time extension, required to complete the Change order items. This document will become a supplement of the contract and all provisions will apply hereto. It is understood that the Change Order shall be effective when approved by the Owner. Contractor accepts the terms and conditions stated above as full and final settlement of any and all claims arising out of or related to the subject of this Change Order and acknowledges that the compensation (time and cost) set forth herein comprises the total compensation due for the work or change defined in the Change Order, including all impact on any unchanged work. By signing this Change Order, the Contractor acknowledges and agrees that the stipulated compensation includes payment for all Work contained in the Change Order, plus all payment for any acceleration or interruption of schedules, extended overhead costs, delay, and all impact or cumulative impact on all Work under this Contract. The signing of this Change Order acknowledges full mutual accord and satisfaction for the change and that the stated time and/or cost constitute the total equitable adjustment owed the Contractor as a result of the change. The Contractor hereby releases and agrees to waive all rights, without exception or reservation of any kind whatsoever, to file any further claim or request for equitable adjustment of any type, for any reasonably foreseeable cause that shall arise out of, or as a result of, this Change Order and/or its impact on the remainder of the Work under the Contract. Accepted: (Signature) Contractor’s Authorized Representative Date Recommended: (Signature) Tom Toman, Public Works Director Date Approved: (Signature) Benjamin Siegel, City Manager Date Item No. Justification for Change(s) 1 2 This Contract Change Order consists of 2 pages and any exhibits attached to this Contract Change Order shall not be part of the Contract Change Order unless specifically initialed by or on behalf of both the Contractor and the City of San Juan Capistrano. Contract Change Order # Page 2 of 2 SP- 1 SPECIAL PROVISIONS PART II CONSTRUCTION MATERIALS SECTION 200 – ROCK MATERIALS 200-2 UNTREATED BASE MATERIALS. 200-2.1 General. [Add the following]: Materials used as untreated base or subbase shall be Crushed Aggregate Base (CMB). SECTION 201 - CONCRETE, MORTAR, AND RELATED MATERIALS 201-1 PORTLAND CEMENT CONCRETE. 201-1.1.2 Concrete Specified by Class and Alternate Class. The class of concrete shall be 520-C-2500 with a maximum slump of four (4) inches for all curbs, curb and gutter, concrete walkways and concrete ramps. 201-1.1.5 Tests. [Add the following]: 1. All material shall comply with American Concrete Institute (Act I) and Uniform Building Code. 2. Product Data: a. Submit complete materials list of items proposed for the work. Identify materials source. b. Submit admixture, curing compound, retarder, and accessory item product data. c. Submit material certificates for aggregates, reinforcing, and joint fillers. 3. Submit concrete delivery tickets. Show the following: a. Batch number b. Mix by class or sack content with maximum size aggregate c. Admixture d. Air content e. Slump f. Time of loading 4. Submit concrete test reports. SP- 2 5. Provide field quality control testing and inspection during concrete operations. 6. CONTRACTOR shall provide adequate notice, cooperate with, provide access to the work, obtain samples, and assist test agency and their representatives in execution of their function. 7. Testing: a. Provide slump test on first load of concrete delivered each day and whenever requested due to changes in consistency or appearance of concrete. b. Provide air indicator tests and air meter tests for all air-entrained concrete. 1. Perform air indicator test with a "Chase" AE 35 or equal air indicator, and air meter test in accordance with ASTM C231 or C173. Test first load of concrete delivered each day. 2. Furnish copies of field records and test reports as listed for strength tests. c. Strength Testing: 1. Provide 1 set of 3 test specimens for each 50 cubic yards placed in any one day. Secure samples in accordance with ASTM C31. 2. Test 1 specimen at 7 days and 2 specimens at 29 days in accordance with ASTM C39. 3. Furnish copies of field records and test reports as follow: (2) copies to CITY's representative (1) copy to CONTRACTOR (1) copy to Ready Mix supplier d. Record the exact location of the concrete in the work represented by each set of cylinders and show on test reports. e. Provide an insulated moist box for protection of the test cylinders until shipped to the laboratory. 201-1.2 Materials. 201-1.2.1 Portland Cement. [Replace first sentence of the first paragraph]: All cement to be used or finished shall be Type II. 201-1.4.3 Transit Mixers. [Add the following]: SP- 3 Mixes: 1. Provide ASTM C94 ready-mixed concrete. Batch mixing at site not acceptable. a. Strength: 2,500 psi minimum at 28 days b. Slump Range: 2" to 4" maximum 2. Provide an acceptable water-reducing admixture in all concrete. 3. Provide an air-entraining admixture in all concrete. Air content 5% to 7%. 4. Indicate water added to mix at job site on each delivery ticket. Show quantity of water added. Site water tempered mixes exceeding specified slump range will be rejected as not complying with specifications requirements. 201-2 REINFORCEMENT FOR CONCRETE. 201-2.2 Reinforcing Steel. [Add the following paragraph immediately after the first paragraph]: Reinforcing steel shall be Grade 60 billet steel conforming to ASTM A-615. 201-3 EXPANSION JOINT FILLER AND JOINT SEALANTS. 201-3.2 Pre-molded Joint Filler. [Add the following]: The CONTRACTOR shall use 1/4" bituminous type preformed expansion joint filler only. 201-4 CONCRETE CURING MATERIALS. 201-4.1 Membrane Curing Compounds. 201-4.1.1 General. [Add the following]: Concrete curing compound shall be Type I "Hunt’s" clear curing compound, unless otherwise specified by the City Inspector. SECTION 202 - MASONRY MATERIALS 202-2 CONCRETE BLOCK. 202-2.2 Masonry Units. [Add the following]: Contractor shall carefully remove and stockpile existing interlocking pavers for reuse to construct new sidewalk and/or hardscape areas per the improvement plans. Contractor shall contact the City to request additional paver materials from the City’s surplus stock, if required. If surplus stock is unavailable, the Contractor may secure the interlocking pavers manufactured by Olsen Pavingstone, Inc. at (949) 728-0415. All pavers shall be Antique Cobble and meet all standards of ASTM C936: SP- 4 Antique Cobble: Mix of Rectangles (8 ¼” X 5 ½”) and Squares (5 ½” X 5 ½”) in an ‘I’ Pattern, Terra Cotta Brown with Holland perimeter band of Rectangles (8 ¼” X 5 ½”) in Terra Cotta. 60 MM - pedestrian areas, 80 MM – vehicular areas 202-3 MORTAR, GROUT, AND WATER. 202-3.2 Grout. 202-3.2.1 General. [Add the following]: Grout shall be natural concrete color, and tooled to a smooth mortar line on all concrete block units. SECTION 203 - BITUMINOUS MATERIALS 203-11 ASPHALT RUBBER HOT MIX (ARHM). [Add the following subsections]: 203-11.2.1 Materials. [Add the following]: The viscosity grade of asphalt-rubber paving shall be PG 64-10, conforming to 203-1. Asphalt concrete material used for asphalt concrete (AC) pavement within the roadway shall be: Asphalt Concrete Materials for AC Pavement Full Depth AC Pavement Reconstruction (8” Deep Lift), and 1’ Wide Slot Paving III-C2-PG 64-10 (203-6.4.4) w/ ARHM- GG-C PG-64-10 (203-11.3) wearing course/cap AC Overlay (2”) ARHM-GG-C PG-64-10 (203-11.3) Tack Coat PG-64-10 The Contractor shall submit a pavement mix design to the City for review and approval a minimum of five (5) working days prior to beginning any work within the roadway. 203.11.10 Asphalt Reinforcing Fibers. FORTA-FI Area Representative: Alex Kotrotsios, PE Project Manager / Southern California Pacific Geosource 34111 Amber Lantern Dana Point, CA 92629 C: 949-610-2627 | O: 1-877-454-8096 | F: 541-391-4805 Website: PACIFICGEOSOURCE.COM A. DEFINITIONS 1. Reinforcing Fibers: High tensile strength aramid fiber blend specially formulated to reinforce hot mix asphalt. SP- 5 2. Fiber Reinforced Asphalt Concrete (FRAC): A mixture of hot or warm mix asphalt and reinforcing fibers that has greater resistance to rutting, thermal cracking, fatigue cracking, and reflective cracking as compared to conventional non-fiber asphalt mixes. 3. Fiber Reinforced Asphalt Rubber Hot Mix (FR-ARHM): A mixture of rubberized asphalt and reinforcing fibers that has greater resistance to rutting, thermal cracking, fatigue cracking, and reflective cracking as compared to non-fiber rubberized asphalt mixes. 4. Aramid Dispersion State Ratio (ADSR): A measure of the dispersion efficiency of the Reinforcing Fibers within asphalt mixes. ADSR is calculated by comparing the mass of aramid in the individual state to the total mass of extracted aramid fibers, expressed as a percentage. B. REFERENCES 1. ASTM D2172, Standard Test Methods for Quantitative Extraction of Bitumen from Bituminous Paving Mixtures 2. ASTM D6433, Standard Practice for Roads and Parking Lots Pavement Condition Index Surveys. 3. AASHTO T322, Determining the Creep Compliance and Strength of Hot-Mix Asphalt (HMA) Using the Indirect Tensile Test Device. 4. AASHTO TP79, Standard Method of Test for Determining the Dynamic Modulus and Flow Number (FN) for Asphalt Mixtures Using the Asphalt Mixture Performance Tester. 5. Zeiada, W., Underwood, S., Stempihar, J., “Extraction of Aramid Fibers from Fiber Reinforced Asphalt Concrete – Special Test Method”, Arizona State University, May 11, 2016. C. SUBMITTALS 1. Submit the following as part of the submittal package: a. Representative fiber product sample. b. Fiber product data sheet and certification from the Manufacturer that the fiber product supplied meets the requirements of this specification. c. Manufacturer’s instructions and general recommendations. d. Performance results of ADSR testing from a minimum of three separate laboratory trials to validate Dispersion Efficiency. e. Performance results of PCI testing from a minimum of three separate field trials to validate Cracking Resistance. f. Performance results of FN testing from a minimum of three separate laboratory trials to validate Rutting Resistance. **NOTE: Testing is NOT required on samples from the job mix, submit previously completed lab testing only. 2. Submit a minimum of five unique project examples and references where the reinforcing fiber product was used within 250 miles of the project location. SP- 6 D. MATERIALS AND PERFORMANCE 1. Reinforcing Fiber Properties a. Provide a reinforcing fiber blend of Virgin Polyolefins and Virgin Aramids that meets the requirements in Table 1 and Table 2 below. b. FORTA-FI®, provided by the Forta Corporation, is an acceptable product and meets the performance and material properties outlined in this section. c. If a different aramid-based fiber blend is proposed, performance test results complying with Section D.2 below must be submitted at least two weeks prior to bid date for approval by engineer. d. Non-aramid fiber blends will not be considered as acceptable alternatives to this specification. Table 1 - Reinforcing Fiber Material Properties Property Test Method Polyolefin Aramid Form Manufacturer Certification Serrated Monofilament Nominal Specific Gravity ASTM D276 0.91 1.44 Tensile Strength (psi) ASTM D7269 NA1 400,000 Length (in) Manufacturer Certification 0.75 0.75 1. Polyolefin fibers will melt or become plastically deformed during production Table 2 - Reinforcing Fiber Performance Properties Performance Measure Test Method Standard Requirement Dispersion Efficiency Aramid Dispersion State Ratio (ADSR) Modified ASTM D2172 ≥ 85% Field Performance Cracking Resistance Pavement Condition Index ASTM D6433 ≥ 10 PCI Points Increase, Minimum 4 Years Resistance to Permanent Deformation (Rutting) Flow Number (FN) AASTHO TP79 ≥ 75% increase 2. Performance Testing Requirements All historical test results submitted to validate the fiber’s performance in asphalt mixes shall be from previously completed laboratory and field trials using plant-produced SP- 7 FRAC from a documented source only. Results from lab-produced FRAC or FRAC from an undocumented source will not be accepted. Testing is NOT required on samples from the job mix. Fiber dosage rate in all submitted test reports must be equal to the rate proposed for this project. Only testing performed by an AASHTO accredited laboratory or nationally recognized university testing lab will be considered. a. Aramid Dispersion State Ratio (ADSR) Tests from a minimum of three (3) separate laboratory trials. 1. Perform ADSR test based on modified ASTM D2172 procedures as provided in the document entitled “Extraction of Aramid Fibers from Fiber Reinforced Asphalt Concrete – Special Test Method”. A copy of the modified extraction methodology can be obtained by making an inquiry to the Pavement and Materials Laboratory at Arizona State University at NCE@asu.edu. 2. To validate ADSR results, average extracted aramid fiber quantity must equal 0.007 percent by total sample weight with no individual result less than 0.005 percent of the total sample weight. 3. All tested fiber mixes must achieve a minimum ADSR of 85%. b. Pavement Condition Index (PCI) side by side comparison from a minimum of three (3) field trails with a minimum in-service pavement age of four years. 1. PCI surveys shall be performed according to ASTM D6433. 2. Tests results shall include a control and a fiber reinforced pavement section. FRAC mix shall be identical to control mix except for the inclusion of fibers added at the same dosage as proposed on the project. 3. In field performance sections shall be subject to the same environmental and traffic conditions. A minimum surface area of 500 yd2 per FRAC and control section is required. 4. PCI results from fiber sections shall show a minimum 10 PCI points greater than the control section after a minimum of 4 years. c. Flow Number (FN) Tests from a minimum of three (3) separate laboratory trials. 1. Perform FN tests using the protocol from AASHTO TP79. 2. Tests results shall include a control and a fiber reinforced mix. FRAC mix shall be identical to control mix except for the inclusion of fibers added at the same dosage as proposed on the project. 3. Results from fiber specimens shall each show an average FN increase of at least 75% over control specimens. E. DELIVERY, STORAGE, AND HANDLING 1. Deliver fiber-reinforcement in sealed, undamaged containers with labels intact and legible, indicating material name and lot number. 2. Deliver fiber-reinforcement to location where it will be added to each batch or loaded into the mixer. SP- 8 3. Store materials covered and off the ground. Keep sand and dust out of boxes and do not allow boxes to become wet. F. MIXING AND PRODUCTION 1. Add aramid and polyolefin reinforcing fiber blends at a dosage rate of one (1) pound fiber per one (1) ton of asphalt. 2. Add alternative aramid fiber blends at a rate proposed by the manufacturer that achieves the ADSR, PCI, and FN results required by Section D. 3. Have a fiber manufacturer’s representative on site during mixing and production. This requirement can be waived if fiber manufacturer and asphalt producer can supply evidence of manufacturer’s brand of fiber being successfully produced a minimum of three times at the asphalt plant to be used for the project. 4. Batch Plant. When a batch plant is used, add fiber to the aggregate in the weigh hopper and increase both dry and wet mixing times. Ensure that the fiber is uniformly distributed before the injection of asphalt cement into the mixture. 5. Drum Plant: a. Inject fibers through the RAP collar using an automatic, metered air blown system to promote rapid and complete fiber dispersion. System must automatically record fiber addition data so as to remove human error. Rate the feeding of fibers with the rate the plant is producing asphalt mix. If there is any evidence of fiber bundles at the discharge chute, increase the mixing time and/or temperature or change the angle of the fiber feeder line to increase dry mixing time. b. Manual feeding of the fibers is not allowed. c. Add fibers continuously and in a steady uniform manner. Provide automated proportioning devices and control delivery within ±10% of the mass of the fibers required. Perform an equipment calibration to the satisfaction of the fiber manufacturer’s representative to show that the fiber is being accurately metered and uniformly distributed into the mix. Include the following with the air blown system: · Low level indicators · No-flow indicators · A printout of feed rate status in pounds/minute · A section of transparent pipe in the fiber supply line for observing consistency of flow or feed. · Manufacturer’s representative’s approval of fiber addition system. G. PLACEMENT Follow manufacturer’s and engineer’s recommendations for placement of FRAC. SP- 9 H. QUALITY CONTROL 1. At the discretion of the Engineer, FRAC mix from the project site may be randomly sampled for an analysis of the dispersion state of aramid fibers using the ADSR test procedure defined in Section D.2.a. If test results show ADSR < 85%, the Engineer may require the Contractor to cease operations until a correction plan has been submitted and approved. 2. Aramid Dispersion Visual Test: Collect a 10kg sample of mix from the discharge chute during first 50 tons of production. Visually assess the state of aramid fibers in the sample according to Reference 4 (Section B of this specification) and rate the sample as “Pass” or “Fail”. i. “Pass” = All fibers exist in an Individual State and no Undistributed Clips or Agitated Bundles of fiber are detected. ii. “Fail” = One or more Undistributed Clips or Agitated Bundles are detected. 3. If a sample is rated as “Fail”, adjust mixing operations to improve fiber dispersion and repeat Step 1 above. 4. If Visual Test results in three consecutive “Fail” ratings, plant mix samples should be sent to a third-party laboratory for complete ADSR testing before production is allowed to commence. 5. In addition to Visual Test, use a shovel to inspect FRAC mix in the back of first three trucks and every tenth truck thereafter to confirm adequate blending of the fiber. 6. Remove any observed fiber bundles from placed mixture and adjust operations per the manufacturer’s recommendation to eliminate future fiber bundle development, and repeat Steps 2 through 4 above to confirm adequate aramid fiber dispersion. I. PAYMENT Payment for asphalt reinforcing fibers shall be considered as included in the various Bid Items for the placement of asphalt and no additional compensation will be allowed therefore. 203-12 ASPHALT RUBBER AND AGGREGATE MEMBRANE (ARAM). [Add the following subsections]: 203-12.4 Compaction and Placement Procedures. 203.12.4.1 Compaction. The proper rolling procedure shall be established with a control strip to determine the equipment and number of roller passes necessary to obtain an average density of not less than of 94% (with no individual test less than 91 percent) of maximum theoretical density. The Contractor shall use a nuclear density gauge to measure the required density. Traffic shall not be allowed on the new surface until the temperature of the mat has dropped below 140°F. SP- 10 203-12.4.2 Weather Limitations. The Engineer shall have the authority to suspend the work wholly or in part, for such period as he may deem necessary, due to unsuitable weather, or to such other conditions as are considered unfavorable for the suitable prosecution of the work, or for such time as he may deem necessary due to the failure on the part of the Contractor to carry out orders given, or to perform any provision of the contract. The asphalt rubber binder hot mix (ARHM) shall be placed when the temperature of the surface is at least 55°F. 203-12.4.3 Method of Measurement & Basis of Payment. The unit bid price per ton (tonne) for paving asphalt shall include the cost of furnishing all materials and all equipment and labor necessary to complete the work. SECTION 214 – TRAFFIC STRIPING, CURB AND PAVEMENT MARKINGS, AND PAVEMENT MARKERS 214-1 GENERAL. [Add the following]: Manufacturer’s warranties, guaranties, and instruction sheets for materials used in the Work shall be submitted to the City of San Juan Capistrano inspector. All Raised Pavement Markers shall conform to Section 85 of the State Standard Specifications and all related State Standard Plans. Reflective pavement markers shall conform to the following: · Type B, 2-Way Clear Reflective Markers shall be Model 290-2W as manufactured by 3M Company or approved equal. · Type C, 2-Way Red-Clear Reflective Markers shall be Model 290-WR as manufactured by 3M Company or approved equal. · Type D, 2-Way Yellow Reflective Markers shall be Model 291-2Y as manufactured by 3M Company or approved equal. · Type G, 1-Way Clear Reflective Markers shall be Model 290-W as manufactured by 3M Company or approved equal. · Type H, 1-Way Yellow Reflective Markers shall be Model 291-Y as manufactured by 3M Company or approved equal. · Blue – 2-Way Blue Reflective Markers shall be Model 295-2B as manufactured by 3M Company or approved equal. 214-2 TEST REPORTS AND CERTIFICATES OF COMPLIANCE. [Add the following]: In lieu of test reports the Contractor may provide City of San Juan Capistrano inspector with a Certificate of Compliance in accordance with 3-8.4 and 4-5. SP- 11 214-4 PAINT FOR STRIPING AND MARKINGS. 214-4.1 General. [Replace the first paragraph with the following]: All traffic striping and pavement markings shall be paint conforming to Section 84-2, “Traffic Stripes and Pavement Markings” of the State of California Standard Specifications. Paint for traffic striping and pavement markings shall conform to these specification numbers, unless separately authorized by the engineer. Description Specification Number Glass Spheres (Beads) State No. 8010-004 White Traffic Paint State No. PTWB-01R2 Pre-mixed White Traffic Paint Yellow (Lead Free) Traffic Paint State No. PTWB-01R2 Pre-mixed Yellow (Lead Free) Traffic Paint Black Traffic Paint State No. PTWB-01R2 Red Paint for Parking Lots and Curb Markings Federal No. TT-P-1952E Blue Paint for Parking Lots and Curb Markings Federal No. TT-P-1952E Green Paint for Parking Lots and Curb Markings Federal No. TT-P-1952E White Thermoplastic State No. PTH-02ALKYD White Thin-mil Spray Thermoplastic State No. PTH-02SPRAY (Alkyd) Yellow Thermoplastic State No. PTH-02ALKYD Yellow Thin-mil Spray Thermoplastic State No. PTH-02SPRAY (Alkyd) 214-5 THERMOPLASTIC MATERIAL FOR TRAFFIC STRIPING AND MARKINGS. [Remove section]: SP- 12 SPECIAL PROVISIONS PART III CONSTRUCTION METHODS SECTION 300 – EARTHWORK 300-2 UNCLASSIFIED EXCAVATION. 300-2.1 General. [Add the following]: Unclassified Excavation shall include all excavations including pavement removal to the depth of the proposed pavement section, excavations within the parkway and encroachment areas. 300-2.8 Measurement. [Delete this subsection] 300-2.9 Payment. [Delete this subsection] 300-2.10 Measurement and Payment. [Add this subsection]: No separate payment will be made for material excavated as part of structure excavation, storm drain pipe trenches, utility trenches, or drainage structure installations and shall be considered as included in the various bid items. No separate payment will be made for material excavated as part of concrete curbs, sidewalks, curb and gutters, cross gutters, curb or access ramps, island passageways, driveways, local depressions, and associated underlying base installation and shall be included in the price paid for at the contract unit price of the corresponding item. No separate payment will be made for removing, hauling, and disposing all materials below the existing base to the depth necessary for the proposed improvements, as indicated on the plan, or directed by the Engineer. The Contractor shall be responsible to meet grades shown on the plan, including removal of excess excavation. SECTION 301 – SUBGRADE PREPARATION, TREATED MATERIALS, AND PLACEMENT OF BASE MATERIALS 301-1 SUBGRADE PREPARATION. 301-1.2 Preparation of Subgrade. [Add the following after the last paragraph]: Based on the “low” to “medium” soil expansion potential, subgrade soils for non-vehicular pavements should be pre-saturated to a minimum of 1.2 times optimum moisture content and extend to a depth of 12 inches. 301-1.3 Relative Compaction. [Add the following]: Prior to construction of the concrete paver, concrete pavement and asphalt concrete pavement sections, the subgrade soils should be scarified to a minimum depth of 6 inches, moisture- conditioned as needed, and recompacted in place to a minimum of 90 percent relative compaction per ASTM D1557. Subgrade should be firm prior to placement. SP- 13 The in-place density test shall be conducted per Caltrans Standard Test Method TM C231. Unsuitable subgrade shall be removed and replaced with aggregate base per Subsection 301 of the Standard Specifications. 301-2 UNTREATED BASE. 301-2.4 Measurement and Payment. [Replace the last paragraph with the following]: No separate payment will be made for Class II aggregate base material required for sidewalk, sidewalk transition panel, pedestrian access ramp, concrete cross gutter, and concrete curb and gutter construction, and shall be included in price paid for the contract unit price of the corresponding item. SECTION 302 – ROADWAY SURFACING 302-5 ASPHALT CONCRETE PAVEMENT. 302-5.9 Measurement and Payment. [Add the following]: Compensation for all work involving asphalt concrete pavement will be paid for at the Contract Unit Price per ton (tonne) as shown in the Bid Form. The unit price paid for AC pavement will include corresponding pavement reinforcing fibers in accordance with the various bid items. Payment shall also include full compensation for all surface preparation, furnishing all labor, materials, tools, equipment, removals, disposal, certified weight tickets, and incidentals and for doing all the work, including saw-cutting and dig-out of existing pavement. Temporary surface work where required by the Agency Representative for traffic control or other purposes shall be considered included in the price bid for Traffic Control and no additional compensation will be allowed. The Contractor shall furnish to the Engineer at the time of delivery of the material on the job site a legible copy of a licensed weighmaster's certificate showing gross, tare, and net weights of each truckload of asphalt concrete mixture. 302-6 PORTLAND CEMENT CONCRETE PAVEMENT. 302-6.8 Measurement and Payment. [Add the following]: Compensation for all work involving Portland cement concrete pavement will be paid for at the Contract Unit Price per square foot as shown in the Bid Form. 302-9 ASPHALT RUBBER HOT MIX (ARHM). 302-9.8 Measurement. [Replace the first sentence with the following]: ARHM will be measured by the ton (tonne) and shall be inclusive of asphalt reinforcing fibers. 302-9.9 Payment. [Replace the first sentence with the following]: SP- 14 Payment for ARHM will be made at contract unit price per ton (tonne), and as provided in Section 302-5.9 “Measurement and Payment”. No separate payment for asphalt reinforcing fibers, tack coat, rock dust blotter, construction of pavement joins (to existing AC pavement and cross gutters, etc.) or sweeping will be made. SECTION 303 - CONCRETE AND MASONRY CONSTRUCTION 303-5 CONCRETE CURBS, WALKS, GUTTERS, CROSS GUTTERS, ALLEY INTER- SECTIONS, ACCESS RAMPS AND DRIVEWAYS. 303-5.1 Requirements. 303-5.1.1 General. [Replace the second paragraph with the following]: The thickness of sidewalks, sidewalk transition panels, and access ramps shall be a minimum of 4”. The thickness of gutters, cross gutters, and driveway aprons shall be a minimum of 8”. Sidewalk transition panels shall be constructed to connect ADA compliant curb ramps or existing structures to the existing sidewalk where the existing sidewalk cross-slope exceeds the maximum allowable cross-slope per ADA requirements. All contract specifications applicable to walks and sidewalks shall also apply to sidewalk transition panels. Concrete flatwork shall conform to the provisions of the Standard Specifications or herein. The surfaces of all concrete structures shall receive a Medium Broom Finish, unless otherwise specified on the Plans. No concrete shall be ordered and/or poured until the forms and subgrade have been inspected and approved by the Engineer in the field. All pull boxes, water meter boxes, and water valve covers shall be adjusted to proposed finish grade and approved by the Engineer in the field prior to placement of the concrete: i.e., curbs, walks, gutters, etc. 303-5.1.4 Curb Ramp Installation. [Add subsection]: The Contractor shall verify all existing elevations for the installation of curb ramps and sidewalk transition panels. The contractor shall verify that proposed improvements can be constructed per plan. The installation of curb ramps shall be in compliance with all applicable Americans with Disabilities Act (ADA) standards. Written approval from the Engineer or City representative is required after forms have been setup and prior to placing concrete for ramps and sidewalks. All work required to construct standard curb ramps or to construct curb ramps per the details provided in the Plans shall be considered incidental to the cost of the ramp, including clearing and grubbing and concrete collars for existing light poles as necessary. 303-5.2 Forms. 303-5.2.1 Standard Forms. [Add the following]: SP- 15 Use flexible metal, one (1) inch lumber, or plywood forms to form radius bends. Install, align, and level forms; stake and brace forms in place. Maintain following grade and alignment tolerances. a. Top of Form: Maximum 1/8" in 10'-0". b. Vertical Face: Maximum 1/4" in 10'-0". The CONTRACTOR shall include all fine grading and compaction with regard to setting forms during concrete placement. 303-5.3 Placing Concrete. [Add the following Subsections]: 303-5.3.1 General. The CONTRACTOR shall exercise caution in placement of concrete in congested areas to ensure proper consolidation and that there are no voids and protection of water stops in position. Adequate provisions shall be made for easy visual inspection of concrete placement, consolidation and water stop protection. 303-5.4 Joints. 303-5.5.2 Expansion Joints. [The second paragraph is modified as follows]: The expansion joints consisting of pre-molded Expansion Joint Filler (Bituminous Fibre Type), 1/4-inch thick, shall be installed on all concrete work as specified below: 1. As an alternate to weakened plane joints. 2. At a maximum of twenty (20) feet spacing in the concrete slabs. 3. At any other location where required by the City Inspector. 303-5.7 Curing. [Amend first paragraph with the following]: Exposed concrete surfaces shall be sprayed with Type 2 curing compound at a uniform rate of one gallon per 150 square feet. 303-5.9 Measurement and Payment. 303-5.9.1 Curb and Gutter. [Add subsection]: Payment for the construction of curb and gutter, curb transitions, and transitions to match existing shall be made at the unit price bid per linear foot and shall include all labor, materials, tools and equipment necessary to carry out the work and no additional compensation shall be made therefore, including subgrade preparation, aggregate base and all other work required to construct these items in accordance with the plans, specifications, special provisions and as directed by the Engineer. 303-5.9.2 Walks and Gutters. [Add subsection]: Payment for the construction of walks, sidewalks, sidewalk transition panels, cross gutters, and alley intersections shall be made at the unit price bid per square foot and shall be full SP- 16 compensation for furnishing all labor, materials, tools, equipment and incidentals required to do all of the work involved in constructing walks, sidewalks, transition panels, cross gutters and alley intersections, including subgrade preparation, aggregate base and all other work required to construct these items in accordance with the plans, specifications, special provisions and as directed by the Engineer. 303-5.9.3 Ramps and Driveways. [Add subsection]: Payment for the construction of ramps and driveways shall be made at the unit price bid per square foot and shall be full compensation for furnishing all labor, materials, tools, equipment and incidentals required to do all of the work involved, including subgrade preparation, aggregate base, and all other work required to construct these items in accordance with the plans, specifications, special provisions and as directed by the Engineer. SECTION 314 – TRAFFIC STRIPING, CURB AND PAVEMENT MARKINGS, AND PAVEMENT MARKERS 314-2 REMOVAL OF TRAFFIC STRIPING, CURB AND PAVEMENT MARKINGS. 314-2.1 General. [Replace with the following]: Removal of all conflicting traffic lines and pavement markings shall be completed by wet sandblasting and includes removal of raised pavement markers. Removals shall be accomplished by grinding with extra care taken so as to not create a divot in the existing pavement. The machine used for this purposed shall meet all requirements of the air pollution control district having jurisdiction in the project area. The Contractor is hereby notified that the use of black paint to cover the existing traffic striping during any traffic detour shall not be allowed. The existing traffic striping shall be obliterated by wet sandblasting (with immediate clean-up of sandblasted areas) or by other methods approved by the Engineer. At the end of construction all traffic striping shall be repaired and restored to the satisfaction of the Engineer. Curb markings shall be painted over as specified in the Special Provisions or shown on the Plans. Conflicting striping and pavement markings shall be removed before the application of new permanent traffic striping, and curb or pavement markings. 314-2.2 Measurement. [Delete]: 314-2.3 Payment. [Replace with the following]: Payment for all removal of all required traffic striping and markings shall be considered as included in the various bid items related to traffic Striping, signage & markings, and no additional payment will be made therefore. 314-4 APPLICATION OF TRAFFIC STRIPING AND CURB AND PAVEMENT MARKINGS. 314-4.1 General. [Add the following]: Paragraphs 1 and 2 of Subsection 84-1.01, "Description" of the State Standard Specifications, are amended to read: SP- 17 This work shall consist of applying painted traffic lines and pavement markings at the locations and in accordance with the details shown on the plans or designated by the Engineer, and as specified in these Specifications and the Special Provisions. The kind of material or paint to be applied will be as designated in the Caltrans Standard Specifications, specified in the Special Provisions, or shown on the plans. The first sentence of paragraph 4 of Subsection 84-1.03" Tolerances and Appearance" of the state Standard Specifications is amended to read: Drips, overspray, improper markings and paint material tracked by traffic shall be immediately removed from the pavement surface by methods approved by the Engineer. Paragraph 2 of Subsection 84-1.04 "Protection from Damage” is amended to read: Newly placed traffic stripes and pavement markings shall be protected from damage by public traffic or other causes until the paint is thoroughly dry. The first sentence of paragraph 1 of Subsection 84-33.02 "Materials” is amended to read: Paint and glass beads for traffic stripes and pavement markings shall be furnished by the contractor, including paint for cat tracks and dribble lines. The second sentence of paragraph 2 of Subsection 84-3.03 "Mixing” is amended to read: Such mixing shall be at the Contractor's expense. Nothing in these Special Provisions shall relieve the Contractor from the responsibilities established in Subsection 7-10, "Public Convenience and Safety", of the State Standard Specifications. 314-4.2 Control of Alignment and Layout. 314-4.2.1 General. [Replace with the following]: The Contractor shall furnish all necessary surveying, control points and shall provide layout for the installation of all traffic striping and pavement markings. Paragraph 1 of Subsection 84-1.02 "Control of Alignment and Layout” of the State Standard Specifications is amended to read: The Contractor shall perform all layout, alignment and spotting, which will consist of existing strips or control points spaced at two hundred (200) feet on tangents and fifty (50) feet on curves and tapers. The Contractor shall furnish the necessary control points for all striping and markings, and shall be responsible for the completeness and accuracy therefore to the satisfaction of the Engineer. Traffic striping shall not vary more than ½ inch in 50 feet from the alignment shown in the plans. 314-4.3 Painted Traffic Striping, Curb and Pavement Markings. 314-4.3.1 General. [Add the following]: SP- 18 The application of traffic striping and curb and pavement markings shall conform to the general provisions in Section 84, “Traffic Stripes and Pavement Markings” of the State of California Standard Plans and Standard Specifications. Raised pavement markers shall conform to the provisions in Section 85, "Pavement Markers", of the Caltrans Standard Specifications and these "Special Provisions", and as approved by the Agency's Representative. Spotting shall be completed prior to the removal of any existing stripes or markings. No striping work shall start until the Engineer has approved the spotted or “cat-tracked” markings. Existing stripes and markings shall be removed prior to painting new ones. The Contractor shall mark, or otherwise delineate, the new traffic lanes and pavement markings before leaving the site on the same day he covers the existing striping and markings. No street shall be without the proper delineation when open to the public. Travel lanes shall not be left more than 2 weeks without permanent striping. The Contractor shall furnish and apply traffic stripes and pavement markings on the surface of the new pavement after final paving, as shown on the Plans, and as directed by the Agency Representative. Paint shall be used for all traffic striping and pavement markings. Thermoplastic shall not be used unless specifically authorized by the Engineer. Pavement marking stencils shall match those used by the City of San Juan Capistrano. Final traffic striping shall be applied in two applications. Re-paint all existing red curbs upon completion of work. A blue RPM shall be placed in the street at each fire hydrant location per the direction of the Engineer and Per Plan. 314-4.3.6 Measurement. [Delete subsection] 314-4.3.7 Payment. [Delete subsection] 314-4.3.8 Measurement and Payment. [Add subsection]: Payment for traffic striping, markings and markers shall be made at the contract price bid per Lump Sum (LS) as shown on the bid schedule for the various striping, markings, and raised pavement markers (RPMs) and red curbing, and shall include full compensation for furnishing all labor and materials including temporary pavement striping, adhesives, glass beads and paint, tools, equipment, stencils and incidentals, and pavement markings complete in place, including removal of existing traffic striping and removal of existing pavement markings and RPMs; and for doing the work involved in pavement markings and locating and recording locations of existing legends to the satisfaction of the Engineer and no additional compensation will be allowed. 314-5.2 Adhesives. 314-5.2.2 Epoxy Adhesives. [Add the following]: Application of epoxy shall comply with Caltrans Specifications Subsection 95-1.04 (Direction for Use). 314-5 PAVEMENT MARKERS. 314-5.1 General. [Add the following]: SP- 19 Pavement markers shall conform to the provisions in Section 85, "Pavement Markers," of the State of California Standard Specifications and these Special Provisions. Certificates of compliance shall be furnished for pavement markers as specified in "Prequalified and Tested Signing and Delineation Materials," elsewhere in these Special Provisions. Reflective pavement markers shall comply with the specific intensity requirements for reflectance after abrading the lens surface in accordance with the "Steel Wool Abrasion Procedure," specified for pavement markers placed in pavement recesses in Section 85 1.05, "Reflective Pavement Markers," of the State of California Standard Specifications. The bituminous adhesive used to install the markers shall be a hot melt bituminous adhesive asphaltic material with a homogeneously mixed mineral filler and shall conform with the requirements specified in Subsection 85-1.055, “Adhesives,” of the State of California Standard Specifications. Reflective pavement markers shall be installed per the approved Plan unless otherwise approved by the Engineer. The composition of the material shall be such that its properties shall not deteriorate when heated to, and applied at temperatures up to 218°C (425°F), using either air or oil jacketed melters. Reflective pavement markers shall be placed at locations as established by the applicable Caltrans striping detail noted on the approved striping Plan which includes, but is not limited to temporary painted line(s), new striping, or existing striping. There shall be one marker for each location. The Contractor shall perform all work necessary to establish satisfactory locations for markers. The Contractor shall remove existing reflective pavement markers that do not conform to the approved Plan. Reflective pavement markers shall be of the prismatic reflector type (3M model white RP290w and yellow RPM 2912y or equal) as outlined in Subsection 85-1.05, “Reflective Pavement Markers,” of the State of California Standard Specifications. Existing pavement markers (blue) designating location of the fire hydrants shall be replaced “in kind” after the paving is completed. The Contractor shall contact the Engineer, 72 hours before any legends are painted on city streets to ensure that the patterns the Contractor is using match the patterns used by the Agency. No other pattern will be allowed except patterns that match patterns used by the Agency. 314-5.6 Measurement. [Delete]: 314-5.6 Payment. [Replace with the following]: Payment for all pavement markers shall be considered as included in the various bid items related to traffic striping, signage & markings as shown on the bid, and no additional payment will be made therefore. SP- 20 SECTION 401 – REMOVAL 401-1 GENERAL. [Add the following]: Unless otherwise stated on the Plans or Specifications, all material removed from the Work shall become the property of the Contractor and shall be disposed of in a lawful manner. Burning shall not be permitted on the site. The Contractor shall conform to the following requirements: · The Contractor shall avoid, to the fullest extent possible, contamination of any drainage system. · The Contractor shall make effort to recycle concrete, steel, and other excavated materials. The Contractor shall be responsible for recycling and for obtaining a suitable disposal site for the material not suited for recycling, and pursuant to Section 300-2.6, “Surplus Material,” of the Standard Specifications, shall, upon request, file with the Engineer the written consent of the owner of the property upon which he intends to dispose of such material. · Any concrete crushing of the removed concrete is not allowed at the job site at any time. · The Contractor shall notify the Engineer, in accordance with Section 3-4, “Changed Conditions,” of the Standard Specifications, of any changed conditions or material differing from that represented in the Contract which the Contractor believes to be hazardous waste. · All combustible waste materials resulting from any construction operation of this contract shall be removed from the site as directed by the Engineer. · All removals and excavations within asphalt or concrete pavements shall be removed to clean, straight lines by saw cutting only. · The Contractor shall meet with the Inspector prior to making removals to verify the limits of removals and the locations of joins, to establish smooth joins and to assure proper drainage. The Contractor may make minor changes in the location of joins and the limits of removals, provided a smooth join and proper drainage shall be achieved and it has obtained prior written approval from the inspector. · All existing roadway signs conflicting with sidewalk or pedestrian access ramp improvements at the locations shown on the Plans shall be removed and reinstalled in accordance with the latest version of the California MUTCD (CA MUTCD) and Orange County Public Works Standard Plans. 400-3 Payment. [Add the following]: Remove and reinstall of signs shall be measured per each unit. Payment shall be made at the Contract Unit Price per each and shall include all labor and materials necessary to reset (remove and reinstall) the signs, including any hardware or other materials damaged or unusable as a result of the removal process. 401-2 ASPHALT CONCRETE PAVEMENT. [Add the following]: SP- 21 Contractor shall scan the work area using a metal detector of adequate strength prior to any saw cutting, excavation or cold milling of the existing pavement. Contractor shall be responsible for locating and protecting manhole, water valve, utility access frames and covers or other metal appurtenances buried below the existing pavement surface whether shown on the plans or not. All existing asphalt concrete pavement that is to be joined by new construction shall be sawcut in a straight line. The Contractor shall not disturb or damage existing improvements to be protected in place. Any damage done by Contractor and/or its equipment shall be repaired or replaced as called out in Section 7-9 of the Standard Specifications at Contractor's expense. The Contractor shall call USA / Dig Alert prior to excavation and shall "pothole" existing utilities that fall within the proposed pavement "dig-out" areas as necessary to determine their depth to avoid damaging said utilities. AC pavement shall be sawcut to full depth around entire join perimeter. Removal of existing pavement sections shall be to the depth required for construction of the replacement roadway sections as shown on the plans and will include the removal of existing AC pavement, cement treated base and/or aggregate base. All removed material shall become the property of the Contractor and shall be hauled away and legally disposed of properly outside of the roadway right of way. 401-7 PAYMENT. [Add the following]: Payment for removal of existing concrete curb and gutter and AC berm shall be made at the contract unit price bid per linear foot (LF). Payment for removal of existing asphalt concrete pavement shall be made at the contract unit price bid per square foot (SF). Payment shall include full compensation for furnishing all labor, materials, tools, equipment, and disposal for doing all the work, including saw-cutting. SECTION 403 - MANHOLE ADJUSTMENT AND RECONSTRUCTION 403-1 GENERAL. 403-1.1 Utility Owner’s Coordination. [Add subsection] Utility facilities encountered in the field may include domestic water valve boxes and covers, monitoring well boxes and covers, gas valve box and covers, utility vaults and covers, storm drain manhole frames and covers, sewer manhole frames and covers, sewer cleanout frames and covers, traffic signal pull boxes, irrigation control boxes, survey well monument covers and other facilities. The Contractor shall be responsible for coordinating his work with the various utility owners who will be required to adjust their own surface utility covers to grade as noted on the plans. This includes tying out their covers and notifying all surface utility owners prior to performing any work that will affect their facilities. If the required adjustment of the owner adjusted utility covers will impact the Contractor’s subsequent work, the Contractor shall coordinate his work schedule and/or perform follow up work to ensure that the quality of the final product is not compromised. 403-3 MANHOLES IN ASPHALT CONCRETE PAVEMENT. SP- 22 403-3.1 Adjustment of Manhole Frame and Cover Sets to Grade. [Add subsection]: All surface utility covers (even those to be adjusted to grade by others) shall be located in the field prior to beginning any work on this project. The Contractor shall remove existing concrete pads or collars that might interfere with the adjustment of the valve cover to the grade of the asphalt concrete surface. Any damage to existing utility systems or appurtenances by the Contractor shall be replaced at the Contractor's expense. The contractor shall be required to survey and tie-out the location of all surface utility covers (even those to be adjusted to grade by others) and shall mark their location on the new pavement surface so that they may be easily identified and located in the field, in the event of an emergency. Prior to roadway cold milling operations, all valve boxes, manholes, meter boxes and other surface utility covers shall be adjusted to an elevation at least 2 inches below the proposed surface of the cold milled roadway. The following method shall be utilized to adjust manhole frames and covers, water valve covers, and survey well monument covers. 1. After the asphalt concrete pavement overlay has been completed, circular holes shall be cut where the cover exists. The diameter of the circular hole shall be at least twenty-four inches (24") larger than the outer diameter of the cover. 2. The cover shall then be raised to the finished pavement grade and suitably blocked and concreted in place to the satisfaction of the Agency Representative. 3. A PCC collar shall be poured around the cover to an elevation no more than two inches (2”) below finished pavement grade. Said PCC collar shall have a minimum depth of eight inches (8") or (as shown per plan) and be placed over four inches (4") of crushed aggregate base (CAB), thoroughly compacted to 95% minimum relative compaction. 4. After the concrete has cured sufficiently, a tack coat shall be applied and AC overlay (ARHM-GG-C) surface course material shall be placed to finished pavement grade. Existing manhole covers shall be re-used. Repaving required as a result of reconstructing or adjusting the frames and covers of all manholes, vaults, and other structures shall be the responsibility of the Contractor and the cost thereof shall be included in the bid item for pavement. 403-5 PAYMENT. [Replace with the following]: Payment for adjustments of various utility manhole covers, frames, boxes, and cleanouts to grade will be made at the contract unit price per each (EA) location that has been appropriately lowered prior to cold milling, and raised after final surface course paving. Separate measurement and payment will not be made for lowering and raising the utilities to grade. Both operations are considered a part of the bid item and shall be considered full compensation for furnishing all labor, materials, including asphalt concrete, PCC concrete, tools, equipment and incidentals to accomplish the work as specified herein and no additional compensation will be allowed therefor. SP- 23 SECTION 404 – COLD MILLING 404-1 GENERAL. [Add to end of last paragraph]: Cold milling shall either be a variable or constant depth cut for the various widths of cold millings called for on the Plans. Cold milling shall conform to the details shown on the Plans and these Special Provisions. All temporary striping required after cold milling operations shall be installed per City Standards. All required temporary striping shall be considered paid for under the bid item for Traffic Control. No additional compensation will be allowed. Cold milling shall not be performed more than three (3) calendar days ahead of leveling course paving. Residue from grinding shall not be permitted to flow or travel into gutters, onto adjacent street surfaces or parkways. All residues shall be completely removed by a vacuum sweeper and properly disposed. Sweeping is to take place immediately after the grinding has been completed and as directed by the Engineer. Contractor shall not wash any residue into gutters and/or drainage structures. The Contractor shall cover and protect all storm drain inlets prior to the start of cold milling operations. All pavement transitions and temporary striping/markings shall be in place prior to the opening of a lane for traffic. Any pavement grade differential between adjacent lanes that will, with the permission of the Engineer, remain during non-working hours shall be indicated with the appropriate warning signage. Cold mix A.C. shall be placed and maintained at the interface between milled and non-milled areas to eliminate the hazard caused by sudden elevation differences, especially in pedestrian path of travel areas adjacent to wheelchair ramps, and shall be removed prior to placement of surface course pavement. The Contractor shall provide access and detours at all times for pedestrian facilities and bike lanes when cold milling. The Contractor is to notify the Engineer at least two (2) working days prior to and immediately after the cold mill operations so that observations and measurements may be made of areas before the placement of permanent asphalt. 404-11 Measurement. [Replace with the following]: Cold milling will be measured by the area of milling along the edge of the transverse join lines, adjacent curb, gutter, or cross gutter, by the square foot for each thickness or range of thicknesses to be removed as shown in the bid schedule. The quantity of each type of pavement to be cold milled (asphalt concrete, concrete, or composite) will be measured separately. 404-11 Payment. [Replace with the following]: Payment for the cold mill of existing AC pavement shall be at the contract unit price per square foot (SF) as provided in the bid proposal. The contract unit price for cold milling each type of pavement shall include cold milling, removal of asphalt concrete and slurry seal material from adjacent concrete gutters, construction and removal of pavement transitions, disposal of millings, and all other necessary work. Any temporary AC required due to cold milling operations shall be included in the lump sum cost for Traffic Control and Public Convenience and no SP- 24 additional compensation will be allowed. Payment for replacement of inductive loop detectors not shown on the Plans to be protected in place will be made in accordance with 700-17.6.7. SECTION 700 – STREET LIGHTING AND TRAFFIC SIGNAL SYSTEMS SECTION 701 – CONSTRUCTION. 710-17.6 Detectors. 710-17.6.5 Measurement. [Delete subsection] 710-17.6.6 Payment. [Delete subsection] 710-17.6.7 Measurement and Payment. [Add subsection]: Payment for traffic loop detector replacement shall be made at the contract price bid per Lump Sum (LS) as show on the bid schedule and shall include full compensation for furnishing all labor and materials to replace the existing loop detectors per plans complete in place, including for pavement saw-cutting, conductor installation and splicing, application of sealant, testing and incidentals to the satisfaction of the Engineer, and no additional compensation will be allowed. 61147.02100\34514883.2 1 EXHIBIT “B” DAVIS-BACON WAGE DECISIONS EXHIBIT “B” DAVIS-BACON WAGE DECISIONS ATTACHED BEHIND THIS PAGE file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] "General Decision Number: CA20220024 04/01/2022 Superseded General Decision Number: CA20210024 State: California Construction Types: Building, Heavy (Heavy and Dredging) and Highway County: Orange County in California. BUILDING CONSTRUCTION PROJECTS; DREDGING PROJECTS (does not include hopper dredge work); HEAVY CONSTRUCTION PROJECTS (does not include water well drilling); HIGHWAY CONSTRUCTION PROJECTS Note: Contracts subject to the Davis-Bacon Act are generally required to pay at least the applicable minimum wage rate required under Executive Order 14026 or Executive Order 13658. Please note that these Executive Orders apply to covered contracts entered into by the federal government that are subject to the Davis-Bacon Act itself, but do not apply to contracts subject only to the Davis-Bacon Related Acts, including those set forth at 29 CFR 5.1(a)(2)-(60). ______________________________________________________________ |If the contract is entered |. Executive Order 14026 | |into on or after January 30, | generally applies to the | |2022, or the contract is | contract. | |renewed or extended (e.g., an |. The contractor must pay | |option is exercised) on or | all covered workers at | |after January 30, 2022: | least $15.00 per hour (or | | | the applicable wage rate | | | listed on this wage | | | determination, if it is | | | higher) for all hours | | | spent performing on the | | | contract in 2022. | |______________________________|_____________________________| |If the contract was awarded on|. Executive Order 13658 | |or between January 1, 2015 and| generally applies to the | |January 29, 2022, and the | contract. | |contract is not renewed or |. The contractor must pay all| |extended on or after January | covered workers at least | |30, 2022: | $11.25 per hour (or the | | | applicable wage rate listed| | | on this wage determination,| | | if it is higher) for all | | | hours spent performing on | | | that contract in 2022. | |______________________________|_____________________________| The applicable Executive Order minimum wage rate will be file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] adjusted annually. If this contract is covered by one of the Executive Orders and a classification considered necessary for performance of work on the contract does not appear on this wage determination, the contractor must still submit a conformance request. Additional information on contractor requirements and worker protections under the Executive Orders is available at https://www.dol.gov/agencies/whd/government-contracts. Modification Number Publication Date 0 01/07/2022 1 01/14/2022 2 01/21/2022 3 02/04/2022 4 02/18/2022 5 02/25/2022 6 03/04/2022 7 04/01/2022 ASBE0005-002 09/01/2021 Rates Fringes Asbestos Workers/Insulator (Includes the application of all insulating materials, protective coverings, coatings, and finishes to all types of mechanical systems).....$ 47.25 24.45 Fire Stop Technician (Application of Firestopping Materials for wall openings and penetrations in walls, floors, ceilings and curtain walls)...........................$ 32.09 19.66 ---------------------------------------------------------------- ASBE0005-004 07/05/2021 Rates Fringes Asbestos Removal worker/hazardous material handler (Includes preparation, wetting, stripping, removal, scrapping, vacuuming, bagging and disposing of all insulation materials from mechanical systems, whether they contain asbestos or not)....$ 22.40 13.07 ---------------------------------------------------------------- * BRCA0004-010 05/01/2020 file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] Rates Fringes BRICKLAYER; MARBLE SETTER........$ 41.39 18.95 *The wage scale for prevailing wage projects performed in Blythe, China lake, Death Valley, Fort Irwin, Twenty-Nine Palms, Needles and 1-15 corridor (Barstow to the Nevada State Line) will be Three Dollars ($3.00) above the standard San Bernardino/Riverside County hourly wage rate ---------------------------------------------------------------- BRCA0018-004 06/01/2021 Rates Fringes MARBLE FINISHER..................$ 35.90 14.11 TILE FINISHER....................$ 30.47 12.52 TILE LAYER.......................$ 43.09 18.31 ---------------------------------------------------------------- BRCA0018-010 09/01/2020 Rates Fringes TERRAZZO FINISHER................$ 33.66 14.20 TERRAZZO WORKER/SETTER...........$ 41.60 14.73 ---------------------------------------------------------------- CARP0213-001 07/01/2021 Rates Fringes CARPENTER (1) Carpenter, Cabinet Installer, Insulation Installer, Hardwood Floor Worker and acoustical installer...................$ 51.60 16.28 (2) Millwright..............$ 52.10 16.48 (3) Piledrivermen/Derrick Bargeman, Bridge or Dock Carpenter, Heavy Framer, Rock Bargeman or Scowman, Rockslinger, Shingler (Commercial)................$ 51.73 16.28 (4) Pneumatic Nailer, Power Stapler...............$ 51.85 16.28 (5) Sawfiler...............$ 51.69 16.28 (6) Scaffold Builder.......$ 42.80 16.28 (7) Table Power Saw Operator....................$ 51.70 16.28 FOOTNOTE: Work of forming in the construction of open cut sewers or storm drains, on operations in which horizontal lagging is used in conjunction with steel H-Beams driven or file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] placed in pre- drilled holes, for that portion of a lagged trench against which concrete is poured, namely, as a substitute for back forms (which work is performed by piledrivers): $0.13 per hour additional. ---------------------------------------------------------------- CARP0213-004 07/01/2021 Rates Fringes Drywall DRYWALL INSTALLER/LATHER....$ 51.60 16.28 STOCKER/SCRAPPER............$ 22.16 8.62 ---------------------------------------------------------------- CARP0721-001 07/01/2021 Rates Fringes Modular Furniture Installer......$ 21.85 7.15 ---------------------------------------------------------------- ELEC0011-002 12/27/2021 COMMUNICATIONS AND SYSTEMS WORK Rates Fringes Communications System Installer...................$ 43.87 3%+15.03 Technician..................$ 33.30 3%+27.82 SCOPE OF WORK: Installation, testing, service and maintenance of systems utilizing the transmission and/or transference of voice, sound, vision and digital for commercial, educational, security and entertainment purposes for the following: TV monitoring and surveillance, background-foreground music, intercom and telephone interconnect, inventory control systems, microwave transmission, multi-media, multiplex, nurse call systems, radio page, school intercom and sound, burglar alarms, fire alarm (see last paragraph below) and low voltage master clock systems in commercial buildings. Communication Systems that transmit or receive information and/or control systems that are intrinsic to the above listed systems; inclusion or exclusion of terminations and testings of conductors determined by their function; excluding all other data systems or multiple systems which include control function or power supply; excluding installation of raceway systems, conduit systems, line voltage work, and energy management systems. Does not cover work performed at China Lake Naval Ordnance Test Station. Fire alarm work shall be performed at the current inside wireman total cost package. ---------------------------------------------------------------- file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] ELEC0441-001 12/27/2021 Rates Fringes CABLE SPLICER....................$ 54.65 22.98 ELECTRICIAN......................$ 52.25 22.91 ---------------------------------------------------------------- * ELEC0441-003 12/27/2021 COMMUNICATIONS & SYSTEMS WORK (excludes any work on Intelligent Transportation Systems or CCTV highway systems) Rates Fringes Communications System Installer...................$ 41.68 15.90 Technician..................$ 31.23 15.39 SCOPE OF WORK The work covered shall include the installation, testing, service and maintenance, of the following systems that utilize the transmission and/or transference of voice, sound, vision and digital for commercial, education, security and entertainment purposes for TV monitoring and surveillance, background foreground music, intercom and telephone interconnect, inventory control systems, microwave transmission, multi-media, multiplex, nurse call system, radio page, school intercom and sound, burglar alarms and low voltage master clock systems. A. Communication systems that transmit or receive information and/or control systems that are intrinsic to the above listed systems SCADA (Supervisory control/data acquisition PCM (Pulse code modulation) Inventory control systems Digital data systems Broadband & baseband and carriers Point of sale systems VSAT data systems Data communication systems RF and remote control systems Fiber optic data systems B. Sound and Voice Transmission/Transference Systems Background-Foreground Music Intercom and Telephone Interconnect Systems Sound and Musical Entertainment Systems Nurse Call Systems Radio Page Systems School Intercom and Sound Systems Burglar Alarm Systems Low-Voltage Master Clock Systems Multi-Media/Multiplex Systems Telephone Systems RF Systems and Antennas and Wave Guide C. *Fire Alarm Systems-installation, wire pulling and testing. D. Television and Video Systems Television Monitoring and Surveillance Systems Video Security Systems Video file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] Entertainment Systems Video Educational Systems CATV and CCTV E. Security Systems, Perimeter Security Systems, Vibration Sensor Systems Sonar/Infrared Monitoring Equipment, Access Control Systems, Card Access Systems *Fire Alarm Systems 1. Fire Alarms-In Raceways: Wire and cable pulling in raceways performed at the current electrician wage rate and fringe benefits. 2. Fire Alarms-Open Wire Systems: installed by the Technician. ---------------------------------------------------------------- ELEC0441-004 12/27/2021 Rates Fringes ELECTRICIAN (TRANSPORTATION SYSTEMS, TRAFFIC SIGNALS & STREET LIGHTING) Cable Splicer/Fiber Optic Splicer.....................$ 52.85 22.93 Electrician.................$ 52.25 22.91 Technician..................$ 39.19 22.52 SCOPE OF WORK: Electrical work on public streets, freeways, toll-ways, etc, above or below ground. All work necessary for the installation, renovation, repair or removal of Intelligent Transportation Systems, Video Surveilance Systems (CCTV), Street Lighting and and Traffic Signal work or systems whether underground or on bridges. Includes dusk to dawn lighting installations and ramps for access to or egress from freeways, toll-ways, etc. Intelligent Transportation Systems shall include all systems and components to control, monitor, and communicate with pedestrian or vehicular traffic, included but not limited to: installation, modification, removal of all Fiber optic Video System, Fiber Optic Data Systems, Direct interconnect and Communications Systems, Microwave Data and Video Systems, Infrared and Sonic Detection Systems, Solar Power Systems, Highway Advisory Radio Systems, highway Weight and Motion Systems, etc. Any and all work required to install and maintain any specialized or newly developed systems. All cutting, fitting and bandaging of ducts, raceways, and conduits. The cleaning, rodding and installation of ""fish and pull wires"". The excavation, setting, leveling and grouting of precast manholes, vaults, and pull boxes including ground rods or grounding systems, rock necessary for leveling and drainagae as well as pouring of a concrete envelope if needed. file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] JOURNEYMAN TRANSPORTATION ELECTRICIAN shall perform all tasks necessary toinstall the complete transportation system. JOURNEYMAN TECHNICIAN duties shall consist of: Distribution of material at job site, manual excavation and backfill, installation of system conduits and raceways for electrical, telephone, cable television and comnmunication systems. Pulling, terminating and splicing of traffic signal and street lighting conductors and electrical systems including interconnect, dector loop, fiber optic cable and video/data. ---------------------------------------------------------------- ELEC1245-001 01/01/2022 Rates Fringes LINE CONSTRUCTION (1) Lineman; Cable splicer..$ 60.19 22.07 (2) Equipment specialist (operates crawler tractors, commercial motor vehicles, backhoes, trenchers, cranes (50 tons and below), overhead & underground distribution line equipment).............$ 48.08 20.86 (3) Groundman...............$ 36.76 20.46 (4) Powderman...............$ 51.87 18.79 HOLIDAYS: New Year's Day, M.L. King Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day and day after Thanksgiving, Christmas Day ---------------------------------------------------------------- ELEV0018-001 01/01/2022 Rates Fringes ELEVATOR MECHANIC................$ 61.34 36.885+a+b FOOTNOTE: a. PAID VACATION: Employer contributes 8% of regular hourly rate as vacation pay credit for employees with more than 5 years of service, and 6% for 6 months to 5 years of service. b. PAID HOLIDAYS: New Year's Day, Memorial Day, Independence Day, Labor Day, Veterans' Day, Thanksgiving Day, Friday after Thanksgiving, and Christmas Day. ---------------------------------------------------------------- ENGI0012-003 07/01/2020 Rates Fringes OPERATOR: Power Equipment file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] (All Other Work) GROUP 1....................$ 48.25 27.20 GROUP 2....................$ 49.03 27.20 GROUP 3....................$ 49.32 27.20 GROUP 4....................$ 50.81 27.20 GROUP 5....................$ 48.96 25.25 GROUP 6....................$ 51.03 27.20 GROUP 8....................$ 51.14 27.20 GROUP 9....................$ 49.29 25.25 GROUP 10....................$ 51.26 27.20 GROUP 11....................$ 49.41 25.25 GROUP 12....................$ 51.43 27.20 GROUP 13....................$ 51.53 27.20 GROUP 14....................$ 51.56 27.20 GROUP 15....................$ 51.64 27.20 GROUP 16....................$ 51.76 27.20 GROUP 17....................$ 51.93 27.20 GROUP 18....................$ 52.03 27.20 GROUP 19....................$ 52.14 27.20 GROUP 20....................$ 52.26 27.20 GROUP 21....................$ 52.43 27.20 GROUP 22....................$ 52.53 27.20 GROUP 23....................$ 52.64 27.20 GROUP 24....................$ 52.76 27.20 GROUP 25....................$ 52.93 27.20 OPERATOR: Power Equipment (Cranes, Piledriving & Hoisting) GROUP 1....................$ 49.60 27.20 GROUP 2....................$ 50.38 27.20 GROUP 3....................$ 50.67 27.20 GROUP 4....................$ 50.81 27.20 GROUP 5....................$ 51.03 27.20 GROUP 6....................$ 51.14 27.20 GROUP 7....................$ 51.26 27.20 GROUP 8....................$ 51.43 27.20 GROUP 9....................$ 51.60 27.20 GROUP 10....................$ 52.60 27.20 GROUP 11....................$ 53.60 27.20 GROUP 12....................$ 54.60 27.20 GROUP 13....................$ 55.60 27.20 OPERATOR: Power Equipment (Tunnel Work) GROUP 1....................$ 50.10 27.20 GROUP 2....................$ 50.88 27.20 GROUP 3....................$ 51.17 27.20 GROUP 4....................$ 51.31 27.20 GROUP 5....................$ 51.53 27.20 GROUP 6....................$ 51.64 27.20 GROUP 7....................$ 51.76 27.20 PREMIUM PAY: $3.75 per hour shall be paid on all Power Equipment Operator work on the followng Military Bases: China Lake Naval file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] Reserve, Vandenberg AFB, Point Arguello, Seely Naval Base, Fort Irwin, Nebo Annex Marine Base, Marine Corp Logistics Base Yermo, Edwards AFB, 29 Palms Marine Base and Camp Pendleton Workers required to suit up and work in a hazardous material environment: $2.00 per hour additional. Combination mixer and compressor operator on gunite work shall be classified as a concrete mobile mixer operator. SEE ZONE DEFINITIONS AFTER CLASSIFICATIONS POWER EQUIPMENT OPERATORS CLASSIFICATIONS GROUP 1: Bargeman; Brakeman; Compressor operator; Ditch Witch, with seat or similar type equipment; Elevator operator-inside; Engineer Oiler; Forklift operator (includes loed, lull or similar types under 5 tons; Generator operator; Generator, pump or compressor plant operator; Pump operator; Signalman; Switchman GROUP 2: Asphalt-rubber plant operator (nurse tank operator); Concrete mixer operator-skip type; Conveyor operator; Fireman; Forklift operator (includes loed, lull or similar types over 5 tons; Hydrostatic pump operator; oiler crusher (asphalt or concrete plant); Petromat laydown machine; PJU side dum jack; Screening and conveyor machine operator (or similar types); Skiploader (wheel type up to 3/4 yd. without attachment); Tar pot fireman; Temporary heating plant operator; Trenching machine oiler GROUP 3: Asphalt-rubber blend operator; Bobcat or similar type (Skid steer); Equipment greaser (rack); Ford Ferguson (with dragtype attachments); Helicopter radioman (ground); Stationary pipe wrapping and cleaning machine operator GROUP 4: Asphalt plant fireman; Backhoe operator (mini-max or similar type); Boring machine operator; Boxman or mixerman (asphalt or concrete); Chip spreading machine operator; Concrete cleaning decontamination machine operator; Concrete Pump Operator (small portable); Drilling machine operator, small auger types (Texoma super economatic or similar types - Hughes 100 or 200 or similar types - drilling depth of 30' maximum); Equipment greaser (grease truck); Guard rail post driver operator; Highline cableway signalman; Hydra-hammer-aero stomper; Micro Tunneling (above ground tunnel); Power concrete curing machine operator; Power concrete saw operator; Power-driven jumbo form setter operator; Power sweeper operator; Rock Wheel Saw/Trencher; Roller operator (compacting); Screed operator (asphalt or concrete); Trenching machine operator (up to 6 ft.); Vacuum or much truck GROUP 5: Equipment Greaser (Grease Truck/Multi Shift). file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] GROUP 6: Articulating material hauler; Asphalt plant engineer; Batch plant operator; Bit sharpener; Concrete joint machine operator (canal and similar type); Concrete planer operator; Dandy digger; Deck engine operator; Derrickman (oilfield type); Drilling machine operator, bucket or auger types (Calweld 100 bucket or similar types - Watson 1000 auger or similar types - Texoma 330, 500 or 600 auger or similar types - drilling depth of 45' maximum); Drilling machine operator; Hydrographic seeder machine operator (straw, pulp or seed), Jackson track maintainer, or similar type; Kalamazoo Switch tamper, or similar type; Machine tool operator; Maginnis internal full slab vibrator, Mechanical berm, curb or gutter(concrete or asphalt); Mechanical finisher operator (concrete, Clary-Johnson-Bidwell or similar); Micro tunnel system (below ground); Pavement breaker operator (truck mounted); Road oil mixing machine operator; Roller operator (asphalt or finish), rubber-tired earth moving equipment (single engine, up to and including 25 yds. struck); Self-propelled tar pipelining machine operator; Skiploader operator (crawler and wheel type, over 3/4 yd. and up to and including 1-1/2 yds.); Slip form pump operator (power driven hydraulic lifting device for concrete forms); Tractor operator-bulldozer, tamper-scraper (single engine, up to 100 h.p. flywheel and similar types, up to and including D-5 and similar types); Tugger hoist operator (1 drum); Ultra high pressure waterjet cutting tool system operator; Vacuum blasting machine operator GROUP 8: Asphalt or concrete spreading operator (tamping or finishing); Asphalt paving machine operator (Barber Greene or similar type); Asphalt-rubber distribution operator; Backhoe operator (up to and including 3/4 yd.), small ford, Case or similar; Cast-in-place pipe laying machine operator; Combination mixer and compressor operator (gunite work); Compactor operator (self-propelled); Concrete mixer operator (paving); Crushing plant operator; Drill Doctor; Drilling machine operator, Bucket or auger types (Calweld 150 bucket or similar types - Watson 1500, 2000 2500 auger or similar types - Texoma 700, 800 auger or similar types - drilling depth of 60' maximum); Elevating grader operator; Grade checker; Gradall operator; Grouting machine operator; Heavy-duty repairman; Heavy equipment robotics operator; Kalamazoo balliste regulator or similar type; Kolman belt loader and similar type; Le Tourneau blob compactor or similar type; Loader operator (Athey, Euclid, Sierra and similar types); Mobark Chipper or similar; Ozzie padder or similar types; P.C. slot saw; Pneumatic concrete placing machine operator (Hackley-Presswell or similar type); Pumpcrete gun operator; Rock Drill or similar types; Rotary drill operator (excluding caisson type); Rubber-tired earth-moving equipment operator (single engine, caterpillar, Euclid, Athey Wagon and similar types with any file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] and all attachments over 25 yds. up to and including 50 cu. yds. struck); Rubber-tired earth-moving equipment operator (multiple engine up to and including 25 yds. struck); Rubber-tired scraper operator (self-loading paddle wheel type-John Deere, 1040 and similar single unit); Self- propelled curb and gutter machine operator; Shuttle buggy; Skiploader operator (crawler and wheel type over 1-1/2 yds. up to and including 6-1/2 yds.); Soil remediation plant operator; Surface heaters and planer operator; Tractor compressor drill combination operator; Tractor operator (any type larger than D-5 - 100 flywheel h.p. and over, or similar-bulldozer, tamper, scraper and push tractor single engine); Tractor operator (boom attachments), Traveling pipe wrapping, cleaning and bendng machine operator; Trenching machine operator (over 6 ft. depth capacity, manufacturer's rating); trenching Machine with Road Miner attachment (over 6 ft depth capacity): Ultra high pressure waterjet cutting tool system mechanic; Water pull (compaction) operator GROUP 9: Heavy Duty Repairman GROUP 10: Drilling machine operator, Bucket or auger types (Calweld 200 B bucket or similar types-Watson 3000 or 5000 auger or similar types-Texoma 900 auger or similar types-drilling depth of 105' maximum); Dual drum mixer, dynamic compactor LDC350 (or similar types); Monorail locomotive operator (diesel, gas or electric); Motor patrol-blade operator (single engine); Multiple engine tractor operator (Euclid and similar type-except Quad 9 cat.); Rubber-tired earth-moving equipment operator (single engine, over 50 yds. struck); Pneumatic pipe ramming tool and similar types; Prestressed wrapping machine operator; Rubber-tired earth-moving equipment operator (single engine, over 50 yds. struck); Rubber tired earth moving equipment operator (multiple engine, Euclid, caterpillar and similar over 25 yds. and up to 50 yds. struck), Tower crane repairman; Tractor loader operator (crawler and wheel type over 6-1/2 yds.); Woods mixer operator (and similar Pugmill equipment) GROUP 11: Heavy Duty Repairman - Welder Combination, Welder - Certified. GROUP 12: Auto grader operator; Automatic slip form operator; Drilling machine operator, bucket or auger types (Calweld, auger 200 CA or similar types - Watson, auger 6000 or similar types - Hughes Super Duty, auger 200 or similar types - drilling depth of 175' maximum); Hoe ram or similar with compressor; Mass excavator operator less tha 750 cu. yards; Mechanical finishing machine operator; Mobile form traveler operator; Motor patrol operator (multi-engine); Pipe mobile machine operator; Rubber-tired earth- moving equipment operator (multiple engine, Euclid, Caterpillar file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] and similar type, over 50 cu. yds. struck); Rubber-tired self- loading scraper operator (paddle-wheel-auger type self-loading - two (2) or more units) GROUP 13: Rubber-tired earth-moving equipment operator operating equipment with push-pull system (single engine, up to and including 25 yds. struck) GROUP 14: Canal liner operator; Canal trimmer operator; Remote- control earth-moving equipment operator (operating a second piece of equipment: $1.00 per hour additional); Wheel excavator operator (over 750 cu. yds.) GROUP 15: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. and up to and including 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine-up to and including 25 yds. struck) GROUP 16: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (single engine, over 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck) GROUP 17: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine, Euclid, Caterpillar and similar, over 50 cu. yds. struck); Tandem tractor operator (operating crawler type tractors in tandem - Quad 9 and similar type) GROUP 18: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, up to and including 25 yds. struck) GROUP 19: Rotex concrete belt operator (or similar types); Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds.and up to and including 50 cu. yds. struck); Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - multiple engine, up to and including 25 yds. struck) GROUP 20: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, over 50 yds. struck); Rubber-tired file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] earth-moving equipment operator, operating in tandem (scrapers, belly dumps, and similar types in any combination, excluding compaction units - multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck) GROUP 21: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - multiple engine, Euclid, Caterpillar and similar type, over 50 cu. yds. struck) GROUP 22: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, up to and including 25 yds. struck) GROUP 23: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. and up to and including 50 yds. struck); Rubber-tired earth-moving equipment operator, operating with the tandem push-pull system (multiple engine, up to and including 25 yds. struck) GROUP 24: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, over 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck) GROUP 25: Concrete pump operator-truck mounted; Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (multiple engine, Euclid, Caterpillar and similar type, over 50 cu. yds. struck) CRANES, PILEDRIVING AND HOISTING EQUIPMENT CLASSIFICATIONS GROUP 1: Engineer oiler; Fork lift operator (includes loed, lull or similar types) GROUP 2: Truck crane oiler GROUP 3: A-frame or winch truck operator; Ross carrier operator (jobsite) GROUP 4: Bridge-type unloader and turntable operator; Helicopter hoist operator GROUP 5: Hydraulic boom truck; Stinger crane (Austin-Western or similar type); Tugger hoist operator (1 drum) file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] GROUP 6: Bridge crane operator; Cretor crane operator; Hoist operator (Chicago boom and similar type); Lift mobile operator; Lift slab machine operator (Vagtborg and similar types); Material hoist and/or manlift operator; Polar gantry crane operator; Self Climbing scaffold (or similar type); Shovel, backhoe, dragline, clamshell operator (over 3/4 yd. and up to 5 cu. yds. mrc); Tugger hoist operator GROUP 7: Pedestal crane operator; Shovel, backhoe, dragline, clamshell operator (over 5 cu. yds. mrc); Tower crane repair; Tugger hoist operator (3 drum) GROUP 8: Crane operator (up to and including 25 ton capacity); Crawler transporter operator; Derrick barge operator (up to and including 25 ton capacity); Hoist operator, stiff legs, Guy derrick or similar type (up to and including 25 ton capacity); Shovel, backhoe, dragline, clamshell operator (over 7 cu. yds., M.R.C.) GROUP 9: Crane operator (over 25 tons and up to and including 50 tons mrc); Derrick barge operator (over 25 tons up to and including 50 tons mrc); Highline cableway operator; Hoist operator, stiff legs, Guy derrick or similar type (over 25 tons up to and including 50 tons mrc); K-crane operator; Polar crane operator; Self erecting tower crane operator maximum lifting capacity ten tons GROUP 10: Crane operator (over 50 tons and up to and including 100 tons mrc); Derrick barge operator (over 50 tons up to and including 100 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 50 tons up to and including 100 tons mrc), Mobile tower crane operator (over 50 tons, up to and including 100 tons M.R.C.); Tower crane operator and tower gantry GROUP 11: Crane operator (over 100 tons and up to and including 200 tons mrc); Derrick barge operator (over 100 tons up to and including 200 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 100 tons up to and including 200 tons mrc); Mobile tower crane operator (over 100 tons up to and including 200 tons mrc) GROUP 12: Crane operator (over 200 tons up to and including 300 tons mrc); Derrick barge operator (over 200 tons up to and including 300 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 200 tons, up to and including 300 tons mrc); Mobile tower crane operator (over 200 tons, up to and including 300 tons mrc) GROUP 13: Crane operator (over 300 tons); Derrick barge operator (over 300 tons); Helicopter pilot; Hoist operator, stiff legs, Guy derrick or similar type (over 300 tons); Mobile tower crane operator (over 300 tons) file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] TUNNEL CLASSIFICATIONS GROUP 1: Skiploader (wheel type up to 3/4 yd. without attachment) GROUP 2: Power-driven jumbo form setter operator GROUP 3: Dinkey locomotive or motorperson (up to and including 10 tons) GROUP 4: Bit sharpener; Equipment greaser (grease truck); Slip form pump operator (power-driven hydraulic lifting device for concrete forms); Tugger hoist operator (1 drum); Tunnel locomotive operator (over 10 and up to and including 30 tons) GROUP 5: Backhoe operator (up to and including 3/4 yd.); Small Ford, Case or similar; Drill doctor; Grouting machine operator; Heading shield operator; Heavy-duty repairperson; Loader operator (Athey, Euclid, Sierra and similar types); Mucking machine operator (1/4 yd., rubber-tired, rail or track type); Pneumatic concrete placing machine operator (Hackley-Presswell or similar type); Pneumatic heading shield (tunnel); Pumpcrete gun operator; Tractor compressor drill combination operator; Tugger hoist operator (2 drum); Tunnel locomotive operator (over 30 tons) GROUP 6: Heavy Duty Repairman GROUP 7: Tunnel mole boring machine operator ENGINEERS ZONES $1.00 additional per hour for all of IMPERIAL County and the portions of KERN, RIVERSIDE & SAN BERNARDINO Counties as defined below: That area within the following Boundary: Begin in San Bernardino County, approximately 3 miles NE of the intersection of I-15 and the California State line at that point which is the NW corner of Section 1, T17N,m R14E, San Bernardino Meridian. Continue W in a straight line to that point which is the SW corner of the northwest quarter of Section 6, T27S, R42E, Mt. Diablo Meridian. Continue North to the intersection with the Inyo County Boundary at that point which is the NE corner of the western half of the northern quarter of Section 6, T25S, R42E, MDM. Continue W along the Inyo and San Bernardino County boundary until the intersection with Kern County, as that point which is the SE corner of Section 34, T24S, R40E, MDM. Continue W along the Inyo and Kern County boundary until the intersection with Tulare County, at that point which is the SW corner of the SE quarter of Section 32, T24S, R37E, MDM. Continue W along the Kern and Tulare County boundary, until that point which is the NW corner of T25S, file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] R32E, MDM. Continue S following R32E lines to the NW corner of T31S, R32E, MDM. Continue W to the NW corner of T31S, R31E, MDM. Continue S to the SW corner of T32S, R31E, MDM. Continue W to SW corner of SE quarter of Section 34, T32S, R30E, MDM. Continue S to SW corner of T11N, R17W, SBM. Continue E along south boundary of T11N, SBM to SW corner of T11N, R7W, SBM. Continue S to SW corner of T9N, R7W, SBM. Continue E along south boundary of T9N, SBM to SW corner of T9N, R1E, SBM. Continue S along west boundary of R1E, SMB to Riverside County line at the SW corner of T1S, R1E, SBM. Continue E along south boundary of T1s, SBM (Riverside County Line) to SW corner of T1S, R10E, SBM. Continue S along west boundary of R10E, SBM to Imperial County line at the SW corner of T8S, R10E, SBM. Continue W along Imperial and Riverside county line to NW corner of T9S, R9E, SBM. Continue S along the boundary between Imperial and San Diego Counties, along the west edge of R9E, SBM to the south boundary of Imperial County/California state line. Follow the California state line west to Arizona state line, then north to Nevada state line, then continuing NW back to start at the point which is the NW corner of Section 1, T17N, R14E, SBM $1.00 additional per hour for portions of SAN LUIS OBISPO, KERN, SANTA BARBARA & VENTURA as defined below: That area within the following Boundary: Begin approximately 5 miles north of the community of Cholame, on the Monterey County and San Luis Obispo County boundary at the NW corner of T25S, R16E, Mt. Diablo Meridian. Continue south along the west side of R16E to the SW corner of T30S, R16E, MDM. Continue E to SW corner of T30S, R17E, MDM. Continue S to SW corner of T31S, R17E, MDM. Continue E to SW corner of T31S, R18E, MDM. Continue S along West side of R18E, MDM as it crosses into San Bernardino Meridian numbering area and becomes R30W. Follow the west side of R30W, SBM to the SW corner of T9N, R30W, SBM. Continue E along the south edge of T9N, SBM to the Santa Barbara County and Ventura County boundary at that point whch is the SW corner of Section 34.T9N, R24W, SBM, continue S along the Ventura County line to that point which is the SW corner of the SE quarter of Section 32, T7N, R24W, SBM. Continue E along the south edge of T7N, SBM to the SE corner to T7N, R21W, SBM. Continue N along East side of R21W, SBM to Ventura County and Kern County boundary at the NE corner of T8N, R21W. Continue W along the Ventura County and Kern County boundary to the SE corner of T9N, R21W. Continue North along the East edge of R21W, SBM to the NE corner of T12N, R21W, SBM. Continue West along the north edge of T12N, SBM to the SE corner of T32S, R21E, MDM. [T12N SBM is a think strip between T11N SBM and T32S MDM]. Continue North along the East side of R21E, MDM to the Kings County and Kern County border at the NE corner of T25S, R21E, MDM, continue West along the Kings County and Kern County Boundary until the intersection of San Luis Obispo County. Continue west along the Kings County and San Luis Obispo County boundary until the intersection with Monterey file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] County. Continue West along the Monterey County and San Luis Obispo County boundary to the beginning point at the NW corner of T25S, R16E, MDM. $2.00 additional per hour for INYO and MONO Counties and the Northern portion of SAN BERNARDINO County as defined below: That area within the following Boundary: Begin at the intersection of the northern boundary of Mono County and the California state line at the point which is the center of Section 17, T10N, R22E, Mt. Diablo Meridian. Continue S then SE along the entire western boundary of Mono County, until it reaches Inyo County at the point which is the NE corner of the Western half of the NW quarter of Section 2, T8S, R29E, MDM. Continue SSE along the entire western boundary of Inyo County, until the intersection with Kern County at the point which is the SW corner of the SE 1/4 of Section 32, T24S, R37E, MDM. Continue E along the Inyo and Kern County boundary until the intersection with San Bernardino County at that point which is the SE corner of section 34, T24S, R40E, MDM. Continue E along the Inyo and San Bernardino County boundary until the point which is the NE corner of the Western half of the NW quarter of Section 6, T25S, R42E, MDM. Continue S to that point which is the SW corner of the NW quarter of Section 6, T27S, R42E, MDM. Continue E in a straight line to the California and Nevada state border at the point which is the NW corner of Section 1, T17N, R14E, San Bernardino Meridian. Then continue NW along the state line to the starting point, which is the center of Section 18, T10N, R22E, MDM. REMAINING AREA NOT DEFINED ABOVE RECIEVES BASE RATE ---------------------------------------------------------------- ENGI0012-004 08/01/2020 Rates Fringes OPERATOR: Power Equipment (DREDGING) (1) Leverman................$ 56.40 30.00 (2) Dredge dozer............$ 50.43 30.00 (3) Deckmate................$ 50.32 30.00 (4) Winch operator (stern winch on dredge)............$ 49.77 30.00 (5) Fireman-Oiler, Deckhand, Bargeman, Leveehand...................$ 49.23 30.00 (6) Barge Mate..............$ 49.84 30.00 ---------------------------------------------------------------- IRON0433-006 07/01/2020 Rates Fringes file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] IRONWORKER Fence Erector...............$ 34.58 24.81 Ornamental, Reinforcing and Structural..............$ 41.00 33.45 PREMIUM PAY: $6.00 additional per hour at the following locations: China Lake Naval Test Station, Chocolate Mountains Naval Reserve-Niland, Edwards AFB, Fort Irwin Military Station, Fort Irwin Training Center-Goldstone, San Clemente Island, San Nicholas Island, Susanville Federal Prison, 29 Palms - Marine Corps, U.S. Marine Base - Barstow, U.S. Naval Air Facility - Sealey, Vandenberg AFB $4.00 additional per hour at the following locations: Army Defense Language Institute - Monterey, Fallon Air Base, Naval Post Graduate School - Monterey, Yermo Marine Corps Logistics Center $2.00 additional per hour at the following locations: Port Hueneme, Port Mugu, U.S. Coast Guard Station - Two Rock ---------------------------------------------------------------- LABO0300-005 03/01/2021 Rates Fringes Asbestos Removal Laborer.........$ 37.49 21.88 SCOPE OF WORK: Includes site mobilization, initial site cleanup, site preparation, removal of asbestos-containing material and toxic waste, encapsulation, enclosure and disposal of asbestos- containing materials and toxic waste by hand or with equipment or machinery; scaffolding, fabrication of temporary wooden barriers and assembly of decontamination stations. ---------------------------------------------------------------- LABO0345-001 07/01/2021 Rates Fringes LABORER (GUNITE) GROUP 1.....................$ 46.50 20.42 GROUP 2.....................$ 45.55 20.42 GROUP 3.....................$ 42.01 20.42 FOOTNOTE: GUNITE PREMIUM PAY: Workers working from a file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] Bosn'n's Chair or suspended from a rope or cable shall receive 40 cents per hour above the foregoing applicable classification rates. Workers doing gunite and/or shotcrete work in a tunnel shall receive 35 cents per hour above the foregoing applicable classification rates, paid on a portal-to-portal basis. Any work performed on, in or above any smoke stack, silo, storage elevator or similar type of structure, when such structure is in excess of 75'-0"" above base level and which work must be performed in whole or in part more than 75'-0"" above base level, that work performed above the 75'-0"" level shall be compensated for at 35 cents per hour above the applicable classification wage rate. GUNITE LABORER CLASSIFICATIONS GROUP 1: Rodmen, Nozzlemen GROUP 2: Gunmen GROUP 3: Reboundmen ---------------------------------------------------------------- LABO0652-001 07/01/2020 Rates Fringes LABORER (TUNNEL) GROUP 1.....................$ 42.54 21.04 GROUP 2.....................$ 42.86 21.04 GROUP 3.....................$ 43.32 21.04 GROUP 4.....................$ 44.01 21.04 LABORER GROUP 1.....................$ 36.39 21.04 GROUP 2.....................$ 36.94 21.04 GROUP 3.....................$ 37.49 21.04 GROUP 4.....................$ 39.04 21.04 GROUP 5.....................$ 39.39 21.04 LABORER CLASSIFICATIONS GROUP 1: Cleaning and handling of panel forms; Concrete screeding for rough strike-off; Concrete, water curing; Demolition laborer, the cleaning of brick if performed by a worker performing any other phase of demolition work, and the cleaning of lumber; Fire watcher, limber, brush loader, piler and debris handler; Flag person; Gas, oil and/or water pipeline laborer; Laborer, asphalt-rubber material loader; Laborer, general or construction; Laborer, general clean-up; Laborer, landscaping; Laborer, jetting; Laborer, temporary water and air lines; Material hose operator (walls, slabs, floors and decks); Plugging, filling of shee bolt holes; Dry packing of concrete; Railroad maintenance, repair track person and road beds; Streetcar and railroad file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] construction track laborers; Rigging and signaling; Scaler; Slip form raiser; Tar and mortar; Tool crib or tool house laborer; Traffic control by any method; Window cleaner; Wire mesh pulling - all concrete pouring operations GROUP 2: Asphalt shoveler; Cement dumper (on 1 yd. or larger mixer and handling bulk cement); Cesspool digger and installer; Chucktender; Chute handler, pouring concrete, the handling of the chute from readymix trucks, such as walls, slabs, decks, floors, foundation, footings, curbs, gutters and sidewalks; Concrete curer, impervious membrane and form oiler; Cutting torch operator (demolition); Fine grader, highways and street paving, airport, runways and similar type heavy construction; Gas, oil and/or water pipeline wrapper - pot tender and form person; Guinea chaser; Headerboard person - asphalt; Laborer, packing rod steel and pans; Membrane vapor barrier installer; Power broom sweeper (small); Riprap stonepaver, placing stone or wet sacked concrete; Roto scraper and tiller; Sandblaster (pot tender); Septic tank digger and installer(lead); Tank scaler and cleaner; Tree climber, faller, chain saw operator, Pittsburgh chipper and similar type brush shredder; Underground laborer, including caisson bellower GROUP 3: Buggymobile person; Concrete cutting torch; Concrete pile cutter; Driller, jackhammer, 2-1/2 ft. drill steel or longer; Dri-pak-it machine; Gas, oil and/or water pipeline wrapper, 6-in. pipe and over, by any method, inside and out; High scaler (including drilling of same); Hydro seeder and similar type; Impact wrench multi-plate; Kettle person, pot person and workers applying asphalt, lay-kold, creosote, lime caustic and similar type materials (""applying"" means applying, dipping, brushing or handling of such materials for pipe wrapping and waterproofing); Operator of pneumatic, gas, electric tools, vibrating machine, pavement breaker, air blasting, come-alongs, and similar mechanical tools not separately classified herein; Pipelayer's backup person, coating, grouting, making of joints, sealing, caulking, diapering and including rubber gasket joints, pointing and any and all other services; Rock slinger; Rotary scarifier or multiple head concrete chipping scarifier; Steel headerboard and guideline setter; Tamper, Barko, Wacker and similar type; Trenching machine, hand-propelled GROUP 4: Asphalt raker, lute person, ironer, asphalt dump person, and asphalt spreader boxes (all types); Concrete core cutter (walls, floors or ceilings), grinder or sander; Concrete saw person, cutting walls or flat work, scoring old or new concrete; Cribber, shorer, lagging, sheeting and trench bracing, hand-guided lagging hammer; Head rock slinger; Laborer, asphalt- rubber distributor boot person; Laser beam in connection with laborers' work; Oversize concrete vibrator operator, 70 lbs. and over; Pipelayer file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] performing all services in the laying and installation of pipe from the point of receiving pipe in the ditch until completion of operation, including any and all forms of tubular material, whether pipe, metallic or non-metallic, conduit and any other stationary type of tubular device used for the conveying of any substance or element, whether water, sewage, solid gas, air, or other product whatsoever and without regard to the nature of material from which the tubular material is fabricated; No-joint pipe and stripping of same; Prefabricated manhole installer; Sandblaster (nozzle person), water blasting, Porta Shot-Blast GROUP 5: Blaster powder, all work of loading holes, placing and blasting of all powder and explosives of whatever type, regardless of method used for such loading and placing; Driller: All power drills, excluding jackhammer, whether core, diamond, wagon, track, multiple unit, and any and all other types of mechanical drills without regard to the form of motive power; Toxic waste removal TUNNEL LABORER CLASSIFICATIONS GROUP 1: Batch plant laborer; Changehouse person; Dump person; Dump person (outside); Swamper (brake person and switch person on tunnel work); Tunnel materials handling person; Nipper; Pot tender, using mastic or other materials (for example, but not by way of limitation, shotcrete, etc.) GROUP 2: Chucktender, cabletender; Loading and unloading agitator cars; Vibrator person, jack hammer, pneumatic tools (except driller); Bull gang mucker, track person; Concrete crew, including rodder and spreader GROUP 3: Blaster, driller, powder person; Chemical grout jet person; Cherry picker person; Grout gun person; Grout mixer person; Grout pump person; Jackleg miner; Jumbo person; Kemper and other pneumatic concrete placer operator; Miner, tunnel (hand or machine); Nozzle person; Operating of troweling and/or grouting machines; Powder person (primer house); Primer person; Sandblaster; Shotcrete person; Steel form raiser and setter; Timber person, retimber person, wood or steel; Tunnel Concrete finisher GROUP 4: Diamond driller; Sandblaster; Shaft and raise work ---------------------------------------------------------------- LABO0652-003 07/01/2021 Rates Fringes Brick Tender.....................$ 35.82 20.45 ---------------------------------------------------------------- LABO1184-001 07/01/2021 file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] Rates Fringes Laborers: (HORIZONTAL DIRECTIONAL DRILLING) (1) Drilling Crew Laborer...$ 38.89 17.10 (2) Vehicle Operator/Hauler.$ 39.06 17.10 (3) Horizontal Directional Drill Operator..............$ 40.91 17.10 (4) Electronic Tracking Locator.....................$ 42.91 17.10 Laborers: (STRIPING/SLURRY SEAL) GROUP 1.....................$ 40.10 20.12 GROUP 2.....................$ 41.40 20.12 GROUP 3.....................$ 43.41 20.12 GROUP 4.....................$ 45.15 20.12 LABORERS - STRIPING CLASSIFICATIONS GROUP 1: Protective coating, pavement sealing, including repair and filling of cracks by any method on any surface in parking lots, game courts and playgrounds; carstops; operation of all related machinery and equipment; equipment repair technician GROUP 2: Traffic surface abrasive blaster; pot tender - removal of all traffic lines and markings by any method (sandblasting, waterblasting, grinding, etc.) and preparation of surface for coatings. Traffic control person: controlling and directing traffic through both conventional and moving lane closures; operation of all related machinery and equipment GROUP 3: Traffic delineating device applicator: Layout and application of pavement markers, delineating signs, rumble and traffic bars, adhesives, guide markers, other traffic delineating devices including traffic control. This category includes all traffic related surface preparation (sandblasting, waterblasting, grinding) as part of the application process. Traffic protective delineating system installer: removes, relocates, installs, permanently affixed roadside and parking delineation barricades, fencing, cable anchor, guard rail, reference signs, monument markers; operation of all related machinery and equipment; power broom sweeper GROUP 4: Striper: layout and application of traffic stripes and markings; hot thermo plastic; tape traffic stripes and markings, including traffic control; operation of all related machinery and equipment ---------------------------------------------------------------- LABO1414-001 08/05/2020 file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] Rates Fringes LABORER PLASTER CLEAN-UP LABORER....$ 36.03 21.01 PLASTER TENDER..............$ 38.58 21.01 Work on a swing stage scaffold: $1.00 per hour additional. ---------------------------------------------------------------- PAIN0036-001 07/01/2020 Rates Fringes Painters: (Including Lead Abatement) (1) Repaint (excludes San Diego County)...............$ 29.59 17.12 (2) All Other Work..........$ 33.12 17.24 REPAINT of any previously painted structure. Exceptions: work involving the aerospace industry, breweries, commercial recreational facilities, hotels which operate commercial establishments as part of hotel service, and sports facilities. ---------------------------------------------------------------- PAIN0036-008 10/01/2021 Rates Fringes DRYWALL FINISHER/TAPER...........$ 43.63 22.92 ---------------------------------------------------------------- PAIN0036-015 01/01/2020 Rates Fringes GLAZIER..........................$ 43.45 23.39 FOOTNOTE: Additional $1.25 per hour for work in a condor, from the third (3rd) floor and up Additional $1.25 per hour for work on the outside of the building from a swing stage or any suspended contrivance, from the ground up ---------------------------------------------------------------- PAIN1247-002 01/01/2021 Rates Fringes SOFT FLOOR LAYER.................$ 38.75 14.03 ---------------------------------------------------------------- PLAS0200-009 08/04/2021 Rates Fringes PLASTERER........................$ 45.77 18.39 file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] ---------------------------------------------------------------- PLAS0500-002 07/01/2020 Rates Fringes CEMENT MASON/CONCRETE FINISHER...$ 38.50 25.91 ---------------------------------------------------------------- PLUM0016-001 09/01/2021 Rates Fringes PLUMBER/PIPEFITTER Work ONLY on new additions and remodeling of bars, restaurant, stores and commercial buildings not to exceed 5,000 sq. ft. of floor space.................$ 52.20 24.38 Work ONLY on strip malls, light commercial, tenant improvement and remodel work........................$ 39.91 22.71 All other work except work on new additions and remodeling of bars, restaurant, stores and commercial buildings not to exceed 5,000 sq. ft. of floor space and work on strip malls, light commercial, tenant improvement and remodel work........................$ 53.83 25.36 ---------------------------------------------------------------- PLUM0345-001 09/01/2021 Rates Fringes PLUMBER Landscape/Irrigation Fitter.$ 36.85 24.75 Sewer & Storm Drain Work....$ 40.94 22.13 ---------------------------------------------------------------- ROOF0036-002 08/01/2021 Rates Fringes ROOFER...........................$ 42.07 18.92 FOOTNOTE: Pitch premium: Work on which employees are exposed to pitch fumes or required to handle pitch, pitch base or pitch impregnated products, or any material containing coal tar pitch, the entire roofing crew shall receive $1.75 per hour ""pitch premium"" pay. file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] ---------------------------------------------------------------- * SFCA0669-008 04/01/2022 DOES NOT INCLUDE SAN CLEMENTE ISLAND, THE CITY OF SANTA ANA, AND THAT PART OF ORANGE COUNTY WITHIN 25 MILES OF THE CITY LIMITS OF LOS ANGELES: Rates Fringes SPRINKLER FITTER.................$ 43.25 26.77 ---------------------------------------------------------------- SFCA0709-003 01/01/2021 SAN CLEMENTE ISLAND, THE CITY OF SANTA ANA, AND THAT PART OF ORANGE COUNTY WITHIN 25 MILES BEYOND THE CITY LIMITS OF LOS ANGELES: Rates Fringes SPRINKLER FITTER (Fire)..........$ 48.71 29.15 ---------------------------------------------------------------- SHEE0105-003 01/01/2022 LOS ANGELES (South of a straight line drawn between Gorman and Big Pines)and Catalina Island, INYO, KERN (Northeast part, East of Hwy 395), MONO ORANGE, RIVERSIDE, AND SAN BERNARDINO COUNTIES Rates Fringes SHEET METAL WORKER (1) Commercial - New Construction and Remodel work........................$ 50.23 29.60 (2) Industrial work including air pollution control systems, noise abatement, hand rails, guard rails, excluding aritechtural sheet metal work, excluding A-C, heating, ventilating systems for human comfort...$ 48.28 29.46 ---------------------------------------------------------------- TEAM0011-002 07/01/2020 Rates Fringes TRUCK DRIVER GROUP 1....................$ 32.59 30.59 GROUP 2....................$ 32.74 30.59 GROUP 3....................$ 32.87 30.59 file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] GROUP 4....................$ 33.06 30.59 GROUP 5....................$ 33.09 30.59 GROUP 6....................$ 33.12 30.59 GROUP 7....................$ 33.37 30.59 GROUP 8....................$ 33.62 30.59 GROUP 9....................$ 33.82 30.59 GROUP 10....................$ 34.12 30.59 GROUP 11....................$ 34.62 30.59 GROUP 12....................$ 35.05 30.59 WORK ON ALL MILITARY BASES: PREMIUM PAY: $3.00 per hour additional. [29 palms Marine Base, Camp Roberts, China Lake, Edwards AFB, El Centro Naval Facility, Fort Irwin, Marine Corps Logistics Base at Nebo & Yermo, Mountain Warfare Training Center, Bridgeport, Point Arguello, Point Conception, Vandenberg AFB] TRUCK DRIVERS CLASSIFICATIONS GROUP 1: Truck driver GROUP 2: Driver of vehicle or combination of vehicles - 2 axles; Traffic control pilot car excluding moving heavy equipment permit load; Truck mounted broom GROUP 3: Driver of vehicle or combination of vehicles - 3 axles; Boot person; Cement mason distribution truck; Fuel truck driver; Water truck - 2 axle; Dump truck, less than 16 yds. water level; Erosion control driver GROUP 4: Driver of transit mix truck, under 3 yds.; Dumpcrete truck, less than 6-1/2 yds. water level GROUP 5: Water truck, 3 or more axles; Truck greaser and tire person ($0.50 additional for tire person); Pipeline and utility working truck driver, including winch truck and plastic fusion, limited to pipeline and utility work; Slurry truck driver GROUP 6: Transit mix truck, 3 yds. or more; Dumpcrete truck, 6-1/2 yds. water level and over; Vehicle or combination of vehicles - 4 or more axles; Oil spreader truck; Dump truck, 16 yds. to 25 yds. water level GROUP 7: A Frame, Swedish crane or similar; Forklift driver; Ross carrier driver GROUP 8: Dump truck, 25 yds. to 49 yds. water level; Truck repair person; Water pull - single engine; Welder GROUP 9: Truck repair person/welder; Low bed driver, 9 axles file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] or over GROUP 10: Dump truck - 50 yds. or more water level; Water pull - single engine with attachment GROUP 11: Water pull - twin engine; Water pull - twin engine with attachments; Winch truck driver - $1.25 additional when operating winch or similar special attachments GROUP 12: Boom Truck 17K and above ---------------------------------------------------------------- WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental. ================================================================ Note: Executive Order (EO) 13706, Establishing Paid Sick Leave for Federal Contractors applies to all contracts subject to the Davis-Bacon Act for which the contract is awarded (and any solicitation was issued) on or after January 1, 2017. If this contract is covered by the EO, the contractor must provide employees with 1 hour of paid sick leave for every 30 hours they work, up to 56 hours of paid sick leave each year. Employees must be permitted to use paid sick leave for their own illness, injury or other health-related needs, including preventive care; to assist a family member (or person who is like family to the employee) who is ill, injured, or has other health-related needs, including preventive care; or for reasons resulting from, or to assist a family member (or person who is like family to the employee) who is a victim of, domestic violence, sexual assault, or stalking. Additional information on contractor requirements and worker protections under the EO is available at https://www.dol.gov/agencies/whd/government-contracts. Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)). ---------------------------------------------------------------- The body of each wage determination lists the classification and wage rates that have been found to be prevailing for the cited type(s) of construction in the area covered by the wage determination. The classifications are listed in alphabetical order of ""identifiers"" that indicate whether the particular rate is a union rate (current union negotiated rate for local), a survey rate (weighted average rate) or a union average rate (weighted union average rate). file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] Union Rate Identifiers A four letter classification abbreviation identifier enclosed in dotted lines beginning with characters other than ""SU"" or ""UAVG"" denotes that the union classification and rate were prevailing for that classification in the survey. Example: PLUM0198-005 07/01/2014. PLUM is an abbreviation identifier of the union which prevailed in the survey for this classification, which in this example would be Plumbers. 0198 indicates the local union number or district council number where applicable, i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. 07/01/2014 is the effective date of the most current negotiated rate, which in this example is July 1, 2014. Union prevailing wage rates are updated to reflect all rate changes in the collective bargaining agreement (CBA) governing this classification and rate. Survey Rate Identifiers Classifications listed under the ""SU"" identifier indicate that no one rate prevailed for this classification in the survey and the published rate is derived by computing a weighted average rate based on all the rates reported in the survey for that classification. As this weighted average rate includes all rates reported in the survey, it may include both union and non-union rates. Example: SULA2012-007 5/13/2014. SU indicates the rates are survey rates based on a weighted average calculation of rates and are not majority rates. LA indicates the State of Louisiana. 2012 is the year of survey on which these classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination. 5/13/2014 indicates the survey completion date for the classifications and rates under that identifier. Survey wage rates are not updated and remain in effect until a new survey is conducted. Union Average Rate Identifiers Classification(s) listed under the UAVG identifier indicate that no single majority rate prevailed for those classifications; however, 100% of the data reported for the classifications was union data. EXAMPLE: UAVG-OH-0010 08/29/2014. UAVG indicates that the rate is a weighted union average rate. OH indicates the state. The next number, 0010 in the example, is an internal number used in producing the wage determination. 08/29/2014 indicates the survey completion date for the classifications and rates under that identifier. A UAVG rate will be updated once a year, usually in January of file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] each year, to reflect a weighted average of the current negotiated/CBA rate of the union locals from which the rate is based. ---------------------------------------------------------------- WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour National Office because National Office has responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to: file:///S/...cts/Transportation/22103%20-%20Spring%20Street%20ADA%20IMprovements/PS&E/Specifications/Wage%20Determination.txt[4/14/2022 1:24:56 PM] Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) All decisions by the Administrative Review Board are final. ================================================================ END OF GENERAL DECISIO"