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Home My WebLink AboutDouglas E Barnhart Inc; 2004-03-29; 36991 Part 1 of 6Recording requested by: CITY OF CARLSBAD When recorded mail to: City Clerk City of Carlsbad 1200 Carlsbad Village Dr. Carlsbad, CA 92008 DOC# 2006-0427695 JUN16, 2006 9:26 AM OFFICIAL RECORDS SAN DIEGO COUNTY RECORDER'S OFFICE GREGORY J SMITH.COUNTY RECORDER FEES- 0.00 PAGES: 1 Space above this line for Recorder's Use NOTICE OF COMPLETION Notice is hereby given that: 1. The undersigned is owner of the interest or estate stated below in the property hereinafter described. 2. The full name of the undersigned is City of Carlsbad, a municipal corporation. 3. The full address of the undersigned is 1200 Carlsbad Village Drive, Carlsbad, California 92008. 4. The nature of the title of the undersigned is: In fee. 5. A work of improvement on the property hereinafter described was completed on February 4, 2006. 6. The name of the contractor for such work of improvement is Douglas E. Barnhart, Inc. 7. The property on which the work of improvement was completed is in the City of Carlsbad, County of San Diego, State of California, and is described as the construction of Aviara Community Park, Project No. 3699-1. CITY OF CARLSBAD CONRAD C. HAMMANN, JR. Deputy Public Works Director VERIFICATION OF CITY CLERK I, the undersigned, say: I am the City Clerk of the City of Carlsbad, 1200 Carlsbad Village Drive, Carlsbad, California, 92008. The City Council of said City on J^**^ x/ 2006, accepted the above described work as completed and drflered that a Notice of Completion be filed. I declare under penalty of perjury that the foregoing is true and correct. , 2006, at Carlsbad, California. LSBAD LORRAi ,--- PROJECT MANUAL AVIAR OMMU CITY OF CARLSIBAD, CALIF0 CITY OF CARLSBAD CONTRACT NUMBER 36991 PROJECTAQPROVEDBY@ARLSBAB CITY COUNCIL: DECEMBER 'l6, 2093 PROJECT MANUAL for the Construction of Aviara Community Park for City of Carlsbad CITY OF CARLSBAD CONTRACT NUMBER 36991 Prepared By P&D Consultants, Inc. 8954 Rio San Diego Drive, Suite 610 San Diego, CA 92 108 NTD Architects 471 9 Viewridge Avenue, Suite 200 San Diego, CA 92123 December 9,2003 TABLE OF CONTENTS GENERAL DOCUMENTS Cover Flyleaf Table of Contents BIDDINGKONTRACT REQUIREMENTS A. Notice, Bid Form and Instructions Notice Inviting Bids Contractor’s Proposal Bid Security Form Bidder’s Bond to Accompany Proposal Guide for Completing the “Designation of Subcontractor and Amount of Subcontractor’s Bid Items” and Designation of Subcontractor and Amount of Subcontractor’s Bid Items Form Bidder’s Statement of Financial Responsibility Bidder’s Statement of Technical Ability and Experience Bidder’s Certificate of Insurance for General Liability, Employers’ Liability, Automotive Liability and Workers’ Bidder’s Statement re Debarment Bidder’s Disclosure of Discipline Record Non-Collusion Affidavit to be Executed by Bidder and Submitted with Bid “Designation of Owner Operator/Lessor and Amount of Owner Operator/Lessor Work Forms Compensation B. Contract and bond Forms Contract for Public Works Labor and Materials Bond Faithful PerformanceMlarranty Bond Optional Escrow Agreement for Security Deposits in Lieu of Retention C. City of Carlsbad Supplemental Provisions to the SSPWC (Green Book) for Aviara Community Park D. State of California Boiler Plate Provisions for Reclaimed Water BP State of California Boiler Plate Provisions for Reclaimed Water E. Additional Contract Documents AIA Mol, General Conditions of the Contract for Construction Carlsbad Agenda Bill No. 16,845 regarding nesting season grading schedule (CDP) California Regional Water Quality Control Board “Order for Standard Certification” 00220 Geotechnical and Storm Water Pollution Prevention Plan Reports 00630 Guarantee Form 0081 0 Supplementary Conditions Exhibit A -Artwork Elements Exhibits 1 through 4 inclusive Aviara Community Park - Community Park City of Carlsbad NTD # 2000-0247 - 03 TABLE OF CONTENTS TC-1 DIVISION I : GENERAL REQUIREMENTS 01 110 01250 01 31 0 01 320 01 330 01420 01430 01450 01 500 01 570 01600 01610 01 730 01 770 Summary of Work Contract Considerations Request For Information Form Coordination and Meetings Progress Schedules Submittals References and Definitions Quality Control Testing Laboratory Services Construction Facilities and Temporary Controls Storm Water Pollution Prevention Plan Product Requirements Substitutions Substitution Request Form Cutting and Patching Contract Closeout DIVISION 2: SITE WORK 021 15 02235 0231 1 0231 5 02320 02500 0251 0 02520 02525 02530 0261 5 02620 02630 02631 0274 1 02751 02760 02790 02791 02792 02795 0281 0 02820 02832 02870 02875 02880 02881 02900 02951 02970 02975 - Tree Protection and Trimming Site Clearing, Demolition and Renovation Grading and Excavation Filling and Backfilling Trenching Off-Site Improvements Water Distribution Systems Public Reclaimed Water Distribution System Private Reclaimed Water Distribution System Sanitary Sewer Systems Geocomposite Subsurface Drainage Systems Subsurface Drainage Systems Storm Drainage Systems Landscape Drainage System Asphalt Concrete Paving Portland Cement Concrete Paving Pavement Marking Basketball Court Surfacing In-Filled Synthetic Turf Surfacing Synthetic Turf - Subsurface Construction Playground Surface Landscape Irrigation Chain Link Fencing and Gates Precast Concrete Cribwall Site Furnishings Site Pre-Engineered Shelter Structurellrellis Exterior Athletic and Field Equipment Playground Equipment and Structures Landscape Planting Landscape Maintenance Decomposed Granite Surfacing Landscape Boulders Aviara Community Park - Community Park City of Carlsbad NTD # 2000-0247 - 03 TABLE OF CONTENTS TC-2 DIVISION 3: CONCRETE - 031 00 Concrete Formwork 03200 Concrete Reinforcement 0331 0 Cast-ln-Place Concrete DIVISION 4: MASONRY 04065 Mortar and Grout 0481 0 Reinforced Unit Masonry System DIVISION 5: METALS 05120 Structural Steel 05500 Metal Fabrications 05501 Artwork and Art Poles 05521 Pipe and Tube Railings - Site DIVISION 6: WOOD AND PLASTICS 061 12 Framing and Sheathing 06180 Glue Laminated Structural Units 06200 Finish Carpentry 0641 0 Custom Casework DIVISION 7: THERMAL AND MOISTURE CONTROL I 071 30 Sheet Membrane Waterproofing 07140 Fluid Applied Waterproofing 071 90 Water-Repellent Coating 07322 Concrete Roofing Tile 07620 Sheet Metal Flashing and Trim 07720 Roof Accessories 07840 Firestopping 07900 Joint Sealers DIVISION 8: DOORS AND WINDOWS 081 10 Steel Doors and Frames 0821 2 Wood Doors 08310 Access Doors 08330 Overhead Coiling Doors 0871 0 Door and Gate Hardware 08800 Glazing 08820 Glass Mirrors DIVISION 9: FINISHES 09220 09260 09310 0951 1 09650 09675 09775 09900 09961 Portland Cement Plaster Gypsum Board Systems Ceramic Tile Acoustical Ceilings Resilient Flooring Special Floor Treatment Rigid Protective Wall Covering Painting Graffiti Resistant Coatings Aviara Community Park - Community Park City of Carlsbad NTD # 2000-0247 - 03 TABLE OF CONTENTS TC-3 DIVISION IO: SPECIALTIES 10100 Markerboards and Tackboards 10172 Solid Plastic Toilet Compartments 10210 Metal Wall Louvers 10440 Signs and Building Identification 10441 Site Directional and Vehicular Signage 10522 Fire Extinguishers and Cabinets 10800 Toilet and Washroom Accessories DIVISION 11 : EQUIPMENT NOT INCLUDED IN THIS PROJECT MANUAL DIVISION 12: FURNISHINGS NOT INCLUDED IN THIS PROJECT MANUAL DIVISION 13: SPECIAL CONSTRUCTION NOT INCLUDED IN THIS PROJECT MANUAL DIVISION 14: CONVEYING SYSTEM NOT INCLUDED IN THIS PROJECT MANUAL DIVISION 15: MECHANICAL 1501 0 Basic Mechanical Requirements 15330 Fire Extinguishing Sprinkler (Wet Pipe) 15400 Plumbing 15850 HVAC Equipment 15950 Building Automation Systems 15990 Balancing Air and Water Systems Aviara Community Park - Community Park City of Carlsbad NTD # 2000-0247 - 03 TABLE OF CONTENTS TC-4 DIVISION 16: ELECTRICAL e 16050 16061 16100 16110 16120 16130 16140 16170 16300 16425 16450 16460 16470 16475 16480 16510 16520 1661 5 16620 16720 16750 16782 Basic Electrical Requirements Dry Utility Requirements Electrical Requirements for Electrical Work Raceways, Boxes and Cabinets Wire and Cable (600 Volts and Below) Wire Connection Accessories Wiring and Control Devices Circuit and Motor Disconnects Sports Lighting Low Voltage Switchboards Grounding and Bonding General Purpose Transformers Circuit Breakers and Panelboards Overcurrent Protective Devices Motor Starters Interior Lighting Exterior Lighting Transient Voltage Surge Suppression (TVSS) Standby Diesel Generator Set Fire Detection and Alarm System Digital Security Alarm System Closed Circuit Television System END OF TABLE OF CONTENTS - Aviara Community Park - Community Park City of Carlsbad NTD # 2000-0247 - 03 TABLE OF CONTENTS TC-5 CITY OF CARLSBAD San Diego County California CONTRACT DOCUMENTS FOR AVIARA COMMUNITY PARK CONTRACT NO. 36991 Revised 10/08/03 Contract no. 36991 PaaeX1 .. . . TABLE OF CONTENTS Item Page Notice Inviting Bids ..., .................................................................................................................... 1 . Contractor's Proposal .................................................................................................................... 5 Bid Security Form .......................................................................................................................... 9 Bidder's Bond To Accompany Proposal ....................................................................................... IO Guide For Completing The "Designation Of Subcontractors" Form ............................................. 12 14 Designation Of Subcontractor and Amount Of Subcontractor's Bid Items ................................. Bidder's Statement Of Financial Responsibility ............................................................................ 15 Bidder's Statement Of Technical Ability And Experience ............................................................. 16 Bidder's Certificate Of Insurance For General Liability. Employers' Liability. Automotive Liability And Workers' Compensation ........................................................................................... 17 Bidder's Statement Of Re Debarment .......................................................................................... 18 Bidder's Disclosure Of Discipline Record ......................................................................... Non-Collusion Affidavit To Be Executed By Bidder And Submitted With Bid .............................. 19 21 Contract Public Works ......... : ........................................................................................................ 22 Labor And Materials Bond ............................................................................................................ 28 Faithful PerformanceNVarranty Bond ........................................................................................... 30 Optional Escrow Agreement For Surety Deposits In Lieu Of Retention ...................................... 32 e% b Revised 10/08/03 Contract no . 36991 Paae X2 SUPPLEMENTAL PROVISIONS . Part 1 General Provisions Section 1 Terms. Definitions Abbreviations And Symbols 1-1 Terms .................................................................................................................... 35 Definitions ............................................................................................................. 35 1-2 1-3 Abbreviations ........................................................................................................ 36 Section 2 2-3 Subcontracts ......................................................................................................... 37 2-4 Contract Bonds ..................................................................................................... 38 2-5 Plans And Specifications ...................................................................................... 38 2-1 0 Authority Of Board And Engineer ......................................................................... 39 Scope And Control Of The Work Section 3 Changes In Work 3-3 Extra Work ............................................................................................................ 39 3-5 Disputed Work ...................................................................................................... 40 3-4 Changed Conditions ............................................................................................. 39 Section 4 Control Of Materials 4-1 Materials And Workmanship ................................................................................. 43 4-2 Materials Transportation. Handling and Storage .................................................. 43 Section 5 Utilities I 5-1 Location ................................................................................................................. 43 5-4 Relocation ............................................................................................................. 44 5-6 Cooperation ........................................................................................................... 44 Section 6 6-2 6-7 6-8 Prosecution. Progress And Acceptance Of The Work 6-1 Construction Schedule And Commencement Of Work ........................................ 44 Prosecution Of Work ............................................................................................. 45 Time of Completion ............................................................................................... 45 Completion And Acceptance ................................................................................ 46 6-9 Liquidated Damages ............................................................................................. 46 Section 7 7-4 7-5 7-7 7-8 7-1 0 7-1 3 Responsibilities Of The Contractor 7-3 Liability Insurance ................................................................................................. 46 Workers' Compensation Insurance ...................................................................... 46 Permits .................................................................................................................. 47 Cooperation and Collateral Work ......................................................................... 47 Project Site Maintenance ...................................................................................... 47 Public Convenience And Safety ........................................................................... 48 Laws To Be Observed .......................................................................................... 52 Section 8 8-2 8-6 Facilities For Agency Personnel Field Office Facilities ............................................................................................. 52 Basis Of Payment ................................................................................................. 53 Section 9 Measurement and Payment 9-3 9-1 Measurement Of Quantities For Unit Price Work ................................................. 53 Payment ................................................................................................................ 53 . 4- %# Revised 10/08/03 Contract no . 36991 Paae X3 Part 2 Construction Materials - AS SPECIFIED IN PROJECT MANUAL PART 3 Construction Methods AS SPECIFIED IN PROJECT MANUAL 4-m kg Revised 10/08/03 Contract no. 36991 Paae X4 CITY OF CARLSBAD, CALIFORNIA NOTICE INVITING BIDS Until 4:OO P. M. on February IO, 2004, the City shall accept sealed bids, clearly marked as such, at the Faraday Center, 1635 Faraday Avenue, Carlsbad, CA 92008-7314, Attn: Purchasing Officer, by mail, delivery service or by deposit in the Bid Box located in the first floor lobby, at which time they will be opened and read, for performing the work as follows: Construction of Aviara Community Park, including earthwork, landscaping, athletic fields and miscellaneous structures. CONTRACT NO. 36991- AVIARA COMMUNITY PARK This bid and the terms of the Contract Documents and Supplemental Provisions constitute an irrevocable offer that shall remain valid and in full force for a period of 90 days and such additional time as may be mutually agreed upon by the City of Carlsbad and the Bidder. The work shall be performed in strict conformity with the plans and specifications as approved by the City Council of the City of Carlsbad on file with the City’s Recreation Department. The specifications for the work include the Standard SDecifications for Public Works Construction, current edition ands all adopted amendments, all hereinafter designated “SSPWC” as issued by the Southern California Chapter of the American Public Works Association, the American Institute of Architects A201 -1 997 General Conditions of the Contract for Construction, as amended by the Supplementary Conditions of this contract. Reference is hereby made to the plans and specifications for full particulars and description of the work. - The City of Carlsbad encourages the participation of minority and women-owned businesses. The City of Carlsbad encourages all bidders, suppliers, manufacturers, fabricators and contractors to utilize recycled and recyclable materials when available, appropriate and approved by the Engineer. The City of Carlsbad may disqualify a contractor or subcontractor from participating in bidding when a contractor or subcontractor has been debarred by the City of Carlsbad or another jurisdiction in the State of California as an irresponsible bidder. No bid will be received unless it is made on a proposal form furnished by the Purchasing Department. Each bid must be accompanied by security in a form and amount required by law. The bidder’s security of the second and third next lowest responsive bidders may be withheld until the Contract has been fully executed. The security submitted by all other unsuccessful bidders shall be returned to them, or deemed void, within ten (IO) days after the Contract is awarded. Pursuant to the provisions of law (Public Contract Code section 10263), appropriate securities may be substituted for any obligation required by this notice or for any monies withheld by the City to ensure performance under this Contract. Section 10263 of the Public Contract Code requires monies or securities to be deposited with the City or a state or federally chartered bank in California as the escrow agent. The escrow agent shall maintain insurance to cover negligent acts and omissions of the agent in connection with the handling of retentions under this section in an amount not less than $100,000 per contract. 4- ks Revised 10/08/03 Contract no. 36991 Paae 1 - The documents which comprise the Bidder's proposal executed including notarization where indicated are: 1. 2. 3. 4. 5. 6. 7. 8. Contractor's Proposal Bidder's Bond Non-Collusion Affidavit Designation of Subcontractors and Amount of Subcontractor Bid 9. and that must be completed and properly Certificate of Insurance. The riders covering the City, its officials, employees and volunteers may be omitted at the time of bid submittal but shall be provided by the Bidder prior to award of this con tract. Designation of Owner Operator/Lessors & 10.Bidder' s Statement Re Debarment Amount of Owner Operator/Lessor Work Bidder's Statement of Financial Responsibility 12.Escrow Agreement for Security Deposits - Bidder's Statement of Technical Ability and (optional, must be completed if the Bidder Experience wishes to use the Escrow Agreement for Acknowledgement of Addendum(a) Security). 13. All forms required by State of California Provisions for Reclaimed Water, including MBE and WBE provisions. 11 .Bidder's Disclosure Of Discipline Record All bids will be compared on the basis of the Engineer's Estimate. The Engineer's Estimate is $7,500,000. Except as provided herein a bid submitted to the City by a Contractor who is not licensed as a contractor pursuant to the Business and Professions Code shall be considered non-responsive and shall be rejected by the City. The Contractor shall state the license number, classification, and expiration date in the proposal under penalty of perjury. The following classification is acceptable for this contract: - A - GENERAL ENGINEERING Bidders questions durinq the bid period shall be submitted in writins via FAX to the Architect, NTD Architects, attention Norm Luker, at 858-277-7680 (FAX). Durinq the bid period, the City will not accept nor consider requests for substitution from any prospective bidder, subcontractor, materials or equipment manufacturer or broker, or any other party regarding any specified item, product, system, material, equipment, or fixture contained herein. If the Contractor intends to utilize the escrow agreement included in the contract documents in lieu of the usual 10% retention from each payment, these documents must be completed and submitted with the signed contract. The escrow agreement may not be substituted at a laterdate. Sets of drawings, project manual, and Contract documents may be obtained at the Cashier's Counter of the Faraday Center located at 1635 Faraday Avenue, Carlsbad, California 92008-731 4, for a non- refundable fee of $ 100.00 per set. If plans and specifications are to be mailed, the cost for postage shall be added. Copies of the project geotechnical report and Storm Water Pollution Prevention Plan (SWPPP) are available for review at the City's offices as located above, during normal business hours. The City will make copies of these two reports for prospective bidders at the rate of fifteen (1 5) cents per page. Any prospective bidder who is in doubt as to the intended meaning of any part of the drawings, specifications or other contract documents, or finds discrepancies in or omissions from the drawings and specifications may submit to the Engineer a written request for clarification or correction. Any response will be made only by a written addendum duly issued by the Engineer a copy of which will be mailed or delivered to each person receiving a set of the contract documents. No oral response will be made to such inquiry. Prior to the award of the contract, no addition to, modification of or interpretation of any provision in the contract documents will be given by any agent, employee or contractor of the City of Carlsbad except as hereinbefore specified. *- e= %$ Revised 10/08/03 Contract no. 36991 Paae 2 No bidder may rely on directions given by any agent, employee or contractor of the City of Carlsbad except as hereinbefore specified. "_ The City of Carlsbad reserves the right to reject any or all bids and to waive any minor irregularity or informality in such bids. The general prevailing rate of wages for each craft or type of worker needed to execute the Contract shall be those as determined by the Director of Industrial Relations pursuant to the sections 1770, 1773, and 1773.1 of the Labor Code. Pursuant to section 1773.2 of the Labor Code, a current copy of applicable wage rates is on file in the Office of the City Engineer. The Contractor to whom the Contract is awarded shall not pay less than the said specified prevailing rates of wages to all workers employed by him or her in the execution of the Contract. The Prime Contractor shall be responsible for insuring compliance with provisions of section 1777.5 of the Labor Code and section 4100 et seq. of the Public Contracts Code, "Subletting and Subcontracting Fair Practices Act." The City Engineer is the City's "duly authorized officer" for the purposes of section 4107 and 4107.5. The provisions of Part 7, Chapter 1, of the Labor Code commencing with section 1720 shall apply to the Contract for work. A pre-bid meeting and tour of the project site will not be held. Direct all questions to the Architect as previously directed. In case of a discrepancy between words and figures, the words shall prevail. All prices must be in ink or typewritten. Changes or corrections may be crossed out and typed or written in with ink and must be initialed in ink bya person authorized to sign for the Contractor. I Bidders are advised to verify the issuance of all addenda and receipt thereof one day prior to bidding. Submission of bids without acknowledgment of addenda may be cause of rejection of bid. The Contractor shall provide bonds to secure faithful performance and warranty of the work in an amount equal to one hundred percent (100%) of the Contract price on this project. The Contractor shall provide bonds to secure payment of laborers and materials suppliers, in an amount equal to one hundred percent (1 00%) of the Contract price on this project.: These bonds shall be kept in full force and effect during the course of this project, and shall extend in full force and effect and be retained by the City until they are released as stated in the Supplemental Provisions section of this contract. All bonds are to be placed with a surety insurance carrier admitted and authorized to transact the business of insurance in California and whose assets exceed their liabilities in an amount equal to or in excess of the amount of the bond. The bonds are to be accompanied by the following documents: 1) An original, or a certified copy, of the unrevoked appointment, power of attorney, by laws, or other instrument entitling or authorizing the person who executed the bond to do so. 2) A certified copy of the certificate of authority of the insurer issued by the insurance commissioner. If the bid is accepted, the City may require copies of the insurer's most recent annual statement and quarterly statement filed with the Department of Insurance pursuant to Article 10 (commencing with section 900) of Chapter 1 of Part 2 of Division 1 of the Insurance Code, within 10 calendar days of the insurer's receipt of a request to submit the statements. I . e- ts Revised 10/08/03 Contract no. 36991 Paae 3 Insurance is to be placed with insurers that: I) Have a rating in the most recent Best's Key Rating Guide of at least A-:V 2) Are admitted and authorized to transact the business of insurance in the State of California by the Insurance Commissioner. - Auto policies offered to meet the specification of this contract must: 1) Meet the conditions stated aboE for all insurance companies. 2) Cover any vehicle used in the performance of the contract, used onsite or offsite, whether owned, non-owned or hired, and whether scheduled or non-scheduled. The auto insurance certificate must state the coverage is for "any auto" and cannot be limited in any manner. Workers' compensation insurance required under this contract must be offered by a company meeting the above standards with the exception that the Best's rating condition is waived. The City does accept policies issued by the State Compensation Fund meeting the requirement for workers' compensation insurance. The Contractor shall be required to maintain insurance as specified in the Contract. Any additional cost of said insurance shall be included in the bid price. The award of the contract by the City Council is contingent upon the Contractor submitting the required bonds and insurance, as described in the contract, within ten days of bid opening. If the Contractor fails to comply with these requirements, the City may award the contract to the second or third lowest bidder and the bid security of the lowest bidder may be forfeited. The prime contractor and all subcontractors are required to have and maintain a valid City of Carlsbad Business License for the duration of the contract. Approved by the City Council of the City of Carlsbad, California, by Resolution No. ad.3 34@ , - adopted on the / 0 +6 day of zkc@ rn he/r ,20G3 . (RESOLUTION NUMBER ti DATE AND CITY CLERK SI~NATURE & DATE OF SIGNATURE ARE INSERTED BY THE PURCHASING DEPARTMENT) 4- ts Revised 10/08/03 Contract no. 36991 Paae 4 , e CITY OF CARLSBAD CONTRACT NO. 36991- AVIARA COMMUNITY PARK CONTRACTOR'S PROPOSAL mniv 3iva City Council '* / 7f91/~ City of Carlsbad 1200 Carlsbad Village Drive Carlsbad, California 92008 The undersigned declares he/she has carefully examined the location of the work, read the Notice Inviting Bids, examined the Plans, Specifications, Supplemental Provisions and addenda thereto, and hereby proposes to furnish all labor, materials, equipment, transportation, and services required to do all the work to complete Contract no. 36991 in accordance with the Plans, Specifications, all Contract Requirements and addenda thereto and that he/she will take in full payment therefor the following lump sum prices for each item complete, to wit: 2 :a3auomtI aNV a3SS3NllM 'Q3N3d0 Description - Total 1. ICI' Lump sum in numbers for the entire scope of work with the exception , . I' A 4- of the reclaimed water as defined in the Contmct Documents. $ 7.414,q,O 'G $ n2; a?, I-,; 2. Lump sum in numbers for the reclaimed water line as defined in the State of California Boiler Plate Provisions excludinq sheetinq and shonnq. 3. Lump sum in numbers for the reclaimed water line sheeting and shoring as defined in General Note 15 on Plan Sheet 2. Total amount of bid for Item No. 1 above in words:: U I' , TOTAL LUMP SUM OF ITEMS NO. 1,2 AND 3 ABOVE IN WRDS:; Y{fh YYJ I jlififlc c/e - ;fl.e-, I TOTAL LUMP SUM OF IkMS NO. 1,2 AND 3 ABOVE IN NUM3ERS: $7,f, 4 qq. (3 0 "._* \@ Revised 10/08/03 Contract no. 36991 Paae 5 The basis of the bid award will be the sum of Items I, 2 and 3 above. Price(s} given above are firm for 90 days after date of bid opening. In case of a discrepancy between words and figures, the words shall prevail. Add enda/Ad d end um No( s) . this proposal. hadhave been received and islare included in I The Undersigned has carefully checked all of the above figures and understands that the City will not be responsible for any error or omission on the part of the Undersigned in preparing this bid. The Undersigned agrees that in case of default in executing the required Contract with necessary bonds and insurance policies within ten (IO) days from the date of award of Contract by the City Council of the City of Carlsbad, the City may administratively authorize award of the contract to the second or third lowest bidder and the bid security of the lowest bidder may beforfeited. The Undersigned bidder declares, under penalty of perjury, that the undersigned is licensed to do business or act in the capacity of a contractor within the State of California, validly licensed under license number 4 3 9 4 0 7 , classification A R ASR which expires on 5/31/05 , and that this statement is true and correct and has the legal effect of an affidavit. A bid submitted to the City by a Contractor who is not licensed as a contractor pursuant to the Business and Professions Code shall be considered nonresponsive and shall be rejected by the City 5 7028.15(e}. In all contracts where federal funds are involved, no bid submitted shall be invalidated by the failure of the bidder to be licensed in accordance with California law. However, at the time the contract is awarded, the contractor shall be properly licensed. Public Contract Code 3 201 04. The Undersigned bidder hereby represents as follows: c 1. That no Council member, officer agent, or employee of the City of Carlsbad is personally interested, directly or indirectly, in this Contract, or the compensation to be paid hereunder; that no representation, oral or in writing, of the City Council, its officers, agents, or employees has inducted him/her to enter into this Contract, excepting only those contained in this form of Contract and the papers made a part hereof by its terms; and 2. That this bid is made without connection with any person, firm, or corporation making a bid for the same work, and is in all respects fair and without collusion or fraud. Accompanying this proposal is Bond (Cash, Certified Check, Bond or Cashier's Check) for ten percent (10%) of the amount bid. The Undersigned is aware of the provisions of section 3700 of the Labor Code which requires every employer to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that code, and agrees to comply with such provisions before commencing the performance of the work of this Contract and continue to comply until the contract is complete. The Undersigned is aware of the provisions of the Labor Code, Part 7, Chapter 1, Article 2, relative to the general prevailing rate of wages for each craft or type of worker needed to execute the Contract and agrees to comply with its provisions. *w ts Revised 10/08/03 Contract no. 36991 Paae 6 License Detail Page 1 of 2 CALIFORNIA CONTRACTORS STATE LICENSE BOARD License Detail Contractor License # 439407 DISCLAIMER A license status check provides information taken from the CSLB license data base. Before relying on this information, you should be aware of the following limitations: CSLB complaint disclosure is restricted by law (B&P 7124.6). If this entity is subject to public complaint disclosure, a link for complaint disclosure will appear below. Click on the link or button to obtain complaint and/or legal action information. are disclosed. the arbitration. onto the Board's license data base. Per B&P 7071.1 7, only construction related civil judgments known to the CSLB Arbitrations are not listed unless the contractor fails to comply with the terms of Due to workload, there may be relevant information that has not yet been entered Extract Date: 02/10/2004 * * * Business Information * * * A DOUGLAS E BARNHART INC P 0 BOX 270399 Business Phone Number: (858) 385-8200 Entity: Corporation Issue Date: 05/09/1983 Expire Date: 05/31/2005 * * * License Status * * * SAN DIEGO, CA 92198-2399 This license is current and active. All information below should be reviewed. * * * Classifications * * * Description GENERAL ENGINEERING CONTRACTOR IIB IIGENERAL BUILDING CONTRACTOR * * * Certifications * * * I 1 2/ 10/2004 License Detail I CertJ Page 2 of 2 Description ASBESTOS - (for bidding purposes only) CONTRACTOR'S BOND: This license filed Contractor's Bond number 24006301 in the amount of $10,000 with the bonding company LIBERTY MUTUAL INSURANCE COMPANY. Effective Date: 01/01/2004 Contractor's Bondina History BOND OF QUALIFYING INDIVIDUAL(1): The Responsible Managing Officer (RMO) DOUGLAS EDWARD BARNHART certified that he/she owns 10 percent or more of the voting stocklequity of the corporation. A bond of qualifying individual is not required. Effective Date: 05/09/1983 * * * Workers Compensation Information * * * This license has workers compensation insurance with the ST PAUL FIRE AND MARINE INSURANCE COMPANY Policy Number: WK6100082 Effective Date: 04/01/2003 Expire Date: 04/01/2004 Workers Compensation History Personnel listed on this license (current or disassociated) are listed on other licenses. Personnel List Other Licenses License Number Rewt Contractor Name Request Personnel Name Request Salesperson Request Salesperson Name Request 0 2003 State of California. Conditions of Use Privacy Policy 2/ 1 0/2004 Personnel List Page 1 of 1 7 Personnel List Contractor License # 439407 Click on the person's name to see a more detailed page of information on that person. Name STEPHEN SAMUEL NISHIMUTA 4 STEVEN GRANT MARTIN BRUCE WILLIAM ESKEBERG DOUGLAS EDWARD BARNHART NANCY JANE BARNHART ARTHUR LEE BARNHART MICHAEL FRANCIS HALL WILLIAM ROBERT SHARP LAUREL ANNE NELSON PATRICK MICHAEL SCOGIN Title VICE PRESIDENT TREASURER VICE PRESIDENT RMO/E SECRETARY coo VICE PRESIDENT PRESIDENT VICE PRESIDENT TREASURER Association Disassociation Class More Date Date Class 06/04/1997 09/17/1999 02/25/1991 1 1/18/1994 04/27/1987 02/25/1991 05/09/1983 A More 05/09/1983 02/25/1991 1 1/18/1994 05/02/1998 1 1 /18/1994 06/04/1997 05/07/1999 06/04/1997 04/05/200 1 - License __ Numkr Request Contractor Name Request Personnel Name Request Salesperson Request Salesperson Name Request 0 2003 State of California. Conditions of Use Privacy Policy 2/ 10/2004 t? c IF A SOLE OWNER OR SOLE CONTRACTOR SIGN HERE: n/a (1) Name under which business is conducted (2) Signature (given and surname) of proprietor (3) Ptace of Business (Street and Number) City and State (4) Zip Code Telephone No. (5) E-Mail IF A PARTNERSHIP, SIGN HERE: (1) Name under which business is conducted nla (2) Signature (given and surname and character of partner) (Note: Signature must be made by a general partner) (3) Ptace of Business City and State (Street and Number) (4) Zip Code Telephone No. (5) E-Mail *% % Revised 10/08/03 Contract no. 36991 Paae 7 IF A CORPORATION. SIGN HERE: e (1) Name under which business is conducted 5 , William R. Sharp (Signhe) (2) President (Title) Impress Corporate Seal here California Incorporated under the laws of the State of Place of Business 10760 Thornmint Road City and State (Street and Number) San Diego, CA (858) 385-8200 Telephone No. 92127 Zip Code bsharp@debinc.com E-Mail NOTARIAL ACKNOWLEDGMENT OF EXECUTION BY ALL SIGNATORIES MUST BE AlTACHED List below names of president, vice president, secret partnership, list names of all general partners, and managing Douglas E. Barnhart, CEO Arthur L. Barnhart, COO Nancy J. Barnhart, SecretaryITreasurer William R. Sharp, President Brian H. Cahill, Executive Vice President e= a@ Revised 10/08/03 Contract no. 36991 Paae 8 gem, _- r_- - CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT - - -- -- State of California I J County of sn Dieso ,- /-- to be the person(s) whose name(s) islare subscribed to the within instrument and acknowledged to me that helshelthey 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. OPTlONA L Though the information below is not required by law, it may prove valuable to persons re/ying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document: M-tifahf Document Date: Vlono> Signer(s) Other Than Named Above: ylov\p/ Capacity(ies) Claimed by Signer Signer’s Name: a4wL I Corporate Officer - Title(+ V&f1(3 11 T 0 Limited 0 General 0 Attorney-in-Fact 0 Trustee Guardian or Conservator 0 Other: I . Signer Is Representing: )I I‘ 0 1999 National Notary Assomallon - 9350 De Solo Am.. P.O. Box 2402 - Chatsworth, CA 913112402 - ww.natlonahotary.org Prod No. 5907 Reorder. Call Toll-Free 1-800-876-6827 BID SECURITY FORM (Check to Accompany Bid) CONTRACT NO. 36991- AVIARA COMMUNITY PARK (NOTE: The following form shall be used if check accompanies bid.) Accompanying this proposal is a *Certified *Cashiers check payable to the order of CITY OF CARLSBAD, in the sum of dollars ($ )1 this amount being ten percent (10%) of the total amount of the bid. The proceeds of this check shall become the property of the City provided this proposal shall be accepted by the City through action of its legally constituted contracting authorities and the undersigned shall fail to execute a contract and furnish the required Performance, Warranty and Payment Bonds and proof of insurance coverage within the stipulated time; otherwise, the check shall be returned to the undersigned. BIDDER *Delete the inapplicable word. (NOTE: If the Bidder desires to use a bond instead of check, the Bid Bond form on the following pages shall be executed-the sum of this bond shall be not less than ten percent (1 0%) of the total amount of the bid.) *% % Revised 10/08/03 Contract no. 36991 Paae 9 BIDDER'S BOND TO ACCOMPANY PROPOSAL CONTRACT NO. 36991- AVIARA COMMUNITY PARK KNOW ALL PERSONS BY THESE PRESENTS: Thatwe, douglas e. barnhart, inc. , as Principal, and Liberty Mutual Insurance Company as Surety are held and firmly bound unto the City of Carlsbad, California, in an amount as follows: (must be at least ten percent (10%) of the bid amount) Ten Percent (10%) of the *for which payment, well and truly made, we bind ourselves, our heirs, executors and administrators, SuCCeSsorS or assigns, jointly and severally, firmly by these presents. * Total Amount of the Bid THE CONDITION OF THE FOREGOING OBLIGATION IS SUCH that if the proposal of the above- bounden Principal for: AVIARA COMMUNITY PARK, CONTRACT NO. 36991 in the City of Carlsbad, is accepted by the City Council, and if the Principal shall duly enter into and execute a Contract including required bonds and insurance policies within ten (10) days from the date of award of Contract by the City Council of the City of Carlsbad, being duly notified of said award, then this obligation shall become null and void; otherwise, it shall be and remain in full force and effect, and the amount specified herein shall be forfeited to the said City. ... *.. I.. ... I.. ... ... ... ... *.. ... ... .I. ... e.. ... ... *.. Revised 10/08/03 Contract no. 36991 Pam 10 R I. In the event Principal executed this bond as an individual, it is agreed that the death of Principal shall not exonerate the Surety from its obligations under this bond. 04 ,20 * Executed by PRINCIPAL this 3rd dm of February PRINCIPAL: douglas e.,barnhart, inc. 0 (print name here) President, douglas e. barnhart,inc. (Title and (sign here) 0 Nancy J. Barnhart Executed by SURETY this 3rd day of February 120 04. SURETY: Liberty Mutual Insurance Company (name of Suretv) ‘505 S. Main-Street, Suite 830 Orange, CA 92868 (address of Surety) (714) 542-9458 (telephone number of Surety) Y (print name here) By: Secretary / Treasurer, douglas e. barnhart inc (title and organization of signatory) Jeri Apodaca (printed name of Attomey-in-Fact) - (Attach corporate resolution showing current power of attorney.) (Proper notarial acknowledgment of execution by PRINCIPAL and SURETY must be attached.) (President or vice-president and secretary or assistant secretary must sign for corporations. If only one officer signs, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering that officer to bind the corporation.) APPROVED AS TO FORM: RONALD R. BALL City Attorney By; WyKity’ Attorney rf5 Revised 10/08/03 Contract no. 36991 Paae 11 GUIDE FOR COMPLETING THE “DESIGNATION OF SUBCONTRACTORS” FORM REFERENCES Prior to preparation of the following Subcontractor disclosure form Bidders are urged to review the definitions in section 1-2 of the SSPWC (“Greenbook”) and in the Contract Documents, including Supplemental Provisions to this Contract, especially, “Bid”, “Bidder”, “Contract“, “Contractor“, “Contract Price”, “Contract Unit Price”, “Engineer”, “Subcontractor” and “Work” and the definitions in section 1-2 of the Supplemental Provisions especially “Own Organization.” Bidders are further urged to review sections 2-3 SUBCONTRACTS of the Greenbook and section 2-3.1 of these Supplemental Provisions. CAUTIONS This form will be used by the Agency to determine the percentage of work that the Bidder proposes to perform. Bidders are cautioned that failure to provide complete and correct information may result in rejection of the bid as non-responsive. Any bid that proposes performance of more than 25 percent of the work by subcontractors or otherwise to be preformed by forces other than the Bidder’s own organization will be rejected as non-responsive. Specialty items of work that may be so designated by the Engineer on the “Contractor’s Proposal” are not included in computing the percentage of work proposed to be performed by the Bidder. See Section 2-3.2 of the Supplementary Provisions defining specialty items of work. INSTRUCTIONS The Bidder shall set forth the name and location of business of each and every subcontractor whom the Bidder proposes to perform work or labor or render service in or about the work or improvement, and every subcontractor licensed as a contractor by the State of California whom the Bidder proposes to specially fabricate and install any portion of the work or improvement according to detailed drawings contained in the plans and specifications in excess of one-half of one percent (0.5%) of the Bidder’s total bid or, in the case of bids or offers for the construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($1 0,000) whichever is greater. Said name(s) and location(s) of business of subcontractor(s) shall be set forth and included as an integral part of the bid offer. The Designation of Subcontractors form must be submitted as a part of the Bidder’s sealed bid. Failure to provide complete and correct information may result in rejection of the bid as non- responsive. Suppliers of materials from sources outside the limits of work are not subcontractors. The value of materials and transport of materials from sources outside the limits of work, as shown on the plans, shall be assigned to the Contractor or the Subcontractor as the case may be, that the Bidder proposes as installer of said materials. The value of material incorporated in any Subcontractor- installed bid item that is supplied by the Bidder shall be included as a part of the work that the Bidder proposes to be performed by the Subcontractor installing said item. When a Subcontractor has a Carlsbad business license, the number must be entered on the proper form. If the Subcontractor does not have a valid business license, enter “NONE” in the appropriate space. When the Bidder proposes using a Subcontractor to construct or install less than I00 percent of a bid item, the Bidder shall attach an explanation sheet to the Designation of Subcontractor form. The explanation sheet shall clearly apprise the City of the specific facts that show the Bidder proposes to perform no less than Twenty Five percent (25%) of the work with its own forces. Determination of the subcontract amounts for purposes of award of the contract shall be determined by the City Council in conformance with the provisions of the contract documents and the Supplemental Provisions. The decision of the City Council shall be final. (r 4ii k? Revised 10/08/03 Contract no. 3699 1 Paae 12 Contractor is prohibited from performing any work on this project with a subcontractor who is ineligible to perform work on a public works project pursuant to Labor Code Sections 1771.1 or 1777.7. Bidders shall make any additional copies of the disclosure forms as may be necessary to provide the required information. The page number and total number of additional form pages shall be entered in the location provided on each type of form so duplicated. C 4- k$ Revised 10/08/03 Contract no. 36991 Paae 13 I. CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT No. 5907 - _- A State of California County of Orange On February 3, 2004 before me, Rhonda C. Abel, Notary Public , personally appeared Jeri Apodaca , personally known to me - OR - 0 proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) idare 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 hislherltheir signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. DATE NAME, TITLE OF OFFICER - E.G., "JANE DOE, NOTARY PUBLIC" NAME@) OF SIGNER(S) WITNESS my hand and omal seal. . SIGNATURE OF NOTARY OPTIONAL Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent reattachment of this form. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT 0 INDIVIDUAL 0 CORPORATE OFFICER TITLE(S) TITLE OR TYPE OF DOCUMENT LIMITED E GENERAL 0 PARTNER(S) Ix] ATTORNEY-IN-FACT 0 TRUSTEE(S) 0 GUARDIAN/CONSERVATOR NUMBER OF PAGES 0 OTHER: SIGNER IS REPRESENTING: NAME OF PERSON(S) OR ENTIN(IES) DATE OF DOCUMENT SIGNER(S) OTHER THAN NAMED ABOVE S-40671GEEF 2/98 0 1993 NATIONAL NOTARY ASSOCIATION 8236 Remmet Ave., P.O. Box 7184 - Canoga Park, CA 91309-71t . THIS POWER OF AlTORNEY IS NOT VALID UNLESS IT IS PRINTED ON RED BACKGROUND. 1224066 This Power of Attorney limits the acts of those named herein, and they have no authority to bind the Company except in the manner and to the extent herein stated. LIBERTY MUTUAL INSURANCE COMPANY POWER OF ATTORNEY r BOSTON, MASSACHUSETTS KNOW ALL PERSONS BY THESE PRESENTS: That Liberty Mutual Insurance Company (the "Company"), a Massachusetts stock insurance company, pursuant to and by authority of the By-law and Authorization hereinafter set forth, does hereby name, constitute and appoint RHONDA C. ABEL, NANEVE MARIELLA-MYERS, JAMES A. SCHALLER, JANE KEPNER, MICHAEL D. PARIZINO, JERl APODACA, LINDA ENRIGHT, PATRtClA H. BREBNER, LEIGH MCDONOUGH, ALEXIS H. BRYAN, ALL OF THE CITY OF IRVINE, STATE OF CALIFORNIA .............................................................................................................................................. , each individuak if there be more than one named. its true and lawful attomev-in-fact to make, execute. seal. acknowledae and deliver, for and on its behalf as sure and as its act and deed, an and all undertakinqs, bonds, re&nizances and other surety obli ations in tlhe penal sum not exceeding ONE HUNDR~D SEVENTY-FIVE MILL~N AND oo/ioo** ************** DOLLARS ($ 175,~0,000.80***** ) each, and the execution of such undertakings, bonds, recognizances and other surety obligations, in pursuance of these presents, shall be as binding upon the Company as if they had been duly signed by the president and attested by the secretary of €he Company in their own proper persons. That this power is made and executed pursuant to and by au ARTICLE Xlll - Execution of Contracts: Section 5. Sur Any officer of the Company authorized for that purpose in writing by the chairman or the president, and subject to such limitations as the chairman or the president may prescribe, shall appoint such attorneys-in-fact, as may be necessary to act in behalf of the Company to make, execute, seal, acknowledge and deliver as surety any and all undertakings, bonds, recognizances and other surety obligations. Such attorneys-in-fact, subject to the limitations set forth in their respective powers of attorney, shall have full power to bind the Company by their signature and execution of any such instruments and to attach thereto the seal of the Company. When so executed such instruments shall be as binding as if signed by the president and attested by the secretary. By the following instrument the chairman or the president has authorized the officer or other official named therein to appoint attorneys-in-fact: Pursuant to Article XIII, Section 5 of the By-Laws, Garnet W. Elliott, Assistant Secretary of Liberty Mutual Insurance Company, is hereby authorized to appoint such attorneys-in-fact as may be necessary to act in behalf of the Company to make, execute, seal, acknowledge and deliver as surety any and all undertakings, bonds, recognizances and other surety obligations. That the By-law and the Authorization set forth above are true copies thereof and are now in full force and effect. IN WITNESS WHEREOF, this Power of Attorney has been subscribed by an authorized officer or official of the Company and the corporate seal of ' iberty Mutual Insurance Company has been affixed thereto in Plymouth Meeting, Pennsylvania this 19th day of March 2003. LIBERTY MUTUAL INSURANCE COMPANY COMMONWEALTH OF PENNSYLVANIA ss COUNTY OF MONTGOMERY Garnet W. Elliott, Assistant Secretary On this 19th day of March ,2003, before me, a Notary Public, personally came Garnet W. Elliott, to me known, and acknowledged that he is an Assistant Secretary of Liberty Mutual Insurance Company; that he knows the seal of said corporation; and that he executed the above Power of Attorney and IN TESTIMONY o subscribed my name and affixed my notarial seal at Plymouth Meeting, Pennsylvania, on the day and year first above writte ate seal of Liberty Mutual Insurance Company thereto with the authority and at the direction of said corporation. CERTIFICATE I, the undersigned, A is a full, true and cor XIII, Section 5 of the By-laws of Liberty Mutual Insurance Company. ney of which the foregoing r official who executed the This certificate and the above power of attorney may be signed by facsimile or mechanically reproduced signatures under and by authority of the following vote of the board of directors of Liberty Mutual Insurance Company at a meeting duly called and held on the 12th day of March, 1980. VOTED that the facsimile or mechanically reproduced signature of any assistant secretary of the company, wherever appearing upon a certified copy of any power of attorney issued by the company in connection with surety bonds, shall be valid and binding upon the company with the same force and effect as though manually affixed. r IN TESTIMONY WHEREOF, hav hereunto subscribed my name and affixed the corporate seal of the said company, this 3rd day of February . hoot , A BY David M. Carey, 'Ass&t Secretary CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT rc. 0 1999 National Notary Assocktion 9350 De Soto Ave., P.O. Box 2402 - Chatsworth. CA 91313-2402 - www.nationalnotary.org Prod. No. 5907 Reorder: Call Toll-Free 1-800-876-6827 State of California I 5 a 1 ss. Countyof , On %[o+ before me, k mi& YMO~L~, FJ0.ttk-y Publl’C personally appeared <of Signer@) I Date personally known to me 0 proved to me on the basis of satisfactory evidence to be the person(s) whose narne(s) islare subscribed to the within instrument and acknowledged to me that he/she/they executed the same in hts/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@) acted, executed the instrument. 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. Description of Attached Document Title or Type of Document: , bd Document Date: .d b+ Number of Pages: 7 Signer@) Other Than Named Above: . 5 UYek Capacity(ies) Claimed by Signer Signer’s Name: 0 Individual U Corporate Officer - Title(s): Partner - 0 Limited 0 Gen 17 Attorney-in-Fact 0 Trustee Guardian or Conservator 0 Other: Signer Is Representing: Company Profile Page 1 of 2 Company Profile _- LIBERTY MUTUAL INSURANCE COMPANY 175 BERKELEY ST BOSTON, MA 021 16 800-262-8238 Agent for Service of Process JERE KEPRIOS, C/O CT CORPORATION SYSTEM 818 WEST SEVENTH STREET, 2ND FLOOR LOS ANGELES, CA 90017 Unable to Locate the Agent for Service of Process? Reference Information NAIC #: 23043 NAIC Group #: 0111 California Company ID #: 1022-3 Date authorized in California: Company Type: Property & Casualty State of Domicile: MASSACHUSETTS August 30, 1929 License Status: UNLIMITED-NORMAL Lines of Insurance Authorized to Transact The company is authorized to transact business within these lines of insurance. For an explanation of any of these terms, please refer to the glossary. AIRCRAFT AUTOMOBILE BOILER AND MACHINERY BURGLARY COMMON CARRIER LIABILITY CREDIT DISABILITY FIRE LIABILITY MARINE http://cdinswww.insurance.ca.gov/pls/wu_co_prof/idb_co_prof~utl.get_co_prof?p~EID=3O ... 2/10/2004 Company Profile MISCELLANEOUS PLATE GLASS SPRINKLER SURETY TEAM AND VEHICLE WORKERS' COMPENSATION Company Complaint Information ComDanv Enforcement Action Documents ComDanv Performance & Comparison Data Composite Complaint Studies Want More? HelD Me Find a Company Representative in My Area Financial Rating Organizations Last Revised - January 06,2004 0533 PM Copyright Q California Department of Insurance Disclaimer Page 2 of 2 http://cdinswww.insurance.ca.gov/pls/wu~co~prof/idb_co~prof_utl.get~co~prof?p_EID=30 ... 2/10/2004 DESIGNATION OF SUBCONTRACTOR AND AMOUNT OF SUBCONTRACTOR'S BID ITEMS CONTRACT NO. 36991- AVIARA COMMUNITY PARK The Bidder certifies that it has used the sub-bid of the following listed subcontractors in preparing this bid for the Work and that the listed subcontractors will be used to perform the portions of the Work as designated in this list in accordance with applicable provisions of the specifications and section 4100 et seq. of the Public Contract Code, "Subletting and Subcontracting Fair Practices Act." The Bidder further certifies that no additional subcontractor will be allowed to perform any portion of the Work in excess of one-half of one percent (0.5%) of the Bidder's total bid, or in the case of bids or offers for construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($lO,OOO), whichever is greater, and that no changes in the subcontractors listed work will be made except upon the prior approval of the Agency. SUBCONTRACTOR'S BID ITEMS Location of Business Subcontractor - / 2 3 4 5 6 Subcontractor's License No.* Page - I of 4 pages of this Subcontractor Designation form * Pursuant to section 4104 (a)(2)(A) California Public Contract Code, receipt of the information preceded by an asterisk may be submitted by the Bidder up to 24 hours afler the deadline for submitting bids contained in the "Notice Inviting Bids." ** ES Revised 10/08/03 Contract no. 36991 Paae 14 DESIGNATION OF SUBCONTRACTOR AND AMOUNT OF SUBCONTRACTOR'S BID ITEMS CONTRACT NO. 36991- AVIARA COMMUNITY PARK The Bidder certifies that it has used the sub-bid of the following listed subcontractors in preparing this bid for the Work and that the listed subcontractors will be used to perform the portions of the Work as designated in this list in accordance with applicable provisions of the specifications and section 4100 et seq. of the Public Contract Code, "Subletting and Subcontracting Fair Practices Act." The Bidder further certifies that no additional subcontractor will be allowed to perform any portion of the Work in excess of one-half of one percent (0.5%) of the Bidder's total bid, or in the case of bids or offers for construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($lO,OOO), whichever is greater, and that no changes in the subcontractors listed work will be made except upon the prior approval of the Agency. 3 % Gi /o SUBCONTRACTOR'S BID ITEMS Location of Business Subcontractor Subcontractor's License No.* Page 3. of 4- pages of this Subcontractor Designation form Pursuant to section 4104 (a)(2)(A) California Public Contract Code, receipt of the information preceded by an asterisk may be submitted by the Bidder up to 24 hours afler the deadline for submitting bids contained in the "Notice Inviting Bids." I 4- %$ Revised 10/08/03 Contract no. 3699 1 Paae 14 DESIGNATION OF SUBCONTRACTOR AND AMOUNT OF SUBCONTRACTOR'S BID ITEMS CONTRACT NO. 36991- AVIAM COMMUNITY PARK The Bidder certifies that it has used the sub-bid of the following listed subcontractors in preparing this bid for the Work and that the listed subcontractors will be used to perform the portions of the Work as designated in this list in accordance with applicable provisions of the specifications and section 4100 et seq. of the Public Contract Code, "Subletting and Subcontracting Fair Practices Act." The Bidder further certifies that no additional subcontractor will be allowed to perform any portion of the Work in excess of one-half of one percent (0.5%) of the Bidder's total bid, or in the case of bids or offers for construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($lO,OOO), whichever is greater, and that no changes in the subcontractors listed work will be made except upon the prior approval of the Agency. SUBCONTRACTOR'S BID ITEMS I$ IS /s Portion of Work* Subcontractor Name and Location of Business Subcontractor I I I Subcontractor's License No.* Page 3 of pages of this Subcontractor Designation form ' Pursuant to section 4104 (a)(Z)(A) California Public Contract Code, receipt of the information preceded by an asterisk may be submitted by the Bidder up to 24 hours after the deadline for submitting bids contained in the "Notice Inviting Bids." 4% %@ Revised 10/08/03 Contract no. 3699 1 Paae 14 DESIGNATION OF SUBCONTRACTOR AND AMOUNT OF SUBCONTRACTOR'S BID ITEMS CONTRACT NO. 36991- AVIARA COMMUNITY PARK 23 2-3 The Bidder certifies that it has used the sub-bid of the following listed subcontractors in preparing this bid for the Work and that the listed subcontractors will be used to perform the portions of the Work as designated in this list in accordance with applicable provisions of the specifications and section 4100 et seq. of the Public Contract Code, "Subletting and Subcontracting Fair Practices Act." The Bidder further certifies that no additional subcontractor will be allowed to perform any portion of the Work in excess of one-half of one percent (0.5%) of the Bidder's total bid, or in the case of bids or offers for construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($lO,OOO), whichever is greater, and that no changes in the subcontractors listed work will be made except upon the prior approval of the Agency. : Subcontractor's License No.* Page 4 of 4 pages of this Subcontractor Designation form Pursuant to section 4104 (a)(2)(A) California Public Contract Code, receipt of the information preceded by an asterisk may be submitted by the Bidder up to 24 hours after the deadline for submitting bids contained in the "Notice Inviting Bids." 4- %# Revised 10/08/03 Contract no. 36991 Paae 14 douglas e. barnhart, inc. February 11,2004 Sent Via Facsimile / Airbourne Express City of Carlsbad 1635 Faraday Avenue Carlsbad, CA 92008 Attn: Mr. Kevin Davis RE: AVIARA COMMUNITY PARK, CONTRACT NO. 36991 24 HOUR BID REQUIREMENTS Dear Mr. Davis, Attached are our completed Designation of Subcontractor and Amount of Subcontractor’s Bid Items for the above project per the specifications requirements. - In addition, per the State MBE/DBE provisions included for this project our remaining MBE/DBE Positive Effort Documentation will follow under separate cover within the 10 days specified. We look forward to a mutually rewarding relationship on this project. If you should have any questions, please don’t hesitate to contact me directly. Respectively Submitted, douglas e. barnhart, inc. Chief Estimator cc: Douglas E. Barnhart, deb William R. Sharp, deb Bid File Post Office Box 270399. San Diego, California 92198-2399, (858) 385-8200, FAX (858) 385-8201 www.debconstruct.com DESIGNATION OF SUBCONTRACTOR AND AMOUNT OF SUBCONTRACTOR'S BID ITEMS CONTRACT NO. 36991- AVJARA COMMUNITY PARK The Bidder certifies that it has used the sub-bid of the following listed subcontractors in preparing this bid for the Work and that the listed subcontractors will be used to perform the portions of the Work as designated in this list in accordance with applicable provisions of the specifications and section 4100 et seq. of the Public Contract Code, "Subletting and Subcontracting Fair Practices Act." The Bidder further certifies that no additional subcontractor will be allowed to perform any portion of the Work in excess of one-half of one percent (0.5%) of the Bidder's total bid, or in the case of bids or offers for construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($10,000), whichever is greater, and that no changes in the subcontractors listed work will be made except upon the prior approval of the Agency. su Ill Portion of Work* 3CONTRACTORS BID ITEMS Subcontractor Name and I Amountof 11 Location of Business Gradina / Earthwork AC Pavina Svnthetic Turf 92064 I id# 798377 Femg / C-, 17566 Vwte Rd: Lakeslde. CA , $172,700 Area-West Fence Co. .. U I Landscapina / Plantina 2840 E. La Cresta. Anaheim, CA I $870,000 I J Subcontractor's License No.* Page 1 of pages of this Subcontractor Designation form Pursuant to section 4104 (a)(2)(A) California Public Contract Code, receipt of the information preceded by an asterisk may be submitted by the Bidder up to 24 hours afler the deadline for submitting bids contained in the "Notice Inviting Bids." DESIGNATION OF SUBCONTRACTOR AND AMOUNT OF SUBCONTRACTOR’S BID ITEMS CONTRACT NO. 36991- AVIARA COMMUNITY PARK Electrical The Bidder certifies that it has used the subkid of the following listed subcontractors in preparing this bid for the Work and that the listed subcontractors will be used to perform the portions of the Work as designated in this list in accordance with applicable provisions of the specifications and section 4100 et seq. of the Public Contract Code, ”Subletting and Subcontracting Fair Practices Act.” The Bidder further certifies that no additional subcontractor will be allowed to perform any portion of the Work in excess of one-half of one percent (0.5%) of the Bidder’s total bid, or in the case of bids or offers for construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($10,000), whichever is greater, and that no changes in the subcontractors listed work will be made except upon the prior approval of the Agency. I Steiny and Company, Inc. 1083 Cuyamaca Street, El Caion $823,000 LIC# 161 2 13 A SUBCONTRACTOR’S BID ITEMS Location of Business Subcontractor Subcontractor‘s License No.* Page 2 of 3 pages of this Subcontractor Designation form Pursuant to section 4104 (a)(2)(A) California Public Contract Code, receipt of the information preceded by an asterisk may be submitted by the Bidder up to 24 hours after the deadline for submitting bids contained in the “Notice Inviting Bids.” .- DESIGNATION OF SUBCONTRACTOR AND AMOUNT OF SUBCONTRACTOR'S BID ITEMS CONTRACT NO. 36991- AVIARA COMMUNITY PARK The Bidder certifies that it has used the sub-bid of the following listed subcontractors in preparing this bid for the Work and that the listed subcontractors will be used to perform the portions of the Work as designated in this list in accordance with applicable provisions of the specifications and section 4100 et seq. of the Public Contract Code, "Subletting and Subcontracting Fair Practices Act." The Bidder further certifies that no additional subcontractor will be allowed to perform any portion of the Work in excess of one-half of one percent (0.5%) of the Bidder's total bid, or in the case of bids or offers for construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($lO,OOO), whichever is greater, and that no changes in the subcontractors listed work will be made except upon the prior approval of the Agency. SUBCONTRACTOR'S BID ITEMS location of Business Subcontractor I I Subcontractor's License No.* Page 3 of 3 pages of this Subcontractor Designation form Pursuant to section 4104 (a)(2)(A) California Public Contract Code, receipt of the information preceded by an asterisk may be submitted by the Bidder up to 24 hours afler the deadline for submitting bids contained in the "Notice Inviting Bids." L TRANSMISSION VERIFICATION REPORT TIME : 02/11/2004 15:20 DATE 3 TIME FAX NO. /NAME DURATION PAGE(S1 RESULT MODE 02/11 15:18 17606028562 00: 01: 22 04 OK STANDARD ECM C BIDDER'S STATEMENT OF FINANCIAL RESPONSIBILITY (To Accompany Proposal) CONTRACT NO. 36991 AVIARA COMMUNITY PARK Copies of the latest Annual Report, audited financial statements or Balance Sheets may be submitted under separate cover marked CONFIDENTIAL. 4N t@ Revised lO/OS/OS Contract no. 36991 Paae 15 douglas e. barnhart, inc. FINANCIAL STATEMENTS AND INDEPENDENT AUDITOR’S REPORT FOR THE YEAR ENDED SEPTEMBER 30, 2003 ..- r-.. . *. c TABLE OF CONTENTS ./- Independent Auditor‘s Report Financial Statements: Balance Sheet Statement of Income Statement of Stockholders’ Equity Statement of Cash Flows Notes to Financial Statements 1 2 3 4 5-6 7 - 15 Steven G. Martin Certified Public Accountant Fax (619) 298-6805 - 2727 Camino del Rio South, Suite 202 (61 9) 298-6745 San Diego, CA 92108 INDEPENDENT AUDITOR’S REPORT The Stockholders douglas e. barnhart, inc. I have audited the accompanying balance sheet of douglas e. barnhart, inc. as of September 30, 2003, and the related statements of income, stockholders’ equity and of cash flows for the year then ended. These financial statements are the responsibility of the Company’s management. My responsibility is to express an opinion on these financial statements based on my audit. I conducted my audit in accordance with U.S. generally accepted auditing standards. Those standards require that I plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes - examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. I believe that my audit provides a reasonable basis for my opinion. In my opinion, the financial statements referred to above present fairly, in all material respects, the financial position of douglas e. barnhart, inc. as of September 30, 2003, and the results of its operations and its cash flows for the year then ended in conformity with U.S. generally accepted accounting principles. November 18, 2003 v - or-0 I- w Pmo N d mwo m W -‘No r- r- No- w 0 mm w ln N, m mmci mvom r- 01 mwdmd rl 0 mmm dmom m P OmOwd 0 -l ood mmom m m wm~mm - 0 ......... ....... mwN mm~~ -;p 0 mdmmm 0 m 4-0 m PO m m wmm-rm 0 NNN N wr- m m mweo-? w m .... ....... d P mdddr- m m ..... .. - P ddm r- w drlmr-m ...... .. dd m u? m C -0 Y m d m w N 0 r- m 0 a, -4 u -4 4 -4 P -4 c-7 u C 4 4 3 u -l m u 0 €- €- W m n 5 W b W z 0 4 - m a, U 0 z (0 w H U z w a E- z 0 V n z 4 rn E z w I: E z u I K H ?5 n U .. 3 a, a03 3-1 -la m-l mc>m u -4 QU a, a malum a3 m 0 H z -4 -4 m 3 UICn 01 .muc w m .d -4 xmmmc . u4ma4 mom4 m auz 5-i a, tl m CU A-lO 00 0 roo-’4 c z u 0 0 u .r( x-d rwTl m v a0 .uu 0 mowu a, Ev-lN4a >m u r €-ommc mu w m ms m 0 >1 u .-’ 3 t7 w m 4 a, U d 0 e Y U 0 u (0 7i m u 0 €- m a, urn tn 3 rnm c u wcl -4 C vu 3 > wu a w xm u ar U 4 3 u d 4 U 0 €- C -4 u -4 U a, 4 a -0 U u m d 3 m 5 u m m m a, 4 U a, c I U C a -i 3 w z 7) m a, U C 4 3 10 C -4 a, w 4 wa, ou m Ha, C w7 lnrl m a, lnmua, A >.-I x mo gc Od w m aa XmOE 0 wvnw m u a, m z u a, z u 0 d m 4J E m u C fj u m u ln 7i m .d U C mN C .d Lu 0 u m a, u 0 z a, a, rn r- douglas e. barnhart, inc. STATEMENT OF INCOME FOR THE YEAR ENDED SEPTEMBER 30, 2003 Construction Revenue Cost of Construction Revenue Gross Profit Operating Expenses Income from Operations Other Income (Expense) Interest income Interest expense Joint venture income ,- Other income Income Before Income Taxes Income Taxes Net and Comprehensive Income $240,084,465 228,851,252 11,233,213 5,556,458 5,676,755 $ 249,395 (51 , 399) 231,069 345,750 774,815 6,451,570 100.525 $ 6,351,045 See Notes to Financial Statements 3 douglas e. barnhart, inc. Balance at beginning of year Dividends Paid Net Income /- Balance at end of year STATEMENT OF STOCKHOLDERS’ EQUITY FOR THE YEAR ENDED SEPTEMBER 30, 2003 Additional Total Capital Paid-In Retained Stockholders’ Stock Capital Earnings Equity $ 66,090 $ 540,514 $ 6,502,092 $ 7,108,696 - - (2,327,850) (2,327,850) - - 6,351,045 6,351,045 $ 66,090 $ 540,514 $10,525,287 $ 11,131,891 CONFIPENTI AI. See Notes to Financial Statements 4 douglas e. barnhart, inc. STATEMENT OF CASH FLOWS FOR THE YEAR ENDED SEPTEMBER 30, 2003 OPERATING ACTIVITIES Cash received from construction contracts Cash paid to suppliers, subcontractors and Interest received Interest paid Other income - net Income taxes paid and deposited emp 1 o ye e s Cash Flows from Operating Activities INVESTING ACTIVITIES P Purchased marketable securities Investment in joint ventures Proceeds from marketable securities Received from equipment disposals Additions to property and equipment /@- Cash Flows from Investing Activities FINANCING ACTIVITIES Proceeds from borrowing Dividends paid Payments on debt Cash Flows from Financing Activities NET INCREASE IN CASH AND EQUIVALENTS CASH AND EQUIVALENTS AT BEGINNING OF YEAR CASH AND EQUIVALENTS AT END OF YEAR $ 223,416,193 (210,706,228) 249,395 (51,399) 576,819 (86,025) 13,398,755 (1,201,796) (261,000) 106,165 65,045 (2,264,658) (3.556.244) 1,701,203 (2,327,850) (570,918) (1,197,565) 8,644,946 12,574,143 $ 21,219,089 (Continued) -3 * See Notes to Financial Statements 5 douglas e. barnhart, inc. STATEMENT OF CASH FLOWS FOR THE YEAR ENDED SEPTEMBER 30, 2003 RECONCILIATION OF CASH FLOWS FROM OPERATING ACTIVITIES Net income $ 6,351,045 Depreciation and amortization 753,919 Gain on disposal of assets (46,350) Loss from marketable securities 8,869 Decrease in cash in retention escrows 1,869,752 Increase in contract receivables (22,782,570) Decrease in other receivables 143,586 Increase in prepaid expenses and deposits (232,909) Decrease in other assets 7,834 Increase in costs and estimated earnings in Increase in subcontracts payable 20,390,545 /c- Increase in accounts payable 598 , 354 Increase in accrued payroll and taxes 65,654 Increase in accrued expenses 143,778 Increase in income tax payable 12,950 Increase in billings in excess of costs and estimated earnings on uncompleted contracts 6,927,290 excess of billings on uncompleted contracts (812,992) CASH FLOWS FROM OPERATING ACTVITIES $ 13,398,755 (Concluded) See Notes to Financial Statements 6 douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS 1. Summary of Significant Accounting Policies Organization The Company is a California Corporation, incorporated February 22, 1983. The Company is a general building contractor engaged in the construction of commercial, institutional and industrial type building projects. The Company performs work under fixed- price contract agreements and cost-plus fee agreements as well as performing construction management services on a cost-plus fee basis. The Company maintains its headquarters in San Diego, California, and performs work throughout California. The Company has satellite offices in Tustin and Sacramento, California. Reclassifications Certain reclassifications of accounts have been made in the accompanying financial statements which may affect comparability of amounts to prior period presentations. Estimates and AssumDtions In the course of preparing financial statements and related disclosures in conformity with accounting principles generally accepted in the U.S., management makes estimates which affect the reported amounts of assets, liabilities, revenues, costs and expenses. Estimates used in the accompanying financial statements include useful lives of depreciable assets, allowance for doubtful accounts, cost to complete contracts and resulting outcome of pending or threatened litigation. Actual results may differ from the estimates and the differences could be material. Concentrations of Cash and Credit Risks At September 30, 2003 and throughout the year, the Company maintained deposits with financial institutions that were in excess of federal deposit insurance limits. The Company does not expect any loss with respect to cash. -- + 7 , r douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS 1. Summary of Significant Accounting Policies - (Continued) Concentrations of Cash and Credit Risks (continued) Approximately $219,700,000 (91.5%) of contract revenues at September 30, 2003, were derived from contracts with various governmental agencies. Revenues and Cost Recognition r The percentage-of-completion method of accounting for construction contracts is used in the financial statements. Under this method, income is recognized as the work on a contract progresses. Generally, such income represents the percentage of estimated total income that costs incurred to date bear to estimated total costs. When current estimates of total contract costs indicate a loss on a contract, provision is made in the financial statements for the entire estimated amount of the loss. determined while the contracts are in progress and, therefore, before all items of revenues, costs, and expenses have been finalized, the profit or loss reported for a particular period may include adjustments resulting from revised contract prices and cost estimates. Since profits or losses under this method are Contract costs include all direct material and labor costs and those indirect costs related to contract performance. General and administrative costs are charged to expense as incurred. Amounts earned on specific projects in excess of billings are treated as a current asset and billings in excess of earnings are treated as a current liability. Property and Equipment Property and equipment is carried at cost and is depreciated over the estimated useful lives principally by the straight-line method. -- . CONFiDENnAL 8 1. douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS Summary of Significant Accounting Policies - (Continued) Financial Instruments Cash and equivalents consist of cash on hand and in banks, certificates of deposits and short term investments, generally with a maturity of three months or less. Marketable securities are held principally for sale or trade in the near term and as such are carried at fair value with unrealized gains and losses included in income. The aggregate cost of securities owned at September 30, 2003 approximates market value. Accounts and notes receivable are due currently or, alternatively, bear an appropriate market rate of interest and accordingly, are carried at fair value. Debt instruments bear an appropriate market rate of interest and accordingly, are carried at fair value. Income Taxes The Company reports income taxes on the accrual basis. Construction contracts are reported for tax purposes on the percentage-of-completion method. The Company's shareholders have elected to be taxed under the S Corporation provisions of the Internal Revenue Code. Accordingly, taxable income or loss is reported by the stockholders and Federal income tax expense is not generally incurred by the Company. Statement of Cash Flows Equipment and vehicles were acquired with debt amounting to $1,701,203. 9 I , r douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS 2. Cash in Retention Escrows The Company has entered into agreements with various school districts and governmental entities to deposit funds into escrow cash accounts which would otherwise be held for retentions. Withdrawal of these funds is restricted. The interest earned on the escrowed funds is credited to the Company. 3. Contracts in Progress Contracts in progress at September 30, 2003 are as follows: Costs incurred on uncompleted contracts Estimated earnings Progress billings on uncompleted contracts Net balance These amounts are included in th under the following captions: $ 234,876,276 11,468,112 246,344,388 260,405,080 $ (14,060,692) ompa ying balance sheet Costs and estimated earnings in excess of billings on uncompleted contracts $ 1,534,587 Billings in excess of costs and estimated earnings on uncompleted contracts (15,595,279) Net balance Backloa $ (14,060,692) Backlog is the value of construction contracts, including approved change orders, decreased by the amount of construction revenue earned to date. 10 f f- douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS 3. Contracts in Progress - (Continued) Backlog - (continued) The changes in backlog are summarized as follows: Backlog at beginning of year New contracts and change orders on Total contracts existing contracts $ 157,652,856 467,200,179 624,853,035 Less construction revenue recognized 240,084,465 Backlog at end of year $ 384,768,570 rc The Company also has approximately $200,000,000 of additional contracts pending start. 4. Joint Ventures The Company has a 10% interest in San Diego Ballpark Builders, Joint Venture for the construction of the San Diego Padres Ballpark. method. For the year ended September 30, 2003 the Company earned revenue of $420,963 and incurred costs of $371,718 from the joint venture as well as recognizing $325,000 in Joint Venture equity income as follows: a The Company investment is accounted for by the equity Investment at September 30, 2003 $ 356,000 Equity income earned 325,000 Distribution received Investment at September 30, 2003 (120,400) $ 560,600 The Company has invested $30,000 for a 50% ownership of the capital stock of Pinnacle One/Barnhart, Inc. (a California Corporation) formed to perform construction management services for school projects. The Company's investment is accounted for by the equity method. the Company had earned revenue of $1,041,931 and incurred costs of $622,739 from these contracts and received $20,750 in jht- For the year ended September 30, 2003, venture equity income. CONFIDENTIAL I . r douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS 4. Joint Ventures - (Continued) The Company has invested $30,000 for a 75% ownership interest in Barnhart/Black IPO Compton, a joint venture to perform construction management services for school projects. The Company investment is accounted for by the equity method. the year ended September 30, 2003, the Company had earned revenue of $373,185 and incurred costs of $242,776 from these contracts. For The Company has invested $33,000 for a 33% ownership interest in Clark/Barnhart, a joint venture, to perform construction management services for construction of a parking garage. Company investment is accounted for by the equity method. the year ended September 30, 2003, the Company had earned revenue of $47,336 and incurred costs of $35,850 from this contract. The For The Company has invested $20,400 for a 51% ownership of the capital stock of Barnhart/Harris, formed to perform construction management services for school projects. method. For the year ended September 30, 2003, the Company had earned revenue of $86,351 and incurred costs of $93,365 from these contracts. (a California Corporation) The Company investment is accounted for by the equity 5. Long-Term Debt 4.5% note payable to bank collateralized by vehicles and equipment, payable $6,410 monthly through March, 2006 0% to 2.9% notes payable to finance companies (751, collateralized by vehicles, payable $39,425 monthly including interest through January, 2004, then declining amounts through February, 2008 $ 182,064 1,301,191 12 - --. . __ . , .. douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS 5. Long-Term Debt - (Continued) 12.4% to 16% capital leases (6) collateralized by office equipment with an original cost of $559,414, payable $20,028 monthly through September, 2005, then declining amounts through August, 2006 $ 373,751 Less amounts due within one year Long-term debt 1,857,006 726,474 $1,130,532 Future maturities of long-term debt for the years ending in 2004 through 2008 are $726,474, $587,305, $289,824, $155,416 and $97,987 respectively, with nothing due thereafter. 6. Line of Credit The Company has a $3,750,000 operating line of credit with a bank, which is secured by substantially all of the Company’s assets and personal guaranty of the majority stockholders. Borrowings on the line, which expires March 15, 2004, bear interest at the prevailing prime rate plus %%. There were no amounts outstanding on the line of credit at September 30, 2003. 7. Income Taxes and Deposited Income Taxes The provision for income taxes consists of the taxes due the State of California on current year income. California recognizes S Corporation status but also assesses a one and one- half percent rate of tax on California Corporation taxable income. Deferred taxes, if any, are recorded for differences in income tax reporting and on financial statement income resulting from unallowable deductions and timing differences in recognizing income and expense items. ,- The Company has $276,543 on deposit with the U.S. Treasury under requirements imposed on an S Corporation electing a fiscal year. The deposit amount is adjusted annually based on the prior year income. -.- L CONFIDENTIAL 13 . - douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS 8. Commitments and Contingencies Legal Matters The Company is a defendant in legal actions pending at September 30, 2003. Management is of the opinion that the Company is not at risk for any substantial losses. rc The Company is also plaintiff in legal actions to recover additional costs incurred on contracts as a result of subcontractor defaults. Costs recoverable from surety are reflected as additional revenue on contracts in progress or as other income or a reduction of legal costs when received for completed contracts. outcome of these legal actions, revenues or cost recoveries on such claims, if any, are not recognized until after settlements have been reached and collection is assured. Because of the uncertainty as to the Pension Plan The Company has a multi-employer money-purchase pension plan covering substantially all non-field employees. Under terms of the participation agreement the Company is required to contribute a minimum of 3% of eligible employees' base pay. The company has elected to contribute 5%. Contributions to this plan for the year ended September 30, 2003 totaled $389,355. The Company also has a multi-employer money-purchase pension plan for field employees not covered by the non-field employee plan. Under terms of the participation agreement, the Company is required to contribute an amount equal to 5% of eligible employees' base pay. Contributions to this plan for the year ended September 30, 2003 totaled $318,225. 14 douglas e. barnhart, inc. NOTES TO FINANCIAL STATEMENTS 8. Commitments and Contingencies - (Continued) Lease Commitments The Company has entered into an operating type rental agreement for corporate headquarters with a partnership owned by the stockholders. Terms of the lease which expires January 31, 2006 calls for monthly rent of $31,837 plus all operating expenses. Annual rent will be subject to cost of living increase. Future minimum lease payments for the years ending September 30 are: 2004 2005 2006 $ 389,564 401,248 135,060 Thereafter - $ 925,872 Rental expense including operating expenses for the year ended September 30, 2003 totaled $428,609. The Company also entered into a one year lease beginning March 1, 2003 for office space in Sacramento, California. Monthly rent is $1,755 and totaled $12,724 for the year ended September 30, 2003. The Company also rented office space in Tustin, California for a one year term beginning October 1, 2003. Monthly rent will be $1,150. 9. Capital Stock The Company has sold stock to a number of key employees subject to a restricted stock purchase agreement which gives the Company the right of first refusal to repurchase the stock in the event of death or termination of employment. The repurchase price is based upon net book value of the Company. In July, 2003 the Company declared a 4 for 1 stock split, increasing the number of outstanding shares from 6,651 to 26,604. 15 c Date Name and Address Contract of the Employer Completed See Attached BIDDER'S STATEMENT OF TECHNICAL ABILITY AND EXPERIENCE (To Accompany Proposal) CONTRACT NO. 36991- AVIARA COMMUNITY PARK Name and Phone No. Type of Work Amount of Person to Contract of Contract The Bidder is required to state what work of a similar character to that included in the proposed Contract he/she has successfully performed and give references, with telephone numbers, which will enable the City to judge hislher responsibility, experience and skill. An attachment can be used. em E$ Revised 10108103 Contract no. 36991 Paae 16 4ugust 2002 lanuary 1997 lanuary 2004 September 1998 October 2003 August 1996 School District 13626 Twin Peaks Rd. Poway, CA 92064 San Diego State University 5300 Campanile Dr. Admin. Bldg Rm. 116 San Diego, CA San Diego Padres 8880 Rio San Diego Dr. San Diego, CA 92108 Del Mar Union School District 225 gth St. Del Mar, CA 92014 City of Lake Forest 23161 Lake Center Drive Ste. 100 Lake Forest, CA 92630 San Dieguito Union High School District 7 10 Encinitas Blvd. Encinitas, CA 92024 Doug Mann ext. 2522 (858) 748-0010 Andrew Stallings (619) 699-5600 Eric Judson (619) 881-6542 Rodger Smith ext. 3686 (858) 755-7301 Bob Woodingsflony Plante (949) 461-3485 Steve Ma (760) 753-0179 New Westview High School includes baseball, softball and other sports fields New baseball field and stadium for Aztec team New baseball field and stadium for Padres team (Joint Venture Partner) Carmel Valley joint use play fields include two baseball diamonds, basketball courts, ball walls, play structures, and walking paths Etnies Lake Forest skate park has two bowls, two courses, and a plaza area. The La Costa Canyon High School includes baseball fields and softball fields. $3.5 million $233,362,925 $1.1 million $3 million $24,337,968 BIDDER'S CERTIFICATE OF INSURANCE FOR G E N ERAL Ll AB1 LITY, EM PLOY ERS' LIABILITY, AUTOMOTIVE L I AB I L ITY AN D W 0 RK E RS ' C 0 M P EN SAT ION (To Accompany Proposal) CONTRACT NO. 36991- AVlARA COMMUNITY PARK As a required part of the Bidder's proposal the Bidder must attach either of the following to this page. 1) Certificates of insurance showing conformance with the requirements herein for each of: Comprehensive General Liability Automobile Liability Workers Compensation Employer's Liability 2) Statement with an insurance carrier's notarized signature stating that the carrier can, 'and upon payment of fees and/or premiums by the Bidder, will issue to the Bidder Policies of insurance for Comprehensive General Liability, Automobile Liability, Workers Compensation and Employer's Liability in conformance with the requirements herein and Certificates of insurance to the Agency showing conformance with the requirements herein. - All certificates of insurance and statements of willingness to issue insurance for auto policies offered to meet the specification of this contract must: 1) Meet the conditions stated in The Notice Inviting Bids, the Standard Specifications for Public Works Construction and the Supplemental Provisions for this project for each insurance company that the Contractor proposes. 2) Cover anv vehicle used in the performance of the contract, used onsite or offsite, whether owned, non-owned or hired, and whether scheduled or non-scheduled. The auto insurance certificate must state the coverage is for "any auto" and cannot be limited in any manner. 4% p,s Revised 10/08/03 Contract no. 36991 Pme 17 WONE.(949) 608-6300 FAX- (949) 608-6451 INSURED INSURERS AFFORDING COVERAGE INSURER A st Paul Fire & Marine Insurance ~0.4%~ p&& INSURER C INSURER D L c e 04/04/04 COMBINED SINGLE LIMIT (Ea accident) 51,000,000 BODILY INJURY ( Per perron) BODILY INJURY (Per accident) PROPERTY DAMAGE (Per accident) AUTO ONLY - EA ACCIDENT A - AUTOMOBILE LIABILITY - x ANYAUTO - ALL OWNED AUTOS SCHEDULED AUTOS - X HIREDAUTOS x NONOWNEDAUTOS I _. I 04/04/04 X WC STATU- OTH- E L EACH ACCIDENT TORY LIMITS ER $1.000.000 A WORKERS COMPENSATION AND EMPLOYERS' LIABILITY I THIS CERTIFICATE IS ISSUED AS A MAITER OF INFORMATION ONLY I AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS PRODUCER AOn Risk Services, Inc. of southern California __ .~ suite 300 ~ Irvine CA 92614 USA CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE I COVERAGE AFFORDED BY THE POLICIES BELOW. Douglas E. Barnhart, Inc 10760 Thornmi nt Road San Diego CA 92127 USA I INSURER B I E L L 9. E ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. IEEN REDUCED BY PAID CLAIMS. AGGREGATE LIMITS SHOWN MAY HA NSR I 'OLICY EFFECTIVI DATE(MMU)D\YY) I DLICY EXPIRATION DATE(MMU)D\YY) LIMITS .~ LTR TYPE OF INSURANCE A GENERAL LIABILITY 7 COMMERCIAL GENERAL LIABILITY - CLAIMS MADE OCCUR - GEN'L AGGREGATE LIMIT APPLIES PER POLICY NUMBER 06100133 I 1m 04/04/04 I 51,000,000 EACHDCCURRENCE C FIRE DAMAGE(A~~ one fire) I 5100,000 c 04/04/03 I IC I Ih PERSONAL & ADV INJURY POLICY p3 E; LOC a c G c 5 r' 04/04/03 06100133 ANY AUTO R OTHER THAN EA ACC AUTO ONLY : I .. EACHOCCURRENCE AGGREGATE Y '~6100082 04/04/03 I ., EL DISEASE-POLICY LIMIT I 51,ooo.oool rn I EL DISEASE-EA EMPLOYEE I $1,000,000~ g OTHER I ?SCRIPTION OF OPERATlONS/LOCATIONSNEI /SPECIAL PROVISIC 5SEXCLUSIONS ADDED BY ENDORSEME E: Project 4026, Aviara Community park ee attached endorsement(s1 city ot car I sbad Attn: purchasing Department 1635 Faraday Avenue carlsbad CA 92008 USA DATE THEREOF, THE ISSUING COMPANY WILL MAIL I I I= I ACORD 25 -s (7197) ACORD CO&&ATIO N 19881 m I. ADDITIONAL PROTECTED PERSONS ENDORSEMENT - CONTRACTORS GENERAL LIABILITY - INCLUDING COMPLETED WORK This endorsement changes your Contractors Commercial General Liability Protection. -StPaul How Coverage Is Changed There are two changes which are described below. 1. The following is added to the Who Is Protected Under This Agreement section. This change adds certain protected persons and limits their protection. Additional protected person. The person or organization named below is an additional protected person as required by a contract or agreement entered into by you. But only for covered injury or damage arising out of: your work for that person or organization; your completed work for that person or organization if your contract or agreement requires such coverage; premises you own, rent, or lease from that person or organization; or your maintenance, operation, or use of equipment leased from that person or organization. I We explain what we mean by your work and your completed work in the Products and completed work total limit section. If the additional protected person is an architect, engineer, or surveyor, we won't cover injury or damage arising out of the performance or failure to perform architect, engineer, or surveyor professional services. Architect, engineer, or surveyor professional services include: the preparation or approval of maps, drawings, opinions, reports, surveys, change orders, designs, or specification; and supervisory, inspection, or engineering services. 2. The following is added to the Other Primary Insurance section. This change broadens coverage. We'll consider this insurance to be primary to and non-contributory with the insurance issued directly to additional protected persons listed below if: your contract specifically requires that we consider this insurance to be primary and non- contributory; or you request before a loss that we consider this insurance to be primary or primary and non- contributory insurance. Other Terms All other terms of your policy remain the same. Person Or Organization: City of Carlsbad, it's officials, employees, & volunteers RE: Project 4026, Aviara Community Park Name of Insured Douglas E. Bamhart, Inc. Effective Date: 4/4/03 - 4/4/04 Policy Number KK06100133 Processing Date: 0311 5/04 - GO322 Rev. 12-97 Printed in U.S.A. OSt.Paul Fire and Marine Insurance Co. 1997 All Rights Reserved Endorsement POLICY NUMBER: KK06100133 AUTOMOBILE LIABILITY THIS ENDORSEMENT CHANGES THE POLICY. READ IT CAREFULLY. ADDITIONAL INSURED This endorsement modifies insurance provided under the following: BUSINESS AUTO COVERAGE FORM SCHEDULE Name of Person or Organization: City of Carlsbad, it’s officials, employees, & volunteers RE: Project 4026, Aviara Community Park If no entry appears above, information required to complete this endorsement will be shown in the Declarations as applicable to this endorsement.) I We agree with you that the person or organization shown in the schedule above is an insured for “bodily injury” or “property damage” arising out of the operation of a covered “auto” under a contract or agreement which is made prior to the injury or damage. AUTOAI (1 0-95) BIDDER'S STATEMENT RE DEBARMENT c" (To Accompany Proposal) CONTRACT NO. 36991- AVlAFW COMMUNITY PARK 1) Have you or any of your subcontractors ever been debarred as an irresponsible bidder by another jurisdiction in the State of California? X Yes no 2) If yes, what wadwere the name@) of the agency(ies) and what wadwere the period(s) of debarment@)? Attach additional copies of this page to accommodate more than two debarments. party debarred party debarred agency agency period of debarment period of debarment c BY CONTRACTOR: douglas e. barnhart, inc. By: V William R. Sharp, President (print nameltitle) Page - I of pages of this Re Debarment form 4- 6s Revised 10/08/03 Contract no. 3699 1 Paae 18 BIDDER’S DISCLOSURE OF DISCIPLINE RECORD (To Accompany Proposal) CONTRACT NO. 36991 AVIARA COMMUNIN PARK 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 years of the date of the alleged violation. A complaint regarding a latent act or omission pertaining to structural defects must be filed within 10 years of the date of the alleged viotation. Any questions concerning a contractor may be referred to the Registrar, Contractors’ State License board, P.O. Box 26000, Sacramento, California 95826. 3) 4) 5) Have you ever had your contractor‘s license suspended or revoked by the California Contractors’ State license Board two or more times within an eight year period? X Yes no Has the suspension or revocation of your contractors license ever been stayed? X Yes no Have any subcontractors that you propose to perform any portion of the Work ever had their contractor‘s license suspended or revoked by the California Contractors’ State license Board two or more times within an eight year period? X Yes no Has the suspension or revocation of the license of any subcontractor‘s that you propose to perform any portion of the Work ever been stayed? X Yes no If the answer to either of 1. or 3. above is yes fully identify, in each and every case, the party disciplined, the date of and violation that the disciplinary action pertain to, describe the nature of the violation and the disciplinary action taken therefor. (If needed attach additional sheets to provide full disclosure.) e Page 1 of 2 pages of this Disclosure of Discipline form e- t# Revised 10/08/03 Contract no. 3699 l Paae I9 c BIDDER'S DISCLOSURE OF DISCIPLINE RECORD (CONTINUED) (To Accompany Proposal) CONTRACT NO. 36991- AVIARA COMMUNITY PARK 6) If the answer to either of 2. or 4. above is yes fully identify, in each and every case, the party who's discipline was stayed, the date of the violation that the disciplinary action pertains to, describe the nature of the violation and the condition (if any) upon which the disciplinary action was stayed. C (If needed attach additional sheets to pmvide full disclosure.) BY CONTRACTOR: douglas e. barnhart, inc By: William R. Sharp, President (print namehitle) Page 2 of 2 pages of this Disclosure of Discipline form 4% rr# Revised 10/08/03 Contract no. 36991 Paae 20 c NON-COLLUSION AFFIDAVIT TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID PUBLIC CONTRACT CODE SECTION 7106 CONTRACT NO. 36991 AVIAFW COMMUNITY PARK State of California ) Countyof San Diego 1 ) ss. douglas e. barnhart, inc. William R. Sharp , being first duly sworn, deposes (Name of Bidder) and says that he or e is President (Title) douglas e. barnhart, inc. of (Name of Firm) the party making the foregoing bid that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization,' or corporation; that the bid is genuine and not collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that 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, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that 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, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. I declare under penalty of perjury that the foregoing is true and correct and that this affidavit w'as executed on the 17th day of February ,2004 . c Signature of Bidder1 - Subscribed and sworn to before me on the 17th day of February ,20 04 . . e= Revised 10/08/03 Contract no. 36991 Paae 21 / City of Carlsbad January 28,2004 ADDENDUM NO. 1 RE: CONTRACT NO. 3699-1 - AVIARA COMMUNITY PARK Please include this addendum in the Request for Bid package you have for the above project. .- This page of the addendum-receipt acknowledged-must be attached to your proposal when it is submitted. KEVIN DAVIS Buyer I ACKNOWLEDGE RECEIPT OF ADDENDUM NO. 1 I Signature 1635 Faraday Avenue - Carlsbad, CA 92008-7314 - (760) 602-2430 - FAX (760) 602-8553 www.ci.carlsbad.ca.us - Business License (760) 602-2495 - Utility Billing (760) 602-2420 - @ Purchasing (760) 602-2460 - FAX (760) 602-8556 - Bid Line (760) 602-2464 ATTACHMENT B MINORITY BUSINESS ENTERPRISE/WOMEN BUSINESS ENTERPRISE INFORMATION SWRCB DIVISION OF CLEAN WATER PROGRAMS 1 LOAN RECIPIENTS NAME n/a CONTRACT NO. OR SPECIFICATION NO. 36991 PROJECT DESCRIPTION iVIARA COMMUNITY PARK NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) ?8%bafhEtnmin€ fload, 8ari Diego 92127 bar h rt 1 c PHONE 858-385-8200 95-3814480 PROJECT LOCATION Cerl$bad, CA 0 MBE 0 WBE n/a AMOUNT OF CONTRACT PRIME CONTRACTOR INFORMATION I 3 MBE B WE 2 SUBCONTRACTOR 0 SUPPLIEFUSERVICE 3 JOINTVENTURE 0 BROKER 155 Quail Gardens Drive, Encinitas, CA 9 024 NAME AND ADDRESS (Include ZIP Code, WB, & SSN) Sierra Pacific West, Inc. I MBENBE INFORMATION ~MBE 0 WBE @UBCONTRACTOR 0 SUPPLIEFUSERVICE 1 c3 JOINTVENTURE 0 BROKER AMOUNTOFCONTRACT or /c NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) %nkW 2LBzkz2 Ancfhe’rm I CA qmb 3890 &3j- C T% 45 q3- &2a{qz PHONE7iq &% Cjm - - 0 SUBCONTRACTOR 0 SUPPLIEFUSERVICE 0 JOINTVENTURE 0 BROKER ~~ AMOUNT OF CONTRACT I PHONE 0 MBE 0 WBE 0 SUBCONTRACTOR 0 SUPPLIEFUSERVICE 0 JOINTVENTURE 0 BROKER AMOUNT OF CONTRACT NAME AND ADDRESS (Include ZIP Code, DOE, & SSN) PHONE I I 8 5 8-3 8 5-8 2 0 0 DATE : 2/10/04 PHONE: TITLE: President ORM 4700-B (rev 2/98) Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR REClAIMED WATER BP - 12 LOAN RECIPIENTS NAME ~ PROJECT DESCRIPTION CONTRACT NO. OR SPECIFICATION NO. ~- PROJECT LOCATION I NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) 0 MBE 0 WBE PHONE 0 MBE 0 WE 0 SUBCONTRACTOR 0 SUPPLIEWSERVICE 0 JOINTVENTURE 0 BROKER 1 AMOUNT OF CONTRACT NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) MBE/WBE INFORMATION AMOUNT OF CONTRACT PHONE 0 SUBCONTRACTOR 0 JOINTVENTURE I NAME AM) ADDRESS (Include ZIP Code, DOB, & SSN) 0 SUPPLIEWSERVICE 0 BROKER AMOUNT OF CONTRACT WORK TO BE PERFORMED PHONE 0 MBE 0 WBE 0 SUBCONTRACTOR 0 SUPPLIEWSERVICE 0 JOINTVENTURE 0 BROKER NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) 0 MBE AMOUNT OF CONTRACT 7 NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) PHONE 0 SUBCONTRACTOR 0 JOINTVENTURE ~ WORK TO BE PERFORMED 0 SUPPLIEWSERVICE 0 BROKER ~ TOTAL MBE AMOUNT: $ TOTAL WBE AMOUNT: S ACTUAL MBE PARTICIPATION: % ACTUAL WBE PARTICIPATION: % MBE GOAL: % WBE GOAL: % SIGNATURE OF PERSON COMPLETING FORM: AMOUNT OF CONTRACT TITLE: PHONE: DATE: I :OW 4700-B (rev 2/98) PHONE Aviara Community Park -Community Park Citv of Carlsbad PROVISIONS FOR RECLAIMED WATER NTD # 2000-0247 - 03 BP - 12 CONTRACT PUBLIC WORKS This agreement is made this ds .z; dayof 53U.d-d 20&, by and between the City of Carlsbad, California, a municipal corporation, (hereinafter called "City"), and DOUGLAS F. BARNHART. INC. whose principal place of business is 10760 THORNMINT ROAD. SAN DlFCO, CA 97127 (hereinafter called "Contractor"). City and Contractor agree as follows: 1. for: Description of Work. Contractor shall perform all work specified in the Contract documents AVIARA COMMUNITY PARK CONTRACT NO. 36991 (he rei na fte r ca I led "project") 2. equipment, and personnel to perform the work specified by the Contract Documents. Provisions of Labor and Materials. Contractor shall provide all labor, materials, tools, 3. Contract Documents. The Contract Documents consist of this Contract, Notice Inviting Bids, Contractor's Proposal, Bidder's Bond, Designation of Subcontractors, Designation of Owner Operator/Lessors, Bidder's Statements of Financial Responsibility, Technical Ability and Experience, Re Debarment, Non-collusion Affidavit, Escrow Agreement, Release Form, the Drawings/Plans and Project Manual/Specifications, AIA General Conditions of the Contract AIA A201, the Supplementary Conditions, the Supplemental Provisions, addendum/addenda to said Documents, State of California Boiler Plate Provisions for Reclaimed Water, all other Contract Documents listed in the Table of Contents, and all proper amendments and changes made thereto in accordance with this Contract or the Plans and Specifications, and all bonds for the project; all of which are incorporated herein by this reference. - Contractor, herlhis subcontractors, and materials suppliers shall provide and install the work as indicated, specified, and implied by the Contract Documents. Any items of work not indicated or specified, but which are essential to the completion of the work, shall be provided at the Contractor's expense to fulfill the intent of said documents. In all instances through the life of the Contract, the City will be the interpreter of the intent of the Contract Documents, and the City's decision relative to said intent will be final and binding. Failure of the Contractor to apprise subcontractors and materials suppliers of this condition of the Contract will not relieve responsibility of compliance. 4. shall make payment to the Contractor per the Contract Documents. Payment. For all compensation for Contractor's performance of work under this Contract, City 5. Independent Investigation. Contractor has made an independent investigation of the jobsite, the soil conditions at the jobsite, and all other conditions that might affect the progress of the work, and is aware of those conditions. The Contract price includes payment for all work that may be done by Contractor, whether anticipated or not, in order to overcome underground conditions. Any information that may have been furnished to Contractor by City about underground conditions or other job conditions is for Contractor's convenience only, and City does not warrant that the conditions are as thus indicated. Contractor is satisfied with all job conditions, including underground conditions and has not relied on information furnished by City. e- %$ Revised 10/08/03 Contract no. 36991 Paae 22 .-- 6. Hazardous Waste or Other Unusual Conditions, If the contract involves digging trenches or other excavations that extend deeper than four feet below the surface Contractor shall promptly, and before the following conditions are disturbed, notify City, in writing, of any: A. Hazardous Waste. Material that Contractor believes may be material that is hazardous waste, as defined in section 251 17 of the Health and Safety Code, that is required to be removed to a Class I, Class II, or Class Ill disposal site in accordance with provisions of existing law. B. indicated . Differing Conditions. Subsurface or latent physical conditions at the site differing from those C. Unknown Physical Conditions. 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. City shall promptly investigate the conditions, and if it finds that the conditions do materially so differ, or do involve hazardous waste, and cause a decrease or increase in contractor's costs of, or the time required for, performance of any part of the work shall issue a change order under the procedures described in this contract. In the event that a dispute arises between City and Contractor 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, 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 contracting parties. , - 7. Immigration Reform and Control Act. Contractor certifies it is aware of the requirements of the Immigration Reform and Control Act of 1986 (8 USC sections 1101-1525) and has complied and will comply with these requirements, including, but not limited to, verifying the eligibility for employment of all agents, employees, subcontractors, and consultants that are included in this Contract. 8. Prevailing Wage. Pursuant to the California Labor Code, the director of the Department of Industrial Relations has determined the general prevailing rate of per diem wages in accordance with California Labor Code, section 1773 and a copy of a schedule of said general prevailing wage rates is on file in the office of the City Engineer, and is incorporated by reference herein. Pursuant to California Labor Code, section 1775, Contractor shall pay prevailing wages. Contractor shall post copies of all applicable prevailing wages on the job site. 9. Indemnification. Contractor shall assume the defense of, pay all expenses of defense, and indemnify and hold harmless the City, and its officers and employees, from all claims, loss, damage, injury and liability of every kind, nature and description, directly or indirectly arising from or in connection with the performance of the Contract or work; or from any failure or alleged failure of Contractor to comply with any applicable law, rules or regulations including those relating to safety and health; and from any and all claims, loss, damages, injury and liability, howsoever the same may be caused, resulting directly or indirectly from the nature of the work covered by the Contract, except for loss or damage caused by the sole or active negligence or willful misconduct of the City. The expenses of defense include all costs and expenses including attorneys' fees for litigation, arbitration, or other dispute resolution method. e- tq Revised 10/08/03 Contract no. 36991 Paae 23 The Contractor and its synthetic turf subcontractor, and rubber infill subcontractor/supplier, if any, shall hold the City harmless from infringement of any current or future patent issued for the synthetic turf surfacing system, installation methods and vertical draining characteristics. The Contractor and its synthetic turf subcontractor, and rubber infill subcontractor/supplier, if any, shall hold the City harmless from any claim, including, without limitation, claims for bodily injury, death or damage to property caused wholly or in part by any foreign or defective materials improperly incorporated into the synthetic turf system by the Contractor, its synthetic turf subcontractor and/or its rubber infill subcontractor/supplier, during the synthetic turf manufacturer’s warranty period, or for eight (8) years, whichever period is greater, after acceptance of the field by the City. Foreign or defective materials shall include, but not be limited to metal wires, metal fragments, metal contaminants, glass, or any other foreign or defective materials not specified in the Contract Documents, or approved by the City’s Project Manager and/or the City’s Synthetic Turf Consultant. The Contractor and its synthetic turf subcontractor, and rubber infill contractor/supplier, if any, shall not be required to indemnify the City for any claim arising from the sole or active negligence or willful misconduct of the City. .. - The Contractor shall incorporate the immediately preceding paragraph into any synthetic turf and rubber infill subcontract, and shall submit a fully executed copy of either or both subcontracts to the City prior to the City’s acceptance of the field. Contractor shall also defend and indemnify the City against any challenges to the award of the contract to Contractor, and Contractor will pay all costs, including defense costs for the City. Defense costs include the cost of separate counsel for City, if City requests separate counsel. Contractor shall also defend and indemnify the City against any challenges to the award of the contract to Contractor, arising in whole or in part from alleged inaccuracies or misrepresentation by the Contractor, whether intentional or otherwise, and Contractor will pay all costs, including defense costs for the City. Defense costs include the cost of separate counsel for City, if City requests separate counsel. I IO. Insurance. Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damage to property which may arise from or in connection with the performance of the work hereunder by the Contractor, his or her agents, representatives, employees or subcontractors. Said insurance shall meet the City’s policy for insurance as stated in Resolution No. 91-403. (A) Coverages And Limits: As defined in Document 00810.: (B) Additional Provisions. Contractor shall ensure that the policies of insurance required under this agreement with the exception of Workers’ Compensation and Business Automobile Liability Insurance contain, or are endorsed to contain, the following provisions. a. The City, its officials, employees and volunteers are to be covered as additional insured as respects: liability arising out of activities performed by or on behalf of the Contractor; products and completed operations of the contractor; premises owned, leased, hired or borrowed by the contractor. The coverage shall contain no special limitations on the scope of protection afforded to the City, its officials, employees or volunteers. All additional insured endorsements must be evidenced using separate documents attached to the certificate of insurance; one for each company affording general liability, and employers’ liability coverage. b. The Contractor’s insurance coverage shall be primary insurance as respects the City, its officials, employees and volunteers. Any insurance or self-insurance maintained by the City, its officials, employees or volunteers shall be in excess of the contractor‘s insurance and shall not - Revised 10/08/03 Contract no. 36991 Paae 24 contribute with it. .- c. to the City, its officials, employees or volunteers. Any failure to comply with reporting provisions of the policies shall not affect coverage provided d. Coverage shall state that the contractor's insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability. (C) Notice Of Cancellation. Each insurance policy required by this agreement shall be endorsed to state that coverage shall not be nonrenewed, suspended, voided, canceled, or reduced in coverage or limits except after thirty (30) days' prior written notice has been given to the City by certified mail, return receipt requested. (D) Deductibles And Self-Insured Retention (S.I.R.) Levels. Any deductibles or self-insured retention levels must be declared to and approved by the City. At the option of the City, either: the insurer shall reduce or eliminate such deductibles or self-insured retention levels as respects the City, its officials and employees; or the contractor shall procure a bond guaranteeing payment of losses and related investigation, claim administration and defense expenses. (E) Waiver Of Subrogation. All policies of insurance required under this agreement shall contain a waiver of all rights of subrogation the insurer may have or may acquire against the City or any of its officials or employees. (F) Subcontractors. Contractor shall include all subcontractors as insured under its policies or shall furnish separate certificates and endorsements for each subcontractor. Coverages for subcontractors shall be subject to all of the requirements stated herein. - (G) Acceptability Of Insurers. Insurance is to be placed with insurers that have a rating in Best's Key Rating Guide of at least A-:V. Insurers must also be authorized to transact the business of insurance by the State of California Insurance Commissioner as admitted carriers as evidenced by a listing in the official publication of the Department of Insurance of the State of California and/or under the standards specified by the City Council in Resolution No. 91403. (H) Verification Of Coverage. Contractor shall furnish the City with certificates of insurance and original endorsements affecting coverage required by this clause. The certificates and endorsements for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificates and endorsements are to be in forms approved by the City and are to be received and approved by the City before the Contract is executed by the City. (I) in the Contractor's bid. Cost Of Insurance. The Cost of all insurance required under this agreement shall be included 11. Claims and Lawsuits. All claims by contractor for $375,000 or less shall be resolved in accordance with the provisions in the Public Contract Code, Division 2, Part 3, Chapter 1, Article 1.5 (commencing with section 20104) which are incorporated by reference. A copy of Article 1.5 is included in the Supplemental Provisions I section. The contractor shall initially submit all claims over $375,000 to the City using the informal dispute resolution process described in Public Contract Code subsections 201 04.2(a), (c), (d). Notwithstanding the provisions of this section of the contract, all claims shall comply with the Government Tort Claim Act (section 900 et seq., of the California Government Code) for any claim or cause of action for money or damages prior to filing any lawsuit . _- for breach of this agreement. (A) Assertion of Claims. Contractor hereby agrees that any contract claim submitted to the City e= k$ Revised 10/08/03 Contract no. 36991 Paae 25 must be asserted as part of the contract process as set forth in this agreement and not in anticipation of litigation or in conjunction with litigation. -. (B) False Claims. Contractor acknowledges that if a false claim is submitted to the City, it may be considered fraud and the Contractor may be subject to criminal prosecution. (C) Government Code. Contractor acknowledges that California Government Code sections 12650 et seq., the False Claims Act, provides for civil penalties where a person knowingly submits a false claim to a public entity. These provisions include false claims made with deliberate ignorance of the false information or in reckless disregard of the truth or falsity of the information. (D) Penalty Recovery. If the City of Carlsbad seeks to recover penalties pursuant to the False Claims Act, it is entitled to mover its litigation costs, including attorney's fees. (E) Debarment for False Claims. Contractor hereby acknowledges that the filing of a false claim may subject the Contractor to an administrative debarment proceeding wherein the Contractor may be prevented from further bidding on public contracts for a period of up to five years. (F) Carlsbad Municipal Code. The provisions of Carlsbad Municipal Code sections 3.32.025, 3.32.026, 3.32.027 and 3.32.028 pertaining to false claims are incorporated herein by reference. (G) Debarment from Other Jurisdictions. Contractor hereby acknowledges that debarment by another jurisdiction is grounds for the City of Carlsbad to disqualify the Contractor or subcontrac- tor from participating in future contract bidding. (H) Jurisdiction. Contractor agrees and hereby stipulates that the proper venue and jurisdiction for resolution of any disputes between the parties arising out of this agreement is San Diego County, California. .- I have read and understand all provisions of Section I1 above. init init 12. Maintenance of Records. Contractor shall maintain and make available at no cost to the City, upon request, records in accordance with sections 1776 and 1812 of Part 7, Chapter 1, Article 2, of the Labor Code. If the Contractor does not maintain the records at Contractor's principal place of business as specified above, Contractor shall so inform the City by certified letter accompanying the return of this Contract. Contractor shall notify the City by certified mail of any change of address of such records. 13. Labor Code Provisions. The provisions of Part 7, Chapter 1, commencing with section 1720 of the Labor Code are incorporated herein by reference. 14. Security. Securities in the form of cash, cashier's check, or certified check may be substituted for any monies withheld by the City to secure performance of this contract for any obligation established by this contract. Any other security that is mutually agreed to by the Contractor and the City may be substituted for monies withheld to ensure performance under this Contract. 15. Provisions Required by Law Deemed Inserted. Each and every provision of law and clause required by law to be inserted in this Contract shall be deemed to be inserted herein and included herein, and if, through mistake or otherwise, any such provision is not inserted, or is not correctly inserted, then upon application of either party, the Contract shall forthwith be physically amended to make such insertion or correction. rc %# Revised 10/08/03 Contract no. 36991 Paae 26 NOTARIAL ACKNOWLEDGMENT OF EXECUTION BY ALL SIGNATORIES MUST BE - AlTACHED (CORPORATE SEAL) CONTRACTOR: ipal corporation of By: V" WIIMrqrf [2. Swmf, PwayEJITT (print name and title) By: (sign here) (print name and title) President or vice-president and secretary or assistant secretary must sign for corporations. If only one officer signs, the corporation must attach a resolution certified by the secretary or assistant secretary under the corporate seal empowering that officer to bind the corporation. I APPROVED AS TO FORM: RONALD R. BALL City Attorney By: EEpp& City Attorney" _- e* k$ Revised 10/08/03 Contract no. 36991 Paae 27 DOUGLAS E. BARNHART, INC. RESOLUTION OF THE BOARD OF DIRECTORS .- BE IT RESOLVED THAT: Douelas E. Barnhart. Arthur L. Barnhart William R. Sham and Eric G. Stenman, ESQ. Whose signatures appear below, of this corporation are hereby authorized, from time to time, in the name of this corporation to execute Contract Documents as often as may seem advisable to such persons.” “The authority herein conferred shall continue in full force and effect until written notice of its revocation shall be received by said holder of the above described instruments executed prior to any such revocation.” Authorized To Sign: Douglas E. Barnhart, Chief Executive Officer Arthur L. Barnhart, Chief Operations Officer William R. Sharp, President Eric G. Stenman, Esq., Corporate Counsel Arthur L. Barnhart BkA3 Date - Clav Maki Bzan Cahill Date Date I Date CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT I State of California San Diego County of personally appeared William R. Sharp Name(s) of Signer(s) personally known to me 0 proved to me on the basis of satisfactory evidence Place Notary Seal Above to be the person@) whose name(s) is/aFe subscribed to the within instrument and acknowledged to me that he/aW4hey executed the same in his/kerLtbeir authorized capacity(ies), and that by his/hediheir signature@) on the instrument the person(@, or the entity upon behalf of which the person@) acted, executed the instrument. v nature 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. Description of Attached Document Title orType of Document: CoN-TRKf l&$-rs C17-k' 0 @fi&-s%&D Document Date: Number of Pages: Signer(s) Other Than Named Above: Capacity(ies) Claimed by Signer Signer's Name: 0 Individual 0 Corporate Officer - Title(s): 0 Partner -0 Limited 0 General 0 Attorney in Fact 0 Trustee 0 Guardian or Conservator Other: Signer Is Representing: 0 1999 Nalibnal Notary Association * 9350 De Sot0 Ave., PO. Box 2402 - Chatswonh. CA 91313-2402 * w.nationalmtalyorg Prod. No 5907 Reorder: Call Toll-Free 1-800-8766827 Bond No. 24004169 Premium $43,073.00 FAITHFUL PERFORMANC WARRANTY BOND WHEREAS, the City Council of the City of Carlsbad, State of California, by Resolution No. BARNHART, INC. 2004-062 , adopted March 9,2004 , has awarded to DOUGLAS E. , (hereinafter designated as the "Principal"), a Contract for: AVIARA COMMUNITY PARK CONTRACT NO. 36991 in the City of Carlsbad, in strict conformity with the contract, the drawings and specifications, and other Contract Documents now on file in the Office of the City Clerk of the City of Carlsbad, all of which are incorporated herein by this reference. WHEREAS, Principal has executed or is about to execute said Contract and the terms thereof require the furnishing of a bond for the faithful performance and warranty of said Contract; NOW, THEREFORE, WE, DOUGLAS E. BARNHART, INC. , as Principal, (hereinafter designated as the "Contractor"), and Liberty Mutual Insurance Company I as Surety, are held and firmly bound unto the City of Carlsbad, in the sum of MILLION, Dollars ($ 7,598,499.00), said sum being equal to one hundred percent (100%) of the estimated amount of the Contract, to be paid to City or its certain attorney, its successors and assigns; for which payment, well and truly to be made, we bind ourselves, our heirs, executors and administrators, successors or assigns, jointly and severally, firmly by these presents. SEVEN FIVE HUNDRED NINETY-EIGHT THOUSAND, FOUR HUNDRED NINETY-NINE -- _-" THE CONDITION OF THIS OBLIGATION IS SUCH that if the above bounden Contractor, their 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 and any alteration thereof made as therein provided on their part, to be kept and performed at the time and in the manner therein specified, and in all respects according to their true intent and meaning, and shall indemnify and save harmless the City of Carlsbad, its officers, employees and agents, as therein stipulated, then this obligation shall become null and void; otherwise it shall remain in full force and effect. As a part of the obligation secured hereby and in addition to the face amount specified therefor, there shall be included costs and reasonable expenses and fees, including reasonable attorney's fees, incurred by the City in successfully enforcing such obligation, all to be taxed as costs and included in any judgment rendered. Surety stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract, or to the work to be performed thereunder or the specifications accompanying the same shall affect its obligations on this bond, and it does hereby waive notice of any change, extension of time, alterations or addition to the terms of the contract or to the work or to the specifications. .- @= Revised 10/08/03 Contract No. 36991 Page 30 In the event that Contractor is an individual, it is agreed that the death of any such Contractor shall not exonerate the Surety from its obligations under this bond. Executed by CONTRACTOR this Executed by SURETY this 18th day of March J 20- 04 day of ,20 . CONTRACTOR: SURETY: douglas e. barnhart, inc. Liberty Mutual Insurance Company (name of Surety) (name of Contractor) 505 S. Main Street, #830, Orange, CA 92868 By: (s ig n he re) (print name here) (address of Surety) (714) 542-9458 (telephone number of Surety) 1 By: ~QAA, ~ (Title and Organization of Signatory) wnawt Wlg P-S* (Attach corporate resolution showing current (priht name here) power of attorney.) bwstcoahtr, beuqw k. Blhwwm~~ rue/, (Title and drganization of signatory) (Proper notarial acknowledgment of execution by CONTRACTOR and SURETY must be attached.) (President or vice-president and secretary or assistant secretary must sign for corporations. If only one officer signs, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering that officer to bind the corporation.) APPROVED AS TO FORM: RONALD R. BALL City Attorney By: -City Attorney hr;=G 1 e* tp Revised 10/08/03 Contract no. 36991 Paae 31 DOUGLAS E. BARNHART, INC. ,’, RESOLUTION OF THE BOARD OF DIRECTORS /I BE IT RESOLVED THAT: Douglas E. Barnhart. Arthur L. Barnhart William R. Sharp and Whose signatures appear below, of this corporation are hereby authorized, from time to time, in the name of this corporation to execute Contract Documents as often as may seem advisable to such persons.” “The authority herein conferred shall continue in full force and effect until written notice of its revocation shall be received by said holder of the above described instruments executed prior to any such revocation.” Authorized Tb Sign: Clay Maki Bdan Cahill Douglas E. Barnhart, Chief Executive Officer Arthur L. Barnhart, Chief Operations Officer William R. Sharp, President Eric G. Stenman, Esq., Corporate Counsel Date 1%. s. 03 Date Date No. 5907 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County of Orange On March 18, 2004 before me, Leigh McDonough, Notary Public DATE NAME, TITLE OF OFFICER - E.G., "JANE DOE, NOTARY PUBLIC" personally appeared Jeri Apodaca NAME(S) OF SIGNER(S) personally known to me - OR - proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) idare subscribed to the within instrument and acknowledged to me that helshelthey executed the same in his/her/their authorized capacity(ies), and that by hishedtheir signature(s) on the instrument the person(s), or the entity won U U OPTIONAL Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent reattachment of this form. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT INDIVIDUAL CORPORATE OFFICER TITLE OR TYPE OF DOCUMENT TITLE(S) LIMITED E GENERAL 0 PARTNER(S) ATTORNEY-IN-FACT 0 TRUSTEE(S) GUARDIAN/CONSERVATOR NUMBER OF PAGES 0 OTHER: SIGNER IS REPRESENTING: NAME OF PERSON@) OR ENTITY(IES) DATE OF DOCUMENT SIGNER(S) OTHER THAN NAMED ABOVE S-4067/GEEF 2/98 0 1993 NATIONAL NOTARY ASSOCIATION 8236 Remmet Ave., P.O. Box 7184 Canoga Park, CA 91309-718d CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County of San Dieao On March 23, 2004 before me, Grace M. Schuessler, Notary Public ’ Date Name and Title of Officer (e.g. “Jane Doe, Notary Public”) Personally appeared William R. Sharp Name(s) of Signer@) personally known to me - OR -- 0 proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to the within instrument and acknowledged to me that he executed the same in his authorized capacity, and that by his signature on the instrument the person, or the entity upon behalf of which the person acted, executed the instrument. 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. Description of Attached Document Title or Type of Document: Faithful PerformanceNVarranty Bond# 240041 69, Aviara Community Park Contract No. 36991, City of Carlsbad. $7,598,499.00. Document Date: March 18,2004 Number of Pages: 12) plus notarizations, Power of Attorney 12241 26, Notice from Surety Required by Terrorism Risk Insurance Act of 2002, Signer(s) Other Than Name Above: Jeri Apodaca Capacity Claimed by Signer Signer’s Name: William R. Sharp. - 0 Individual Corporate Officers Tit I e( s): President Partner -- 0 Limited 0 General 0 Attorney-in-fact 0 Trustee 0 Guardian or Conservator Other: Signer is Representing: douglas e. barnhart, inc. (if applicable) Bond No. 24004169 Premium $r+icluded in charge for Performance Bond .- LABOR AND MATERIALS BOND WHEREAS, the City Council of the City of Carlsbad, State of California, by Resolution No. 2004-062, adopted March 9,2004 (hereinafter designated as the "Principal"), a Contract for: has awarded to DOUGLAS E BARNHART, INC. AVIARA COMMUNITY PARK CONTRACT NO. 36991 in the City of Carlsbad, in strict conformity with the drawings and specifications, and other Contract Documents now on file in the Office of the City Clerk of the City of Carlsbad and all of which are incorporated herein by this reference. WHEREAS, Principal has executed or is about to execute said Contract and the terms thereof require the furnishing of a bond, providing that if Principal or any of their subcontractors shall fail to pay for any materials, provisions, provender or other supplies or teams used in, upon or about the performance of the work agreed to be done, or for any work or labor done thereon of any kind, the Surety on this bond will pay the same to the extent hereinafter set forth. NOW, THEREFORE, WE, DOUGLAS E. BARNHART, INC. , as Principal, (hereinafter designated as the "Contractor"), and Liberty Mutual Insurance Company as Surety, are held firmly bound unto the City of Carlsbad in the sum of FIVE Dollars ($ 7,598,499.00 ), said sum being an amount equal to: One hundred percent (100%) of the total amount payable under the terms of the contract by the City of Carlsbad, and for which payment well and truly to be made we bind ourselves, our heirs, executors and administrators, successors, or assigns, jointly and severally, firmly by these presents. SEVEN MILLION, HUNDRED NINETY-EIGHT THO US AND, FOUR HUNDRED NIN ETY-NIN E-- I THE CONDITION OF THIS OBLIGATION IS SUCH that if the Contractor or his/her subcontractors fail to pay for any materials, provisions, provender, supplies, or teams used in, upon, for, or about the performance of the work contracted to be done, or for any other work or labor thereon of any kind, consistent with California Civil Code section 31 81, or for amounts due under the Unemployment Insurance Code with respect to the work or labor performed under this Contract, or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department from the wages of employees of the contractor and subcontractors pursuant to section 13020 of the Unemployment Insurance Code with respect to the work and labor, that the Surety will pay for the same, and, also, in case suit is brought upon the bond, reasonable attorney's fees, to be fixed by the court consistent with California Civil Code section 3248. This bond shall inure to the benefit of any of the persons named in California Civil Code section 31 81, so as to give a right of action to those persons or their assigns in any suit brought upon the bond. Surety stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract, or to the work to be performed thereunder or the specifications accompanying the same shall affect its obligations on this bond, and it does hereby waive notice of any change, extension of time, alterations or addition to the terms of the contract or to the work or to the specifications. In the event that Contractor is an individual, it is agreed that the death of any such Contractor shall not exonerate the Surety from its obligations under this bond. f-- 4- k# Revised 10/08/03 Contract No. 36991 Page 28 OPTIONAL ESCROW AGREEMENT FOR SECURITY DEPOSITS IN LIEU OF RETENTION Thls Escrow Agreement Is made and entered into by and between the City of Carlsbad whose address is I200 Carlsbad Village Drive, Carlsbad, California, 92008, hereinafter called '*C!W and douglas e. barnhart, inc. 10760 Thornmint Road, San Diego, CA 92127-2700 whose addmss 1s hereinafter called "Centractor" and, North Island Financial Credit Union called "Escrow Agent," whose address Is he reinafter 2300 Borne11 Road, Chula Vista, CA 91914 For lhe considetatton hereinafter set forth, the City, Contnctbr and Escrow Agent agree as rollows: I. Pursuanl Lo sections 22300 and 10263 of tho Publlc Contract Code of the State of Callfornla, the Contractor has the option to deposit securltles with the Escrow Agent as a substftute far retention earnings requlred to be withheld by the Clty pursuant tP the Construcffon Contract entered into between the City and Contractor for AVIARA COMMUNITY PARK, CONTRACT NO. 36991 in the amount Of $7.598 ,499-00 datedmrch 29, 2004 (hereinafter referred to as the "Contract"). Alternatively, on wrltlen request of the Contmttot, the Clty shall make payments of tb$ raienllon earnings directly to the Escrow Agent, When the Contractor depaslts the securltles as a substftule for Contract earnings, the Escrow Agent shall notify the Clty wflhln 10 days of tile deposit. The Escrow Agenl shall maintain Insurance to cover negligent acts and omlsslons of the Escrow Agent in connection with lhe handllng of relentions under these sections In an amount not less than $100,000 per contract. The market value of the secudties et the tlme of the substftullon shall be a leas1 equal to the cash amount then required to be withheld as retention under the terms of the conlracl between the City and Contractor. Securities shall be held in the name of the City and shall designate the Contactor a5 the beneficial owner. 2. The City shall make progress payments to the Contractor for such funds which otherwise would be withheld from progress payments pursuant ta the Contract provisions, provided hat the Escrow Agent. holds securllias In the form and amount specified above. 3, When the City makes payment of retentions earned directly to the Escrow Agent, the Escrow Agent shall hold them for the benefit of the Contractor until such lime as the escrew created under this contract Is tenlnated, The Conlractar may dlrecl lhe Investmenl of the payments into securitles. All terms and conditlons af thls agreement and the rights and responsibilities of the parties shall be equally appitwble and binding wlien the Clty pays the Escrnw Agent directly, 4, The Contractor shall be responsible for paylng all fees for the expenses Incurred by the Escrow AgBnt in administering the Escrow Account and all expenses 01 the City. These expenses and payment Lerms shalt be determined by the City, Contractor and Escrow Agent 5. The interest earned on the securities or the money market accounts held In escrow and all interest twned on that interest shall be for the sole account of Contractor and shall be subject to withdrawal by Contmctbr at any time and from tlme to LIme tM'thout notice tb the Clly. 6. Contractor shall have the right fb withdraw all of any parl. of the prlnclpal In the Escrow Account only by written notice to Escrow Agent aceompanled by written aulhodzatlon from Clty to the Escrow Agent that: City consents to the withdrawal bf the amount sought to be dthdrawn by Contractor, *w El? Revised 1 Dlb8103 Contract no. 36931, Paw 32 .' 7. The City shall have a right to draw upon the securities in the event of default by the Contraetbr. Upon seven days' written notice to the Escrow Agent from the Cky of the default, the Escrow Agent shall Immediately convert the securities to cash and sl'lall distribute the cash as instructed by Lhe City. 8. Upon receipt of written nbtificatlbn from the Clty certifying that the Contract is final and complete and that the Contractor has complied with all requirements and probcedures applicable to the Contract, the Escrow Agent shall release to Contractor all securities and interest on deposit less escmw fee5 and charges of the Escrow Account. The escrow shall be closed immedialeiy upcn disbursement of all moneys and securitlesan deposit and payments of fees and charges, . 9. The Escrow Agent shall rely on the wrltten notifications from the City and the Contnclor pursuant 'to sections (1) to (81, inclusive, of this agreement and the City and Contractor shall hold Escrow Agent harmless from Escrow Agent's release, conversion and disbursement of the securitfes and interest as set forth above, 10. The names of the persons who are authorized to give written notices or to rewive written notice on behalr of the City and on behalf of Contractor in connection with the foregoing, and exemplars of lhelr respective signatures are as follows: Name LISA HILDABRAND I ,I Signature *"A* ' 1635 FARADAY AmNUt ' For Can tra cto r: For Escrow Agent: Address CARLSBAD, CA 92008 Title CEO Name Douglas EA Baphart Signature Address 10760 Thornmint Rd.,San Diego, CA 92127 Title Renional Vice Presid.ent ._ Signatu re Address \b 30 d Bosvell.Road, Chula Vista, CA 91914 At the tlme the Escrow Account is opened, lhe Cily and Contractor shall deliver to the Escrow Agent a fully executed counterpart of thk Agreement *m Revised 10108103 Con:mct no, 36991 Paae 33 *I IN WITNESS WHEREOF, the parlles have execuled this Agreement by their proper officers on the date first set fwth.above, Far City For Cantnctor; For Escrow Agent: Tflle MAYOR Address CARLSBAD, CA 92008 Title Executive Vice .President Name Brian H. Cahill Address 10760 Thornmint Rd..San Diego, CA 92127 Vice &en& Address Scri;ps Poway Off ice 10549 Scripps Poray Pkwy, San Diego, CA 4- Gs Revised I O/O8/O3 Contract no, 3699 1 Pam 34 SUPPLEMENTAL PROVISIONS FOR AVIARA COMMUNITY PARK CONTRACT NO. 36991 SUPPLEMENTAL PROVISIONS TO STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION PART I, GENERAL PROVISIONS SECTION 1 --TERMS, 1-1 TERMS Add the following section: DEFINITIONS ABBREVIATIONS AND SYMBOLS 1-1 .I Reference to Drawings. Where words "shown", "indicated", "detailed", "noted", "scheduled", or words of similar import are used, it shall be understood that reference is made to the plans accompanying these provisions, unless stated otherwise. Add the following section: 1-1.2 Directions. Where words "directed", "designated", "selected", or words of similar import are used, it shall be understood that the direction, designation or selection of the Engineer is intended, unless stated othetwise. The word "required" and words of similar import shall be understood to mean "as required to properly complete the work as required and as approved by the Engineer," unless stated otherwise. I Add the following section: 1-1.3 Equals and Approvals. Where the words "equal", "approved equal", "equivalent", and such words of similar import are used, it shall be understood such words are followed by the expression "in the opinion of the Engineer", unless otherwise stated. Where the words "approved", "approval", "acceptance", or words of similar import are used, it shall be understood that the approval, acceptance, or similar import of the Engineer is intended. Add the following section: 1-1.4 Perform. The word "perform" shall be understood to mean that the Contractor, at its expense, shall perform all operations, labor, tools and equipment, and further, including the furnishing and installing of materials that are indicated, specified or required to mean that the Contractor, at its expense, shall furnish and install the work, complete in place and ready to use, including furnishing of necessary labor, materials, tools, equipment, and transportation. 1-2 DEFINITIONS. Modify as follows: The following words, or groups of words, shall be exclusively defined by the definitions assigned to them herein. Agency - the City of Carlsbad, California. ,- City Council -the City Council of the City of Carlsbad. e= tS Revised 10/08/03 Contract no. 36991 Paae 35 City Manager - the City Manager of the City of Carlsbad or hidher approved representative Dispute Board - persons designated by the City Manager to hear and advise the City Manager on claims submitted by the Contractor. The City Manager is the last appeal level for informal dispute resolution. Engineer - the Public Works Director of the City of Carlsbad or hidher approved representative. The Engineer is the third level of appeal for informal dispute resolution. Minor Bid Item - a single contract item constituting less than 10 percent (10%) of the original Contract Price bid. Own Organization - When used in Section 2-3.1 - Employees of the Contractor who are hired, directed, supervised and paid by the Contractor to accomplish the completion of the Work. Further, such employees have their employment taxes, State disability insurance payments, State and Federal income taxes paid and administered, as applicable, by the Contractor. When used in Section 2-3.1 "own organization" means construction equipment that the Contractor owns or leases and uses to accomplish the Work. Equipment that is owner operated or leased equipment with an operator is not part of the Contractor's Own Organization and will not be included for the purpose of compliance with section 2-3.1 of the Standard Specifications and these Supplemental Provisions. Owner OperatodLessor - Any person who provides equipment or tools with an operator provided who is employed by neither the Contractor nor a subcontractor and is neither an agent or employee of the Agency or a public utility. Principal Inspector - The Senior Inspector's immediate supervisor and second level of appeal for informal dispute resolution. Project Inspector - the Engineer's designated representative for inspection, contract administration and first level for informal dispute resolution. Project Manager - the Deputy City Engineer of the City of Carlsbad or hislher approved representative. Senior Inspector - the Project Inspector's immediate supervisor and first level of appeal for informal dispute resolution. - 1-3 ABBREVIATIONS 1-3.2 Common Usage, add the following: Abbreviation Word or Words Apts ........................................ Aprtment and Apartments Bldg ........................................ Building band Buildings CMWD .................................... Calsbad Municipal Water District CSSD .................. cfs ........................................... Cubic Feet peaecond Comm ..................................... Commecial DR .......................................... Dimension Ratio E ............................................. Eleclc G ............................................. Gas gal ........................................... Gallon and Gallons Gar ......................................... Gage and Garages GNV ........................................ &~und Not Visible gpm .......................................... allons penninute .............. Cabbad Supplemental Standard Drawings *% tc Revised 10/08/03 Contract no. 36991 Paoe 36 IE ............................................ Inert Elevation LCWD ................................... ..Leucadia Countwater District MSL ........................................ Man Sea Level (see Regional Standard Drawing M-12) MTBM ..................................... bkrotunneling Boring Machine OHE ........................................ Oarhead Electric OMWD ................................... Oli~nhain Municipal Water District ry NCTD ..................................... Noth County Transit Distrct ROW ...................................... RighBf-Way S ............................................. Sew or Slope, as applicable SDRSD .................................. .San Diego Regional tEBndard Drawing T ............................................ .ilephone UE .......................................... Undqround Electric W ............................................ Wter, Wider or Width, as applicable VWD ....................................... Mllecitos Water District SDNR ..................................... San Diego Nuhern Railway SFM ........................................ Semr Force Main SECTION 2 -- SCOPE AND CONTROL OF THE WORK 2-3 SUBCONTRACTS. 2-3.1 General, add the following: Should the Contractor fail to adhere to the provisions requiring the Contractor to complete 25 percent of the contract price with its own organization, the Agency may at its sole discretion elect to cancel the conttact or to deduct an amount equal to 10 pelcent of the value of the work performed in excess of 25 percent of the contract price by other than the Contractor’s own organization. The City Council shall be the sole body for determination of a violation of these provisions. In any proceedings under this section, the prime contractor shall be entitled to a public hearing before the City Council and shall be notified ten (1 0) days in advance of the time and location of said hearing. The determination of the City Council shall be final. - For the purpose of this contract, the City and Contractor shall interpret Section 2-3.2 of the Standard Specifications for Public Works Construction, (SSPWC) (Greenbook) as being modified to require the Contractor to complete or otherwise self-perform twenty five (25) percent of the contract price with its own organization. 2-3.2 Specialty Items: With reference to Section 2-3.2 of the Standard Specifications for Public Works Construction, (SSPWC) (Greenbook), the City of Carlsbad does hereby identify the following items of work “Specialty Items” for this bid: Preparation, installation, and all materials, systems, and equipment associated with the synthetic turf for the soccer field; Preparation, installation, and all materials, systems, and equipment associated with the rubberized surface and children’s play structures within the tot-lot areas of the park; The following items of work associated with, and limited solely to all building structures on site: a. Masonry, including concrete footings; b. Metals c. Wood and Plastics, rough and finish; d. Thermal and moisture protection; e. Doors and Windows f. Mechanical systems and equipment g. Electrical Systems and Equipment The following items of work associated with general site work: a. Site lighting, including sports field lights; 1. 2. 3. 4. 4- ts Revised 10/08/03 Contract no. 36991 Paae 37 b. Landscaping and Irrigation, including turf planting and irrigation, soils preparation, and planting of shrubs, groundcover, and trees. 2-4 CONTRACT BONDS, modify the second sentence of paragraph one as follows: Delete, "who is listed in the latest version of US. Department ofTreasury Circular 570,". Modify paragraphs three- and four to read: The Contractor shall provide a faithful perform- ance/warranty bond and payment bond (labor and materials bond) for this contract. The faithful performance/warranty bond shall be in the amount of 100 percent of the contract price. The Contractor shall provide bonds to secure payment of laborers and materials suppliers, in an amount equal to: 1) One hundred percent (100%) of the total amount payable by the terms of the contract. Both bonds shall extend in full force and effect and be retained by the Agency during this project until they ate released according to the provisions of this section. The faithful performance/warranty bond will be reduced to 25 percent of the original amount 30 days after recordation of the Notice of Completion and will remain in full force and effect for the one year warranty period and until all warranty repairs are completed to the satisfaction of the Engineer. The bonds to secure payment of laborers and materials suppliers shall be released six months plus 30 days after recordation of the Notice of Completion if all claims have been paid. Add the following: All bonds are to be placed with a surety insurance carrier admitted and authorized to transact the business of insurance in California and whose assets exceed their liabilities in an amount equal to or in excess of the amount of the bond. The bonds are to contain the following 1) An original, or a certified copy, of the unrevoked appointment, power of attorney, by laws, or other 2) A certified copy of the certificate of authority of the insurer issued by the insurance commissioner. If the bid is accepted, the Agency may require a financial statement of the assets and liabilities of the insurer at the end of the quarter calendar year prior to 30 days next preceding the date of the execution of the bond. The financial statement shall be made by an officer's certificate as defined in Section 173 of the Corporations Code. In the case of a foreign insurer, the financial statement may be verified by the oath of the principal officer or manager residing within the United States. documents: - instrument entitling orauthorizing the person who executed the bond to do so. 2-5 PLANS AND SPECIFICATIONS. 2-5.1 General, add the following: The specifications for the work include the Standard Specifications for Public Works Construction, (SSPWC). current Edition, adopted supplements thereto, hereinafter designated "SSPWC", as written and promulgated by Joint Cooperative Committee of the Southem California Chapter American Public Works Association and Southem California Districts Associated General Contractors of California, and as amended by the Supplemental Provisions section of this contract. Also included are AIA A201 General Conditions, Document 00810, and Divisions 1 -16 Specifications. The construction plans consist of drawings and specification published by the City of Carlsbad and designated as Aviara Community Park, City Project No. 36991. The standard drawings used for this project are the latest edition of the San Diego Area Regional Standard Drawings, hereinafter designated SDRS. as issued by the San Diego County Department of Public Works, together with the most recent editions of the City of Carlsbad Supplemental Standard Drawings, hereinafter designated as CSSD, as issued by the City of Carlsbad and the Carlsbad Municipal Water District Standard Plans hereinafter designated as CMWDSD, as issued by the Carlsbad Municipal Water District. Copies of some of the pertinent standard drawings are enclosed as an appendix to these -. e* Revised 10/08/03 Contract no. 36991 Paae 38 day day of 120-4 of March ,2004. Executed by CONTRACTOR this Executed by SURETY this 18th ,- CONTRACTOR: SURETY: douglas e. barnhart, inc. Liberty Mutual Insurance Company (name of Contractor) By: (name of Surety) 505 S. Main Street, #830, Orange, CA 92868 (sign here) (address of Surety) (714) 542-9458 (print name here) (title and organization of signatory) (telephone number of Surety) Jeri Apodaca (printed name of Attorney-in-Fact) - tJI*wq p- s* (attach corporate resolution showing current power (print name here) of attorney) ptwefl- pod4* e. (title and'organizafion of signatory) - (Proper notarial acknowledgment of execution by CONTRACTOR and SURETY must be attached.) (President or vice-president and secretary or assistant secretary must sign for corporations. If only one officer signs, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering that officer to bind the corporation.) APPROVED AS TO FORM: RONALD R. BALL City Attorney By: e= %# Revised 10/08/03 Contract no. 36991 Paae 29 DOUGLAS E. BARNHART, INC. RESOLUTION OF THE BOARD OF DIRECTORS , , ’ ,r* ‘,/ , BE IT RESOLVED THAT: Douglas E. Barnhart, .- Arthur L. Barnhart William R. Sham and Eric G. Stenman. Esq, Whose signatures appear below, of this corporation are hereby authorized, from time to time, in the name of this corporation to execute Contract Documents as often as may seem advisable to such persons.” “The authority herein conferred shall continue in full force and effect until written notice of its revocation shall be received by said holder of the above described instruments executed prior to any such revocation.” Authorized To Sign: Directors/ , - Clay Maki Bdan Cahill Douglas E. Barnhart, Chief Executive Officer Arthur L. Barnhart, Chief Operations Officer William R. Sharp, President Eric G. Stenman, Esq., Corporate Counsel /c7/5/*3 Date ,a-l.;/O+ Date Date Date 12/5/03 Date Date ,. CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT No. 5907 State of California County of Orange On March 18, 2004 before me, Leigh McDonough, Notary Public personally appeared Jeri Apodaca I personally known to me - OR - proved to me on the basis of satisfactory 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 DATE NAME, TITLE OF OFFICER - E.G., "JANE DOE, NOTARY PUBLIC" NAME(S) OF SIGNER@) behalf of which the person(s) acted, executed the instrument. WITNESS my hand and official seal. SIG~TURE OF NOTA OPTIONAL Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent reattachment of this form. CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT 0 INDIVIDUAL 0 CORPORATE OFFICER TITLE OR TYPE OF DOCUMENT TITLE(S) LIMITED B GENERAL 0 PARTNER(S) ATTORNEY-IN-FACT 0 TRUSTEE(S) GUARD IAN/CONS ERVATO R NUMBER OF PAGES 0 OTHER: SIGNER IS REPRESENTING: DATE OF DOCUMENT NAME OF PERSON(S) OR ENTITY(IES) SIGNER(S) OTHER THAN NAMED ABOVE S-4067lGEEF 2/98 0 1993 NATIONAL NOTARY ASSOCIATION 8236 Remmet Ave., P.O. Box 7184 Canoga Park, CA 91309-7184 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT & County of San Dieao On March 23, 2004 before me, Grace M. Schuessler, Notarv Public 1 Date Name and Title of Officer (e.g. “Jane Doe, Notary Public”) Personally appeared William R. Sharp Name(s) of Signer@) personally known to me - OR -- 0 proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to the within instrument and acknowledged to me that he executed the same in his authorized capacity, and that by his signature on the instrument the person, or the entity upon behalf of which the person acted, executed the instrument. 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. Description of Attached Document Title or Type of Document: Labor and Materials Bond# 24004169, Aviara Community Park Contract No. 36991, City of Carlsbad, $7,598,499.00. Document Date: March 18,2004 Number of Pages: /2) plus notarizations, Power of Attorney 1224126, Notice from Surety Required bv Terrorism Risk Insurance Act of 2002, Signer(s) Other Than Name Above: Jeri Apodaca Capacity Claimed by Signer Signer’s Name: William R. Sharp. 0 Individual Corporate Officers Tit I e (s ) : President Partner -- 0 Limited 0 General (if applicable) 0 Attorney-in-Fact 0 Trustee 0 Guardian or Conservator 0 Other: Signer is Representing: doualas e. barnhart, inc. 1224126 THIS POWER OF ATTORNEY IS NOT VALID UNLESS IT IS PRINTED ON RED BACKGROUND. This Power of Attorney limits the acts of those named herein, and they have no authority to bind the Company except in the manner and to the extent herein stated. LtBERTY MUTUAL INSURANCE COMPANY BOSTON, MASSACHUSETTS POWER OF ATTORNEY r KNOW ALL PERSONS BY THESE PRESENTS That Liberty Mutual Insurance Company (the %ompany'), a Massachusetts stock insurance company, pursuant to and by authority of the By-law and Authorization hereinafter set forth, does hereby name, constitute and appoint RHONDA C. ABEL, NANEllE MARIELLA-MYERS, JAMES A. SCHALLER, JANE KEPNER, MICHAEL D. PARIZINO, JERl APODACA, LINDA €NRIGHT, PATRiCIA H. BREBNER, LEIGH MCDONOU IRVINE, STATE OF CALIFORNIA ........................................................................... , each individually if there be more than one named, its true and lawful attorney-in-fact to make, e LEXlS H. BRYAN, ALL OF THE CITY OF ............I. .... .............. m ...................... seal, acknowledge and deliver, for and on its ARTICLE Xlll - Execution of Contracts: Section 5. Sure Any officer of the Company authorized for that purpose in writing by the chairman or the president, and subject to such limitations as the chairman or the president may prescribe, shall appoint such attorneys-in-fact, as may be necessary to act in behalf of the Company to make, execute, seal, acknowledge and deliver as surety any and all undertakings, bonds, recognizances and other surety obligations. Such attorneys-in-fact, subject to the limitations set forth in their respective powers of attorney, shall have full power to bind the Company by their signature and execution of any such instruments and to attach thereto the seal of the Company. When so executed such instruments shall be as binding as if signed by the president and attested by the secretary. Pursuant to Article XIII, Section 5 of the By-Laws, Garnet W. Elliott, Assistant Secretary of Liberty Mutual Insurance Company, is hereby deliver as surety any and all undertakings, bonds, recognizances and other surety obligations. By the following instrument the chairman or the president has authorized the officer or other official named therein to appoint attorneys-in-fact: authorized to appoint such attorneys-in-fact as may be necessary to act in behalf of the Company to make, execute, seal, acknowledge and the corporate seal of ' behalf as sure and as its act and deed, an and all undertakings, bonds, recognizances and other surety obli ations in the penal sum not exceeding ONE HUNDR~D SEVENTY-FIVE M~LU~N AND oo/ioo** *********-*** DOLLARS ($ 17!5,0~,000.80***** ) each, and the - 8 3 Q) E r, .- 3 2 50 - E Ob 8 5 30 -9 Ob VOTED that the facsimile or mechanically reproduced signature of any assistant secretary of the company, wherever appearing upon a certified copy of any power of attorney issued by the company in connection with surety bonds, shall be valid and binding upon the company with the same force and effect as though manually affixed. ,f- IN TESTIMONY WHEREOF I ve hereunto subscribed my name and affixed the corporate seal of the said company, this 18th day of March , 2684 . NOTICE FROM SURETY REQUIRED BY TERRORISM RISK INSURANCE ACT OF 2002 In accordance with the Terrorism Risk Insurance Act of 2002 (referred to hereinafter as the “Act”), this disclosure notice is provided for surety bonds on which one or more of the following companies is the issuing surety: Liberty Mutual Insurance Company; Liberty Mutual Fire Insurance Company; LM Insurance Corporation; The First Liberty Insurance Corporation; Liberty Insurance Corporation; Employers Insurance Company of Wausau (formerly “EMPLOYERS INSURANCE OF WAUSAU A Mutual Company”); Peerless Insurance Company; and any other company that is a part of or added to the Liberty Mutual Group for which surety business is underwritten by Liberty Bond Services (referred to collectively hereinafter as the “Issuing Sureties”). NOTICE FORMS PART OF BOND I This notice forms part of surety bonds issued by any one or more of the Issuing Sureties. DISCLOSURE OF PREMIUM The premium attributable to any bond coverage for “acts of terrorism” as defined in Section 102( I ) of the Act is Zero Dollars ($0.00). DISCLOSURE OF FEDERAL PARTICIPATION IN PAYMENT OF TERRORISM LOSSES The United States will reimburse the Issuing Sureties for ninety percent (90%) of any covered losses from terrorist acts certiied under the Act exceeding the applicable surety deductible. LMIC-653 9 2/03 Supplemental Provisions. 2-5.2 Precedence of Contract Documents, modify as follows: In case of conflict, the document requiring the most stringent performance, highest quality or most quantity shall prevail. 2-5.3.3 Submittals: Delete as published. Document 0081 0 and Specification Divisions 1-1 6, including Section 01330. Replace with the following: Provide submittals per Add the following: 2-5.4 Record Drawings, Replace with the following: Provide record drawings per Document 0081 0 and Specification Divisions 1-1 6, including Section 01 500 and 01 770. Delete as published. 2-10 AUTHORITY OF BOARD AND ENGINEER. Add the following section: 2-10.1 Availability of Records, The Contractor shall, at no charge to the Agency, provide copies of all records in the Contractor’s or subcontractor’s possession pertaining to the work that the Engineer may request. Add the following section: 2-10.2 Audit And Inspection, Contractor agrees to maintain and/or make available, to the Engineer, within San Diego County, accurate books and accounting records relative to all its activities and to contractually require all subcontractors to this Contract to do the same. The Engineer shall have the right to monitor, assess, and evaluate Contractor’s and its subcontractors performance pursuant to this Agreement, said monitoring, assessments, and evaluations to include, but not be limited to, audits, inspection of premises, reports, contracts, subcontracts and interviews of Contractor’s staff and the staff of all subcontractors to this contract. At any time during normal business hours and as often as the Engineer may deem necessary, upon reasonable advance notice, Contractor shall make available to the Engineer for examination, all of its, and all subcontractors to this contract, records with respect to all matters covered by this Contract and will permit the Engineer to audit, examine, copy and make excerpts or transcripts from such data and records, and to make audits of all invoices, materials, payrolls, records of personnel, and other data relating to all matters covered by this Contract. However, any such activities shall be carried out in a manner so as to not unreasonably interfere with Contractor’s ongoing business operations. Contractor and all subcontractors to this contract shall maintain such data and records for as long as may be required by applicable laws and regulations. SECTION 3 -- CHANGES IN WORK 3-3 EXTRA WORK. 3-3.3 Daily Reports by Contractor, add the following after the second sentence: Payment for extra work will not be made until such time that the Contractor submits completed daily reports and all supporting documents to the Engineer. 3-4 CHANGED CONDITIONS. Delete the second sentence of paragraph three, delete paragraph five (5), and add the following: The Contractor shall not be entitled to the payment of any additional compensation for any act, or failure to act, by the Engineer, including failure or refusal to issue a change order, or for the happening of any event, thing, occurrence, or other cause, unless the Contractor shall have first given the Engineer due written notice of potential claim as hereinafter specified. Compliance with this section *= %# Revised 10/08/03 Contract no. 36991 Paae 39 shall not be required as a prerequisite to notice provisions in Section 6-7.3 Contract Time Accounting, nor to any claim that is based on differences in measurement or errors of computation as to contract quantities. The written notice of potential claim for changed conditions shall be submitted by the Contractor to the Engineer upon their discovery and prior to the time that the Contractor performs the work giving rise to the potential claim. The Contractor’s failure to give written notice of potential claim for changed conditions to the agency upon their discovery and before they are disturbed shall constitute a waiver of all claims in connection therewith. The Contractor shall provide the City with a written document containing a description of the particular circumstances giving rise to the potential claim, the reasons for which the Contractor believes additional compensation may be due and nature of any and all costs involved within ten (1 0) working days of the date of service of the written notice of potential claim for changed conditions. Verbal notifications are disallowed. The potential claim shall include the following certification relative to the California False Claims Act, Government Code Sections 12650-1 2655. “The undersigned certifies that the above statements are made in full cognizance of the California False Claims Act, Government Code sections 12650-1 2655. The undersigned further understands and agrees that this potential claim, unless resolved, must be restated as a claim in response to the City’s proposed final estimate in order for it to be further considered.” By: Title: Date: Company Name: The Contractor’s estimate of costs may be updated when actual costs are known. The Contractor shall submit substantiation of its actual costs to the Engineer within twenty one (21) working days after the affected work is completed. Failure to do so shall be sufficient cause for denial of any claim subsequently filed on the basis of said notice of potential claim. It is the intention of this section that differences between the parties arising under and by virtue of the contract be brought to the attention of the Engineer at the earliest possible time in order that such matters be settled, if possible, or other appropriate action promptly taken. 3-5 DISPUTED WORK. Add the following: The Contractor shall give the agency written notice of potential claim prior to commencing any disputed work. Failure to give said notice shall constitute a waiver of all claims in connection therewith. *% tw Revised 10/08/03 Contract no. 36991 Paae40 All claims by the contractor for $375,000 or less shall be resolved in accordance with the procedures in the Public Contract Code, Division 2, Part 3, Chapter 1, Article 1.5 (commencing with Section 201 04) which is set forth below: ARTICLE I .5 RESOLUTION OF CONSTRUCTION CLAMS 20104. (a)(l) This article applies to all public works claims of three hundred seventy-five thousand dollars ($375,000) or less which arise between a contractor and a local agency. (2) This article shall not apply to any claims resulting from a contract between a contractor and a public agency when the public agency has elected to resolve any disputes pursuant to Article 7.1 (commencing with Section 10240) of Chapter 1 of Part 2. (b)(l) "Public work" has the same meaning as in Sections 3100 and 3106 of the Civil Code, except that "public work" does not include any work or improvement contracted for by the state or the Regents of the University of California. (2) "Claim" means a separate demand by the contractor 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 for a public work and payment of which is not otherwise expressly provided for or the claimant is not othenvise entitled to, or (C) an amount the payment of which is disputed by the local agency. (c) The provisions of this article or a summary thereof shall be set forth in the plans or specifications for any work which may give rise to a claim under this article. (d) This article applies only to contracts entered into on or after January 1, 1991. 20104.2. For any claim subject to this article, the following requirements apply: (a) The claim shall be in writing and include the documents necessary to substantiate the claim. Claims must be filed on or before the date of final payment. Nothing in this subdivision is intended to extend the time limit or supersede notice requirements otherwise provided by contract for the filing of claims. (b)(l) For claims of less than fifty thousand dollars ($50,000), the local agency shall respond in writing to any written claim within 45 days of receipt of the claim, or may request, in writing, within 30 days of receipt of the claim, any additional documentation supporting the claim or relating to defenses to the claim the local agencymay have against the claimant. (2) If additional information is thereafter required, it shall be requested and provided pursuant to this subdivision, upon mutual agreement of the local agency and the claimant. (3) The local agency's written response to the claim, as further documented, shall be submitted to the claimant within 15 days after receipt of the further documentation or within a period of time no greater than that taken by the claimant in producing the additional information, whichever is greater. (c)(l) For claims of over fifty thousand dollars ($50,000) and less than or equal to three hundred seventy-five thousand dollars ($375,000), the local agency shall respond in writing to all written claims within 60 days of receipt of the claim, or may request, in writing, within 30 days of receipt of the claim, any additional documentation supporting the claim or relating to defenses to the claim the local agency may have against the claimant. (2) If additional information is thereafter required, it shall be requested and provided pursuant to this subdivision, upon mutual agreement of the local agency and the claimant. (3) The local agency's written response to the claim, as further documented, shall be submitted to the claimant within 30 days after receipt of the further documentation, or within a period of time no greater than that taken by the claimant in producing the additional information or requested documenta t ion, whichever is greater. (d) If the claimant disputes the local agency's written .response, or the local agency fails to respond within the time prescribed, the claimant may so notify the local agency, in writing, either within 15 days of receipt of the local agency's response or within 15 days of the local agency's failure to respond within the time prescribed, respectively, and demand an informal conference to meet and confer for settlement of the issues in dispute. Upon a demand, the local agency shall schedule a meet and confer conference within 30 days for settlement of the dispute, e= E# Revised 10/08/03 Contract no. 36991 Paae41 (e) Following the meet and confer conference, if the claim or any portion remains in dispute, the claimant may file a claim as provided in 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. 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 claimant submits his or her written claim pursuant to subdivision (a) until the time that claim is denied as a result of the meet and confer process, including any period of time utilized by the meet and confer process. (9 This article does not apply to tort claims and nothing in this article is intended nor shall be construed to change the time periods for filing tort claims or actions specified by 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. 20104.4. The following procedures are established for all civil actions filed to resolve claims subject to this article: (a) Within 60 days, but no earlier than 30 days, following the filing or responsive pleadings, the court shall submit the matter to nonbinding mediation unless waived by mutual stipulation of both parties. 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 or by stipulation of both parties. If the parties fail to select a mediator within the 15day period, any party may petition the court to appoint the mediator: (b)(l) If the matter remains in dispute, the case shall be submitted to judicial arbitration pursuant to Chapter 2.5 (commencing with Section 1141 .IO) of Title 3 of Part 3 of the Code of Civil Procedure, notwithstanding Section 1141 .I1 of that code. The 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 the subdivision consistent with the rules pertaining to judicial arbitration. (2) Notwithstanding any other provision of law, upon stipulation of the parties, arbitrators appointed for purposes of this article shall be experienced in construction law, and, upon stipulation of the parties, mediators and arbitrators shall be paid necessary and reasonable hourly rates of pay not to exceed their customary rate, and such fees and expenses shall be paid equally by the parties, except in the case of arbitration where the arbitrator, for good cause, determines a different division. In no event shall these fees or expenses be paid by state or county funds. (3) In addition to Chapter 2.5 (commencing with Section 1141 .IO) Title 3 of Part 3 of the Code of Civil Procedure, any party who after receiving an arbitration award requests a trial de novo but does not obtain a more favorable judgment shall, in addition to payment of costs and fees under that chapter, pay the attorney's fees of the other party arising out of the trial de novo. (c) The court may, upon request by any party, order any witnesses to participate in the mediation or arbitration process. 20104.6. (a) No local agency shall fail to pay money as to any portion of a claim which is undisputed except as otherwise provided in the contract. (b) In any suit filed under Section 20104.4, the local agency shall pay interest at the legal rate on any arbitration award or judgment. The interest shall begin to accrue on the date the suit is filed in a court of law. .ti kc Revised 10/08/03 Contract no. 36991 Paae 42 SECTION 4 - CONTROL OF MATERIALS 4-1 MATERIALS AND WORKMANSHIP. 4-1.3.1 General, add the following: The Contractor shall provide the Engineer free and safe access to any and all parts of work at any time. Such free and safe access shall include means of safe access and egress, ventilation, lighting, shoring, dewatering and all elements pertaining to the safety of persons as contained in the State of California, California Code of Regulations, Title 8, Industrial Relations, Chapter 4, Division of Industrial Safety, Subchapter 4, Construction Safety Orders and such other safety regulations as may apply. Contractor shall furnish Engineer with such information as may be necessary to keep the Engineer fully informed regarding progress and manner of work and character of materials. Inspection or testing of the whole or any portion of the work or materials incorporated in the work shall not relieve Contractor from any obligation to fulfill this Contract. 4-1.4 Test of Materials, Delete as published. Replace with the following: Provide testing and inspection per Document 00810 and Specifications Division 1-1 6, including Section 01450. 4-1.6 Trade names or Equals, Delete as published. Replace with the following: Substitutions will be considered by the Engineer per Document 0081 0 and Specifications Division 1-1 6, including Section 01 61 0. Add the following section: 4-2 MATERIALS TRANSPORTATION, HANDLING AND STORAGE. The Contractor shall order, purchase, transport, coordinate delivery, accept delivery, confirm the quantity and quality received, prepare storage area(s), store, handle, protect, move, relocate, remove and dispose excess of all materials used to accomplish the Work. Materials shall be delivered to the site of the work only during working hours, as defined in section 6-7.2, and shall be accompanied by bills of lading that shall clearly state for each delivery: the name of the Contractor as consignee, the project name and number, address of delivery and name of consignor and a description of the material(s) shipped. Prior to storage of any materials which have been shipped to or by the Contractor to any location within the Agency’s boundaries the Contractor shall provide the Engineer a copy of lease agreements for each property where such materials are stored. The lease agreement shall clearly state the term of the lease, the description of materials allowed to be stored and shall provide for the removal of the materials and restoration of the storage site within the time allowed for the Work. All such storage shall conform to all laws and ordinances that may pertain to the materials stored and to preparation of the storage site and the location of the site on which the materials are stored. Loss, damage or deterioration of all stored materials shall be the Contractor’s responsibility. Conformance to the requirements of this section, both within and outside the limits of work are a part of the Work. The Engineer shall have the right to verify the suitability of materials and their proper storage at any time during the Work. SECTION 5 -- UTILITIES 5-1 LOCATION. Delete the first paragraph and substitute the following: The Agency and affected utility companies have, by a search of known records, endeavored to locate and indicate on the Plans, all utilities which exist within the limits of the work. However, the accuracy andlor completeness of the nature, size and/or location of utilities indicated on the Plans is not guasnteed. e= tS Revised 10/08/03 Contract no. 36991 Paae 43 5-4 RELOCATION. Add the following: In conformance with section 5-6 the Contractor shall coordinate the work with utility agencies and companies. Prior to the installation of any and all utility structures within the limits of work by any utility agency or company, or its contractor, the Contractor shall place all curb or curb and gutter that is a part of the work and adjacent to the location where such utility structures are shown on the plans and are noted as being located, relocated or are otherwise shown as installed by others. In order to minimize delays to the Contractor caused by the failure of other parties to relocate utilities that interfere with the construction, the Contractor, upon the Engineer's approval, may be permitted to temporarily omit the portion of work affected by the utility. If such temporary omission is approved by the Engineer the Contractor shall place survey or other physical control markers sufficient to locate the curb or curb and gutter to the satisfaction of the utility agency or company. Such temporary omission shall be for the Contractor's convenience and no additional compensation will be allowed therefor or for additional work, materials or delay associated with the temporary omission. The portion thus omitted shall be constructed by the Contractor immediately following the relocation of the utility involved unless otherwise directed by the Engineer. 5-6 COOPERATION. Add the following: Contractor shall cooperate and coordinate all construction activities with utility companies, special agencies, homeowners associations, or other entities of any kind as may be required to facilitate the work herein. No additional compensation shall re requested by the Contractor nor shall any be approved by the City related to this clause. SECTION 6 -- PROSECUTION, PROGRESS AND ACCEPTANCE OF THE WORK 6-1 CONSTRUCTION SCHEDULE AND COMMENCEMENT OF WORK. Delete section 6-1 and substitute the following: Except as otherwise provided herein and unless otherwise prohibited by permits from other agencies as may be required by law the Contractor shall begin work within seven (7) calendar days after receipt of the "Notice to Proceed". Add the following section: 6-1 .I Pre-Construction Meeting. Provide meetings and scheduling documentation per Document 00810 and Specifications Division 1-16, including Sections 01310 and 01320. Add the following section: 6-1.2 Preparation and Review of the Baseline Construction Schedule. Provide meetings and scheduling documentation per Document 0081 0 and Specifications Division 1-1 6, including Sections 01310 and 01320. Add the following section: 6-1.3 Preparation of Schedule Updates and Revisions. Provide meetings and scheduling documentation per Document 0081 0 and Specifications Division 1-1 6, including Sections 01310 and 01320. Add the following section: 6-1. 4 Engineer's Review of Updated Construction Schedule. Provide scheduling documentation per Document 0081 0 and Specifications Division Sections 01310 and 01320. Add the following section: meetings and 1-1 6, including ern k# Revised 10/08/03 Contract no. 36991 Paae 44 6-1.5 Late Completion or Milestone Dates. Provide meetings and scheduling documentation per Document 00810 and Specifications Division 1-16, including Sections 01310 and 01320. Add the following section: 6-1.6 Interim Revisions. Provide meetings and scheduling documentation per Document 0081 0 and Specifications Division 1-16, including Sections 0131 0 and 01320. Add the following section: 6-1.7 Final Schedule Update. Provide meetings and scheduling documentation per Document 00810 and Specifications Division 1-16, including Sections 01310 and 01320. Add the following section: 6-1.8 Measurement and Payment. Document 0081 0 and Specifications Division 1-1 6, including Sections 01 31 0 and 01320. Provide meetings and scheduling documentation per Add the following section: 6-1.9 Measurement And Payment Of Construction Schedule. The Contractor’s preparation, revision and maintenance of the Construction Schedule are incidental to the work and no separate payment will be made therefor. 6-2 PROSECUTION OF WORK. Add the following section: 6-2.3 Project Meetings. The Engineer will establish the time and location of (weekly) Project Meetings. Each Project Meeting shall be attended by the Contractor’s Representative. The Project Representative shall be the individual determined under section 7-6, “The Contractor’s Representative”, SSPWC. No separate payment for attendance of the Contractor, the Contractor’s Representative or any other employee or subcontractor or subcontractor‘s employee at these meetings will be made. In addition, comply with requirements established by Document 00810 and Specifications Division 1-16, including Sections 01 310. 6-7 TIME OF COMPLETION. Add the following: The Contractor shall diligently prosecute the work to completion within Three hundred (300) calendar days after the starting date specified in the Notice to Proceed. 6-7.2 Working Day. Add the following: Unless otherwise approved in writing by the Engineer, the hours of work shall be between the hours of 7:OO a.m. and 4:30 p.m. on Mondays through Fridays, excluding Agency holidays. The Contractor shall obtain the written approval of the Engineer if the Contractor desires to work outside said hours or at any time during weekends andlor holidays. This written permission must be obtained at least 48 hours prior to such work. The Engineer may approve work outside the hours and/or days stated herein when, in hidher sole opinion, such work conducted by the Contractor is beneficial to the best interests of the Agency. The Contractor shall pay the inspection costs of such work. The Contractor shall incorporate the dates, areas and types of work prohibited in this section in the Construction Schedule required by section 6.1. No additional payment, adjustment of bid prices or adjustment of contract time of completion will be allowed as a consequence of the prohibition of work being performed within the dates, areas and/or types of work prohibited in this section. Attention is directed to requirements of the AIA General and Supplementary Conditions, Article 8 -Time, regarding Contractors request for additional working time outside of the hours stated above in this Section. em rrs Revised 10/08/03 Contract no. 36991 Paae 45 6-8 COMPLETION AND ACCEPTANCE. Delete the second paragraph and add the following: The Engineer will not accept the Work or any portion of the Work before all of the Work is completed and all outstanding deficiencies that may exist are corrected by the Contractor and the Engineer is satisfied that all the materials and workmanship, and all other features of the Work, meet the requirements of all of the specifications for the Work. Use, temporary, interim or permanent, of all, or portions of, the Work does not constitute acceptance of the Work. If, in the Engineer’s judgment, the Work has been completed and is ready for acceptance the Engineer will so certify to the Board. Upon such certification by the Engineer the Board may accept the completed Work. Upon the Board’s acceptance of the Work the Engineer will cause a “Notice of Completion” to be filed in the office of the San Diego County Recorder. Delete the first sentence of the third paragraph and substitute the following two sentences: All work shall be warranted for one (1) year after recordation of the “Notice of Completion” and any faulty work or materials discovered during the warranty period shall be repaired or replaced by the Contractor, at its expense. Twenty-five percent of the faithful performance bond shall be retained as a warranty bond for the one year warranty period. 6-9 LIQUIDATED DAMAGES. Modify the last sentence of the first paragraph and the first sentence of the second paragraph and add the following: For each consecutive calendar day in excess of the time specified for completion of Work, as adjusted in accordance with 6-6, the Contractor shall pay the Agency, or have withheld monies due it, the sum of Two Thousand Dollars ($2,000.00) per calendar day. Execution of the Contract shall constitute agreement by the Agency and Contractor that Two Thousand Dollars ($2,000.00) per calendar day is the minimum value of costs and actual damages caused by the Contractor to complete the Work within the allotted time. Any progress payments made after the specified completion date shall not constitute a waiver of this paragraph or of any damages. Contractor shall also be subject to additional liquidated damages as established in Document 0081 0. SECTION 7 -- RESPONSIBILITIES of the CONTRACTOR 7-3 LIABILITY INSURANCE. Modify as follows: All insurance is to be placed with insurers that have a rating in Best‘s Key Rating Guide of at least A-:V and are admitted and authorized to conduct business in the state of California and are listed in the official publication of the Department of Insurance of the State of California. 7-4 WORKERS COMPENSATION INSURANCE. Add the following: All insurance is to be placed with insurers that are admitted and authorized to conduct business in the state of California and are listed in the official publication of the Department of Insurance of the State of California. Policies issued by the State Compensation Fund meet the requirement for workers’ compensation insurance. e-, %# Revised 10/08/03 Contract no. 36991 ‘Paae 46 7-5 PERMITS. Delete the first sentence and add the following four sentences: Except as specified herein the agency will obtain, at no cost to the Contractor, all encroachment, right-of-way, grading, resource agency and building permits necessary to perform work for this contract on Agency property, in streets, highways (except State highway right-of-way), railways or other rights-of-way. Contractor shall not begin work until all permits incidental to the work are obtained. The Contractor shall obtain and pay for all permits for the disposal of all materials removed from the project, and for all permits incidental to the construction of the project, including, but not limited to, traffic control permits, temporary water meter permits, and similar permits. The cost of said permit@) shall be included in the price bid for the appropriate bid item and no additional compensation vill be allowed therefor. 7-7 COOPERATION AND COLLATERAL WORK. Add the following section: 7-7.1 Coordination. The Contractor shall coordinate and cooperate with all the utility companies during the relocation or construction of their lines. The Contractor may be granted a time extension if, in the opinion of the Engineer, a delay is caused by the utility company. No additional compensation will be made to the Contractor for any such delay. 7-8 PROJECT SITE MAINTENANCE. 7-8.1 Cleanup and Dust Control. Add the following: Cleanup and dust control required herein shall also be executed on weekends and other non-working days when needed to preserve the health safety or welfare of the public. The Contractor shall conduct effective cleanup and dust control throughout the duration of the Contract. The Engineer may require increased levels of cleanup and dust control that, in hidher sole discretion, are necessary to preserve the health, safety and welfare of the public. Cleanup and dust control shall be considered incidental to the items of work that they are associated with and no additional payment will be made therefor. 7-8.5 Temporary Light, Power and Water. Add the following: The Contractor shall obtain a construction meter for water used for the construction, plant establishment, maintenance, cleanup, testing and all other work requiring water related to this contract. The Contractor shall contact the appropriate water agency for requirements. The Contractor shall pay all costs of temporary light, power and water including hookup, service, meter and any, and all, other charges, deposits and/or fees therefor. Said costs shall be considered incidental to the items of work that they are associated with and no additional payment will be made therefor. 7-8.6 Water Pollution Control. .Add the following The Contractor shall comply with all requirements of the storm water pollution and monitoring plan prepared for this project in accordance with the California State Water Resources Control Board order number 92-08-DWQ NPDES General Permit number CAS000002 and the “Water Discharge Requirement for Discharges of Storm Water Runoff Associated with Construction Activity” Add the following section: 7-8.8 Noise Control. All internal combustion engines used in the construction shall be equipped with mufflers in good repair when in use on the project with special attention to the City Noise Control Ordinance, Carlsbad Municipal Code Chapter 8.48. em r,# Revised 10/08/03 Contract no. 36991 ‘Paae 47 7-10 PUBLIC CONVENIENCE AND SAFETY. 7-10.1 Traffic and Access. add the following: The Contractor shall schedule the work so as to prevent damage by all traffic, including but not limited to mail delivery. The Contractor shall not schedule work so as to conflict with trash pickup. The trash hauling schedule can be obtained by calling the City’s contracted waste disposal company, Coast Waste Management at 929-941 7. During overlay operations, the Contractors schedule for overlay application shall be designated to provide residents and business owners whose streets are to be overlaid sufficient paved parking within an 800 foot distance from their homes or businesses. Seventy two hours prior to the start of any construction in the public right-of-way that affects vehicular traffic and/or parking or pedestrian routes, the Contractor shall give written notification of the impending disruption. For a full street closure, all residences andlor businesses on the affected street or alley shall be notified. For partial street closures, or curb, sidewalk and driveway repairs, the residences andlor businesses directly affected by the work shall be notified. The notification shall be hand delivered and shall state the date and time the work will begin and its anticipated duration. The notification shall list two telephone numbers that may be called to obtain additional information. One number shall be the Contractor’s permanent office or field ofice and the other number shall be a 24 hour number answered by someone who is knowledgeable about the project. At least one of the phone numbers shall be in the (760) area code. An answering machine shall not be connected to either number. The notification shall also give a brief description of the work and simple instructions to the home or business owner on what they need to do to facilitate the construction. The Contractor shall submit the contents of the notification to the Engineer for approval. Notices shall not be distributed until approved by the Engineer. For residences, the notification shall be pre-cut in a manner that enables it to be affixed to a doorknob without adhesives. It shall be a minimum size of 3-1/2 inches by 8-1/2 inches and shall be brightly colored with contrasting printing. The material shall be equivalent in strength and durability to 65 Ib. card stock. The printing on the notice shall be no smaller than 12 point. An example of such notice is provided in Appendix “A”. In addition to the notifications, the contractor shall post no parking signs 48 hours in advance of the work being performed. The no parking signs shall state the date and time of parking restriction for a duration not to exceed the time necessary to complete the work at that location. Failure of the contractor to meet the posted date requires re-posting the no parking signs 48 hours in advance of the rescheduled work. If the work is delayed or rescheduled the no parking signs shall be removed and re-posted 48 hours in advance of the rescheduled work. The preparation, materials, printing and distribution of the notifications shall be included in the contract price bid for traffic control and the Contractor will not be entitled to any additional compensation for printing and distributing these notices. 7-1 0.3 Street Closures, Detours, Barricades. Modify the second paragraph as follows: After obtaining the Engineers approval and at least 5 working days before closing, detouring, partially closing or reopening any street, alley or other public thoroughfare the Contractor shall notify the followinu : - The Engineer ...................................................................................... (760) 438-1161 X-4411 Carlsbad Fire Department Dispatch .................................................. (760) 931 -21 97 . Carlsbad Police Department Dispatch ............................................... (760) 931 -21 97 Carlsbad Traffic Signals Maintenance ............................................... (760) 438-2980 X-2937 Carlsbad Traffic Signals Operations .................................................. (760) 438-1 161 X4500 North County Transit District .............................................................. (760) 743-9346 em tis Revised 10/08/03 Contract no. 36991 Paae 48 7) Coast Waste Management ................................................................ (760) 929-9400 The Contractor shall comply with their requirements. The Contractor shall obtain the Engineer’s written approval prior to deviating from the requirements of 2) through, and including, 7) above. The Contractor shall obtain the written approval no less than five working days prior to placing any traffic control that affects bus stops. 7-10.3 Street Closures, Detours, Barricades. Add the following: Traffic controls shall be in accordance with the plans, Chapter 5 of the California Department of Transportation “Manual of Traffic Controls,” 1996 edition and these Supplemental Provisions. If any component in the traffic control system is damaged, displaced, or ceases to operate or function as specified, from any cause, during the progress of the work, the Contractor shall immediately repair said component to its original condition or replace said component and shall restore the component to its original location. In the event that the Contractor fails to install and/or maintain barricades or such other traffic signs, markings, delineation or devices as may be required herein, the Engineer may, at hidher sole option, install the traffic signs, markings, delineation or devices and charge the Contractor twenty dollars ($25.00) per day per traffic sign or device, or the actual cost of providing such traffic control facility, whichever is the greater. Add the following section: 7-1 0.3.1 Construction Area Signs and Control Devices. All construction traffic signs and control devices shall be maintained throughout the duration of work in good order and according to the approved traffic control plan. All construction area signs shall conform to the provisions of section 206-7.2 et seq. AI1 temporary reflective pavement markers shall conform to the provisions of section 214-5.1 .et seq. All temporary reflective channelizers shall conform to the provisions of section 214- 5.2 et seq. All paint for temporary traffic striping, pavement marking, and curb marking shall conform to the provisions of section 210-1.6 et seq. except that all temporary paint shall be rapid dry water borne conforming to section 21 0-1.6for materials and section 31 0-5 et seq. For workmanship. Warning and advisory signs, lights and devices installed or placed to provide traffic control, direction and/or warning shall be furnished, installed and maintained by the Contractor. Warning and advisory signs, lights and devices shall be promptly removed by the Contractor when no longer required. Warning and advisory signs that remain in place overnight shall be stationary mounted signs, Stationary signs that warn of non-existent conditions shall be removed from the traveled way and from the view of motorists in the traveled way or shielded from the view of the travelling public during such periods that their message does not pertain to existing conditions. Care shall be used in performing excavation for signs in order to protect underground facilities. All excavation required to install stationary construction area signs shall be performed by hand methods without the use of power equipment. Warning and advisory signs that are used only during working hours may be portable signs. Portable signs shall be removed from the traveled way and shielded from the view of the travelling public during non-working hours. During the hours of darkness, as defined in Division 1, Section 280, of the California Vehicle Code, portable signs shall be illuminated or, at the option of the Contractor, shall be in conformance with the provisions in section 206-7.2 et seq. If illuminated traffic cones rather than post-type delineators are used during the hours of darkness, they shall be affixed or covered with reflective cone sleeves as specified in CALTRANS “Standard Specifications”, except the sleeves shall be 180 mm (7”) long. Personal vehicles of the Contractor‘s employees shall not be parked within the traveled way, including any section closed to public traffic. Whenever the Contractor’s vehicles or equipment are parked on the shoulder within 1.8 m (6’) of a traffic lane, the shoulder area shall be closed with fluorescent traffic cones or portable delineators placed on a taper in advance of the parked vehicles or equipment and along the edge of the pavement at not less than 7.6 m (25’) intervals to a point not less than 7.6 m (25’) past the last vehicle or piece of equipment. A minimum of nine (9) cones or portable delineators shall be used for the taper. A C23 (Road Work Ahead) or C24 (Shoulder Work Ahead) sign shall be mounted, as required herein, on a sign post or telescoping flag tree with flags. The sign post or flag tree shall be placed where directed by the Engineer. 4- tS Revised 10/08/03 Contract no. 36991 Paae 49 Add the following section: 7-10.3.2 Maintaining Traffic. The Contractor's personnel shall not work closer than (insert minimum acceptable lateral safety buffer distance, eg. 1.8 m (67), nor operate equipment within 0.6 m (2') from any traffic lane occupied by traffic. For equipment the than (insert minimum acceptable shy distance, eg. 0.6 m (2')) shall be measured from the closest approach of any part of the equipment as it is operated and/or maneuvered in performing the work. This requirement may be waived when the Engineer has given written authorization to the reduction in clearance that is specific to the time, duration and location of such waiver, when such reduction is shown on the traffic control plans included in these contract documents, when such reduction is shown on the traffic control plans prepared by the Contractor and approved by the Engineer or for the work of installing, maintaining and removing traffic control devices. As a condition of such waiver the Engineer may require the Contractor to detour traffic, adjust the width of, or realign the adjacent traffic lane, close the adjacent traffic lane or provide barriers. During the entire construction, a minimum of (insert appropriate number of lanes) paved traffic lanes, not less than (insert appropriate minimum lane widths, eg.3.6m (12')) wide, shall be open for use by public traffic in each direction of travel. Add the following section: 7-10.3.3 Traffic Control System for Lane Closure. A traffic control system consists of closing traffic lanes or pedestrian walkways in accordance with the details shown on the plans, CALTRANS "Manual of Traffic Control", currently adopted edition and provisions under "Maintaining Traffic" elsewhere in these Supplemental Provisions. The provisions in this section will not relieve the Contractor from its responsibility to provide such additional devices or take such measures as may be necessary to maintain public safety. When lanes are closed for only the duration of work periods, all components of the traffic control system, except portable delineators placed along open trenches or excavation adjacent to the traveled way, shall be removed from the traveled way and shoulder at the end work period. If the Contractor so elects, said components may be stored at selected central locations, approved by the Engineer, within the limits of the right-of-way. Add the fpllowing section: 7-1 0.3.4 Traffic Control for Permanent and Temporary Traffic Striping. During traffic stripe operations, traffic shall be controlled with lane closures, as provided for under "Traffic Control System for Lane Closure" of these Supplemental Provisions or by use of an alternative traffic control plan proposed by the Contractor and approved by the Engineer. The Contractor shall not start traffic striping operations using an alternative plan until the Contractor has submitted its plan to the Engineer and has received the Engineel's written approval of said plan. Add the following section: 7-10.3.5 Temporary Pavement Delineation. Temporary pavement delineation shall be furnished, placed, maintained and removed in accordance with the minimum standards specified in Chapter 5 of the "Traffic Manual", currently adopted edition published by CALTRANS. Whenever the work causes obliteration of pavement delineation, temporary or permanent pavement delineation shall be in place prior to opening the traveled way to public traffic. Lane line or centerline pavement delineation shall be provided at all times for traveled ways open to public traffic. All work necessary, including any required lines or marks, to establish the alignment of temporary pavement delineation shall be performed by the Contractor. When temporary pavement delineation is removed, all lines and marks used to establish the alignment of the temporary pavement delineation shall be removed by grinding. ks Revised 10/08/03 Contract no. 36991 Paae 50 Surfaces to receive temporary pavement delineation shall be dry and free of dirt and loose material. Temporary pavement delineation shall not be applied over existing pavement delineation or other temporary pavement delineation. Temporary pavement delineation shall be maintained until superseded or replaced with permanent pavement delineation. Temporary pavement delineation shall be removed when, as determined by the Engineer, the temporary pavement delineation conflicts with the permanent pavement delineation or with a new traffic pattern for the area and is no longer required for the direction of public traffic. When temporary pavement delineation is required to be removed, all lines and marks used to establish the alignment of the temporary pavement delineation shall be removed. Add the following section: 7-10.3.6 Preparation of New, or Modifications and Additions to Existing, Traffic Control Plan Sheets. If no traffic control plans (TCP) or Traffic Control Staging plans (TCP) are included in the project plans, or if the Contractor elects to modify TCP included in the project plans, the Contractor shall have such new or modified TCP prepared and submitted as a part of the Work for any and all construction activities that are located within the travelled way. The Contractor shall have TCP prepared and submitted as a part of the Work for any construction activities that are a part of this project that are not included in the project plans. The Contractor must submit the TCP for the Engineer’s review in conformance with the requirements of section 2-5.3, et seq. and obtain the Engineer’s approval of the TCP prior to implementing them. The minimum review period specified in section 2-5.3.1 for shop drawings and submittals shall pertain to each submittal of TCP, new, modified or added to, for the Engineer’s review. New or revised TCP submittals shall include all TCP needed for the entire duration of the Work. Each phase of the TCP shall be shown in sufficient scale and detail to show the lane widths, transition lengths, curve radii, stationing of features affecting the traffic control plan and the methodology proposed to transition to the subsequent TCP phase. When the vertical alignment of the travelled surface differs from the finished pavement elevation vertical curves must also be shown. The level of detail, format, and graphics shall be of quality and size no less than those on “Standard Specifications Reference Traffic Control Plan” Drawing number 368-5. Such modifications, supplements and/or new design of TCP shall meet the requirements of the Engineer and of the ”MANUAL OF TRAFFIC CONTROLS”, currently adopted Edition as published by the State of California Department of Transportation. Such modification, addition, supplement, and/or new design of TCP shall be prepared by a registered professional engineer appropriately registered in the State of California. The Engineer shall be the sole judge of the suitability and quality of any such modifications, supplements, and/or new designs to TCP. The Engineer may approve any such modifications, supplements, and/or new designs to the TCP when, in the Engineer’s sole opinion, such modifications, supplements, and/or new designs to the TCP prepared by the registered professional engineer retained by the Contractor will be beneficial to the best interests of the Agency. Such modification, addition, supplement, and/or new design shall not be implemented and no work shall be commenced that is contingent on such approval until the changed TCP are approved by the Engineer. The preparation of such modification, addition, supplement, and/or new designs of TCP shall not presuppose their approval or obligate the Agency in any fashion. Submittal and review requirements for such modifications, supplements, and/or new designs to TCP shall conform to the requirements of section 2-5.3 Shop Drawings and Submittals. 4- kg Revised 10/08/03 Contract no. 36991 Paae 51 Add the following section: 7-10.3.7 Payment. The Contractor shall provide traffic control at the contract lump sum price bid. The contract lump sum price shall include full compensation for furnishing all labor (including flagging costs), materials (including signs), tools, equipment and incidentals, and for doing all the work involved in preparation, reproduction and changing of traffic control plans, placing, applying traffic stripes and pavement markers with bituminous adhesive, removing, storing, maintaining, moving to new locations, replacing, and disposing of the components of the traffic control system as shown on the plans and approved additions and modifications, as specified in these supplemental provisions, and as directed by the Engineer. All expenses and time to prepare and review modifications, additions, supplements andlor new TCP designs shall be included in the lump sum bid and no additional payment will be made therefor. Flagging costs will be paid for as a part of the Lump Sum Amount. The cost of labor and material for portable concrete barriers will be paid for at the Lump Sum Amount. Progress payments for “Traffic Control” will be based on the percentage of the improvement work completed. The Contractor shall prepare and implement traffic control plans and shall furnish all labor and materials to perform, install, maintain, replace and remove all traffic control as incidentals to the work with which they are associated and no other compensation will be allowed therefor. Add the following section: 7-10.4.4 Safety and Protection of Workers and Public. The Contractor shall take all necessary precautions for the safety of employees on the work and shall comply with all applicable provisions of Federal, State and Municipal safety laws and building codes to prevent accidents or injury to persons on, about, or adjacent to the premises where the work is being performed. The Contractor shall erect and properly maintain at all times, as required by the conditions and progress of the work, all necessary safeguards for the protection of workers and public, and shall use danger signs warning against hazards created by such features of construction as protruding nails, hoists, well holes, and falling materials. 7-13 LAWS TO BE OBSERVED. Add the following: Municipal ordinances that affect this work include Chapter 11.06. Excavation and Grading. If this notice specifies locations or possible materials, such as borrow pits or gravel beds, for use in the proposed construction project which would be subject to Section 1601 or Section 1603 of the Fish and Game Code, the conditions established pursuant to Section 1601 et seq. of the Fish and Game Code shall become conditions of the contract. SECTION 8 -- FACILITIES FOR AGENCY PERSONNEL 8-2 FIELD OFFICE FACILITIES. Add the following: Contractor shall furnish field office facilities as specified in Specifications Section 01 500. The Contractor shall maintain the field office throughout the entire duration of the contract unless the Engineer shall otherwise direct. 8-2.1 Class “A” Field Office. In addition to the field office requirements established by Section 8-2 as amended, add the following: Additionally the “Class A” Field Office shall be provided with: one (1) additional standard 1.5 m (5’) double pedestal desk with two chairs, one (1) electrostatic copier and supplies, copier shall be Xerox Model 5018, or equal, one (1) FAX machine Panasonic Model Panafax UF-560 or Sharp model FO-5400T, or equal and one (1) additional plan rack shall be provided. Water cooler to have hot and chilled water. The integral sanitary facilities may be separate enclosed toilets per Section 7-8.4. Furnishings are subject to agency approval. The field office shall be located at a site satisfactory to the Engineer and within or immediately adjacent to the limits of work. Access and six parking spaces for the exclusive use of the Engineer and his/her designees that are convenient and satisfactory to the Engineer shall be provided by the Contractor. The field office shall have a 600 mm by e- \# Revised 10/08/03 Contract no. 36991 Paae 52 900 mm (24" by 36") sign affixed near the entry door. The sign text shall be proportioned as shown below. The Contractor shall affix a City seal to the sign in a centered location. The City seal will be supplied by the Engineer. I CITY OF CARLSBAD ENGINEERING INSPECTION I 8-6 BASIS OF PAYMENT. Add the following: Payment for field office shall be included in Contractors Lump Sum bid price and will include full compensation for installing and removing the field office, relocating it as may be necessary to facilitate the project, obtaining all permits, property rental, providing utilities including, but not limited to, electrical, telephone, potable water and sanitary facilities, and maintenance. SECTION 9 -- MEASUREMENT and PAYMENT 9-1 MEASUREMENT OF QUANTITIES FOR UNIT PRICE WORK 9-1.4 Units of Measurement, modify as follows: The system of measure for this contract shall be the U.S. Standard Measures. 9-3 PAYMENT. Delete in its entirety. Replace with: Payment shall be made in accordance with the Contract Documents, including AIA A201, Document 00081 0, and Specification Section 01250. 4- Revised 10/08/03 Contract no. 36991 Paae 53 APPENDIX “A” RESIDENT NOTIFICATION EXAMPLE I Dear resident: As a part of the City of Carlsbad’s ongoing program to maintain its streets, your street will be resurfaced with a layer of asphalt concrete over the existing roadway surface. This construction will require the clos- ing of your street to through traffic for one day. Your street, from XYZ St. to XYZ Ave. will be closed to through traffic and resurfaced on: MON. TUE. WED. THU. FRI. CITY OF CARLSBAD ROAD WORK DATE: from 7:OOA.M. to 500 P.M. ABC CONTRACTORS OFFICE # (760)XXX-XXXX FIELD # (760)xxX-xxx>( If you don’t plan to leave your home by 7:OO A.M. on the above date please park your car on an adjacent street in your neighborhood that will not be resurfaced. Streets scheduled for resurfacing can be determined by calling either the Contractor or the City of Carlsbad Engineering In- spection Department. When walking to and from your car, remember not to walk on the newly overlaid street or you will have black residue on the bottom of your shoes. Please do not drive, walk on, walk pets, play, or skate on the newly overlaid asphalt. Also, please refrain from watering your lawns, washing cars; etc., approximately 6-8 hours after the asphalt is laid as running water will cause damage to the new surface. ABC is the Contractor that will be performing the resurfacing work for the city and you may call them at (760)XXX-XXXX if you have any questions regarding the project. Resur- facing of your street will not occur on the day your trash is collected. Mail delivery may be delayed if the postman cannot reach the mailbox that day. If you have a moving company scheduled for that day please call and inform the Contractor of the date. If you have any concerns which cannot be addressed by the Contractor, you may call the City’s Engineer- ing Inspection Department at 438-1 161x4323. Thank you for your cooperation as we work to make a better City 0‘ Carlsbad. e- f@ Revised 10/08/03 Contract no. 36991 Paae 54 STATE OF CALIFORNIA PROVISIONS FOR RECLAIMED WATER TABLE OF CONTENTS STATE OF CALIFORNIA BOILER PLATE . The State of California Boiler Plate provisions apply specifically to the work and materials included in Bid Item No . 2 . Item Page . 1- State Wage Rate Clause .................................................................................................. BP-1 2- Labor Code Section 1776; Complete Payroll Records; Certified and Available ........... BP-1 3- Labor Code Section 1777.5; Employment of Properly Registered Apprentices ........... BP-2 5- Labor Code Section 1813; Penalty for Overtime on any Public Works Contract .......... BP-4 6- Labor Code Section 1815; Minimum Overtime Pay ......................................................B P-4 7- Labor Code Section 1860; Contract Provision ............................................................... BP-4 8- Labor Code Section 1861; Contractor Certification to Labor Code Section 3700 ......... BP-4 9- 10- State MBENBE Provisions; includes AKachment A and Attachment B ...................... BP-6 4- Labor Code Section 1 8 10; Definition: A Legal Day’s Work ......................................... BP-4 Cultural Resource Protection .......................................................................................... BP-4 MUST BE SUBMITTED WITH BID TO BE RESPONSIVE 1 1 - The Subletting and Subcontracting Fair Practices Act ................................................. BP-13 13- Nondiscrimination Clause ............................................................................................ BP- 14 12- Equal Opportunity Clause (40 CFR 60-8.4(b)) ............................................................ BP-13 14- Construction Contractors - Affirmative Action Requirements (41 CFR 60-4) ........... BP-15 15- Elimination of Segregated Facilities ............................................................................. BP-19 ... ... 16- Certification of Non-Segregated Facilities ................................................................... BP-20 17- Drug-Free Workplace Certification .............................................................................. BP-21 18- Use of Debarred Contractors Prohibited ...................................................................... BP-22 19- Responsibility for Removal, Relocation, or Protection of Existing Utilities ............... BP-24 20- Submitting of Bids and Agreeing to Assign ( Government Code Section 4552) ......... BP-25 22- Affirmative Action and Equal Employment Opportunity minority participation table ..B P-26 23- Labor Code Section 6500 ............................................................................................. BP-27 25- Public Contract Code Section 9203 .............................................................................. BP-28 (Government Code Section 421 5) 24- Public Contract Code Section 7 105 .............................................................................. BP-27 Aviara Community Park . Community Park City of Carlsbad PROVISIONS FOR RECLAIMED WATER NTD # 2000-0247 . 03 BP-0 Aviara Community Park - Community Park City of Carlsbad PROVISIONS FOR RECLAIMED WATER NTD # 2000-0247 - 03 BP-0 BOILERPLATE 1 - STATE WAGE RATE CLAUSES (Facilities Plan Approval after June 18,1998, Federal Wage Rates are not required) Pursuant to Sections 1720 et seq., and 1770 et seq., of the California Labor Code, the successhl bidder shall pay not less than the prevailing rate of per diem wages as determined by the Director of the California Department of Industrial Relations for public works projects of more than one thousand dollars ($1,000). Copies of such prevailing rate or per diem wage are on file at (loan recitient's DrinciDal ofice), which copies shall be made available to any interested party on request. The successful bidder shall post a copy of such determinations at each job site. The successful bidder intending to use a craft or classification not shown on the prevailing rate determinations may be required to pay the rate of the craft or classification most closely related to it. 2- LABOR CODE SECTION 1776 COMPLETE PAYROLL RECORDS; CERTIFIED AND AVAILABLE (a) Each contractor and subcontractor shall keep an accurate payroll record, showing the name, address, social security number, work classification, and straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed by him or her in connection with the public work. (b) The payroll records enumerated under subdivision (a) shall be certified and shall be available for inspection at all reasonable hours at the principal office of the contractor on the following basis: (1) A certified copy of an employee's payroll record shall be made available for inspection or furnished to the employee or his or her authorized representative on request. (2) A certified copy of all payroll records enumerated in subdivision (a) shall be made available for inspection or furnished upon request to a representative of the body awarding the contract, the Division of Labor Standards Enforcement, and the Division of Apprenticeship Standards of the Department of Industrial Relations. (3) A certified copy of all payroll records enumerated in subdivision (a) shall be made available upon request by the public for inspection or for copies thereof. However, a request by the public shall be made through either the body awarding the contract, the Division of Apprenticeship Standards, or the Division of Labor Standards Enforcement. If the requested payroll records have not been provided pursuant to paragraph (2), the requesting party shall, prior to being provided the records, reimburse the costs of preparation by the contractor, subcontractors, and the entity through which the request was made. The public shall not be given access to the records at the principal ofice of the contractor. (c) The certified payroll records shall be on forms provided by the Division of Labor Standards Enforcement or shall contain the same information as the forms provided by the division. (d) Each contractor shall file a certified copy of the records enumerated in subdivision (a) with the entity that requested the records within 10 days after receipt of a written request. (e) Any copy of records made available for inspection as copies and furnished upon request to the public or any public agency by the awarding body, the Division of Apprenticeship Standards, or the Division of Labor Standards Enforcement shall be marked or obliterated in a manner so 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. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP- 1 (0 The contractor shall inform the body awarding the contract of the location of the records enumerated under subdivision (a), including the street address, city and county, and shall, within five working days, provide a notice of a change of location and address. (g) The contractor shall have 10 days in which to comply subsequent to receipt of written notice specifLing in what respects the contractor must comply with this section. In the event that the contractor fails to comply within the 10- day period, he or she shall, as a penalty to the state or political subdivision on whose behalf the contract is made or awarded, forfeit twenty-five dollars ($25) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated. Upon the request of the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement, these penalties shall be withheld fiom progress payments then due. (h) The body awarding the contract shall cause to be inserted in the contract stipulations to effectuate this section. These stipulations shall fm the responsibility for compliance with this section on the prime contractor. (i) The director shall adopt rules consistent with the California Public Records Act, (Chapter 3.5 (commencing with Section 6250), Division 7, Title 1, Government Code) and the Information Practices Act of 1977, (Title 1.8 (commencing with Section 1798), Part 4, Division 3, Civil Code) governing the release of these records, including the establishment of reasonable fees to be charged for reproducing copies of records required by this section. 3- LABOR CODE SECTION 1777.5 EMPLOYMENT OF PROPERLY REGISTERED APPRENTICES Nothing in this chapter shall prevent the employment of properly registered apprentices upon public works. Every such apprentice shall be paid the standard wage paid to apprentices under the regulations of the craft or trade at which he or she is employed, and shall be employed only at the work of the craft or trade to which he or she is registered. Only apprentices, as defined in Section 3077, who are in training under apprenticeship standards and written apprentice agreements under Chapter 4 (commencing with Section 3070) of Division 3, are eligible to be employed on public works. The employment and training of each apprentice shall be in accordance with the apprenticeship standards and apprentice agreements under which he or she is training. When the contractor to whom the contract is awarded by the state or any political subdivision, or any subcontractor under him or her, in performing any of the work under the contract or subcontract, employs workers in any apprenticeable craft or trade, the contractor and subcontractor shall apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor or subcontractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. However, approval as established by the joint apprenticeship committee or committees shall be subject to the approval of the Administrator of Apprenticeship. The joint apprenticeship committee or committees, subsequent to approving the subject contractor or subcontractor, shall arrange for the dispatch of apprentices to the contractor or subcontractor in order to comply with this section. Every contractor and subcontractor shall submit contract award information to the applicable joint apprenticeship committee which shall include an estimate ofjourneyman hours to be performed under the contract, the number of apprentices to be employed, and the approximate dates the apprentices will be employed. There shall be an affirmative duty upon the joint apprenticeship committee or committees administering the apprenticeship standards of the craft or trade in the area of the site of the public work to ensure equal employment and affirmative action in apprenticeship for women and minorities. Contractors or subcontractors shall not be required to submit individual applications for approval to local joint apprenticeship Committees provided they are already covered by the local apprenticeship standards. The ratio of work performed by apprentices to journeymen who shall be employed in the craft or trade on the public work may be the ratio stipulated in the apprenticeship standards under which the joint apprenticeship committee operates, but, except as otherwise provided in this section, in no case shall the ratio be less than one hour of apprentices work for every five hours of labor performed by a journeyman. However, the minimum ratio for the land surveyor classification shall not be less than one apprentice for each five journeymen . Any ratio shall apply during any day or portion of a day when any journeyman, or the higher standard stipulated by the joint apprenticeship committee, is employed at the job site and shall be computed on the basis of the hours worked during the day by journeymen so employed, except for the land surveyor classification. The contractor shall employ apprentices for the number of hours computed as above before the end of the contract. However, the contractor shall Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-2 endeavor, to the greatest extent possible, to employ apprentices during the same time period that the journeymen in the same craft or trade are employed at the job site. Where an hourly apprenticeship ratio is not feasible for a particular craft or trade, the Division of Apprenticeship Standards, upon application of a joint apprenticeship committee, may order a minimum ratio of not less than one apprentice for each five journeymen in a crafi or trade classification. The contractor or subcontractor, if he or she is covered by this section, upon the issuance of the approval certificate, or if he or she has been previously approved in the craft or trade, shall employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. Upon proper showing by the contractor that he or she employs apprentices in the craft or trade in the state on all of his or her contracts on an annual average of not less than one hour of apprentice work for every five hours of labor performed by a journeyman, or in the land surveyor classification, one apprentice for each five journeymen, the Division of Apprenticeship Standards may grant a certificate exempting the contractor ftom the 140-5 hourly ratio as set forth in this section. This section shall not apply to contracts of general contractors or to contracts of specialty contractors not bidding for work through a general or prime contractor, when the contracts of general contractors or those specialty contractors involve less than thirty thousand dollars ($30,000) or 20 working days . Any work performed by a journeyman in excess of eight hours per day or 40 hours per week, shall not be used to calculate the hourly ratio required by this section. "Apprenticeable craft or trade," as used in this section, means a craft or trade determined as an apprenticeable occupation in accordance with rules and regulations prescribed by the Apprenticeship Council. The joint apprenticeship committee shall have the discretion to grant a certificate, which shall be subject to the approval of the Administrator of Apprenticeship, exempting a contractor from the 140-5 ratio set forth in this section when it finds that any one of the following conditions is met: (a) Unemployment for the previous three-month period in the area exceeds an average of 15 percent . (b) The number of apprentices in training in such area exceeds a ratio of 1 to 5 . (c) There is a showing that the apprenticeable craft or trade is replacing at least one-thirtieth of its journeymen annually through apprenticeship training, either on a statewide basis, or on a local basis. (d) Assignment of an apprentice to any work performed under a public works contract would create a condition which would jeopardize his or her life or the life, safety, or property of fellow employees or the public at large or if the specific task to which the apprentice is to be assigned is of such a nature that training cannot be provided by a journeyman. When exemptions are granted to an organization which represents contractors in a specific trade from the 140-5 ratio on a local or statewide basis the member contractors will not be required to submit individual applications for approval to local joint apprenticeship committees, if they are already covered by the local apprenticeship standards. A contractor to whom the contract is awarded, or any subcontractor under him or her, who, in performing any of the work under the contract, employs journeymen or apprentices in any apprenticeable craft or trade and who is not contributing to a fund or funds to administer and conduct the apprenticeship program in any craft or trade in the area of the site of the public work, to which fund or funds other contractors in the area of the site of the public work are contributing, shall contribute to the fund or funds in each craft or trade in which he or she employs journeymen or apprentices on the public work in the same amount or upon the same basis and in the same manner as the other contractors do, but where the trust fund administrators are unable to accept the funds, contractors not signatory to the trust agreement shall pay a like amount to the California Apprenticeship Council. The contractor or subcontractor may add the amount of the contributions in computing his or her bid for the contract. The Division of Labor Standards Enforcement is authorized to enforce the payment of the contributions to the fund or funds as set forth in Section 227. The body awarding the contract shall cause to be inserted in the contract stipulations to effectuate this section. The stipulations shall fix the responsibility of compliance with this section for all apprenticeable occupations with the prime contractor. All decisions of the joint apprenticeship committee under this section are subject to Section 3081. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-3 4- LABOR CODE SECTION 18 10 DEFINITION: A LEGAL DAY'S WORK Eight hours labor constitutes a legal day's work in all cases where the same is performed under the authority of any law of this State, or under the direction, or control, or by the authority of any officer of this State acting in his official capacity, or under the direction, or control or by the authority of any municipal corporation, or of any officer thereof A stipulation to that effect shall be made a part of all contracts to which the State or any municipal corporation therein is a Party. 5- LABOR CODE SECTION 18 13 PENALTY FOR OVERTIME ON ANY PUBLIC WORK CONTRACT The contractor shall, as a penalty to the State or political subdivision on whose behalf the contract is made or awarded, forfeit twenty-five dollars ($25) for each workman employed in the execution ofthe contract by the contractor or by any subcontractor for each calendar day during which such workman is required or permitted to work more than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of this article. In awarding any contract for public work, the awarding body shall cause to be inserted therein a stipulation to this effect. The awarding body shall take cognizance of all violations of this article committed in the course of the execution of the contract, and shall report them to the officer of the State or political subdivision who is authorized to pay the contractor money due him under the contract. 6- LABOR CODE SECTION 18 15 MINIMUM OVERTIME PAY Notwithstanding the provisions of Sections 18 10 to 18 14, inclusive, of this code, and notwithstanding any stipulation inserted in any contract pursuant to the requirements of said sections, work performed by employees of contractors in excess of 8 hours per day, and 40 hours during any one week, shall be permitted upon public work upon compensation for all hours worked in excess of 8 hours per day at not less than one and one-half (1 5) times the basic rate of pay. 7- LABOR CODE SECTION 1860 CONTRACT PROVISION The awarding body shall cause to be inserted in every public works contract a clause providing that, in accordance with the provisions of Section 3700 of the Labor Code, every contractor will be required to secure the payment of compensation to his employees. 8- LABOR CODE SECTION 1 86 1 CONTRACTOR CERTIFICATION TO LABOR CODE SECTION 3700 Each contractor to whom a public works contract is awarded shall sign and file with the awarding body the following certification prior to performing the work of the 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." 9- CULTURAL RESOURCES In accordance with the National Historic Preservation Act of 1966, (16 U.S.C. 470), the following procedures are implemented to insure historic preservation and fair compensation to the Contractor for delays attendant to cultural resources investigations. In the event potential Historical, Architectural, Archeological, or Cultural Resources (herein after cultural resources) are discovered during subsurface excavations at the site of construction, the following procedures shall be instituted: 1) at the location of such potential cultural resources find. The Engineer shall issue a "Stop Work Order" directing the Contractor to cease all construction operations Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-4 2) Such “Stop Work Order” shall be effective until such time as a qualified archeologist can be called to assess the value of these potential cultural resources and make recommendations to the State Water Resources Control Board Cultural Resources Officer. Any “Stop Work Order” shall contain the following: a) b) c) d) e) A clear description of the work to be suspended; Any instructions regarding issuance of further orders by the Contractor for material services; Guidance as the action to be taken on subcontracts; Any suggestions to the Contractor as to minimization of his costs; Estimated duration of the temporary suspension. If the archeologist determines that the potential find is a bonafide cultural resource, at the direction of the State Water Resources Control Board Cultural Resources Officer, the Engineer shall extend the duration of the “Stop Work Order” in writing, and the Contractor shall suspend work at the location of the find. Equitable adjustment of the construction contract shall be made in the following manner: 1) Time Extension If the work temporarily suspended is on the “critical path”, the total number of days for which the suspension is in effect shall be added to the number of allowable contract days. If a portion of work at the time of such suspension is not on the “critical path”, but subsequently becomes work on the critical path, the allowable contract time will be computed from the date such work is classified as on the critical path. 2) Additional Compensation If, as a result of a suspension of the work, the Contractor sustains a loss which could not have been avoided by his judicious handling of forces, and equipment, or redirection of forces or equipment to perform other work on the contract, there shall be paid to the Contractor an amount as determined by the Engineer to be fair and reasonable compensation for the Contractor’s actual loss in accordance with the following: a) Idle Time of Equipment Compensation for equipment idle time will be determined on a force account (time and materials) basis, and shall include the cost of extra moving of equipment and rental loss. The right-of-way delay factor for each classification of equipment shown in the California Department of Transportation publication entitled, Equipment Rental Rates and the General Prevailing Wage Rates, will be applied to any equipment rental rates. b) Idle Time of Labor Compensation for idle time of workers will be determined by the Engineer as “Labor” less any actual productivity factor of this portion of the work force. c) Increased Costs of Labor and Materials Increased costs of labor and materials will be compensated only to the extent such increase was in fact caused by the suspension, as determined by the Engineer. Compensation for actual loss due to idle time of either equipment or labor shall not include markup for profit. The hours for which compensation will be paid will be the actual normal working time during which such delay condition exists, but will in no case exceed eight hours in any one day. The days for which compensation will be paid shall be full or partial calendar days, excluding Saturdays, Sundays, and legal holidays, during the existence of such delay. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-5 10 - STATE MBEWBE PROVISIONS CONTRACT PROVISIONS OF THE STATE WATER RESOURCES CONTROL BOARD (SWRCB) DIVISION OF CLEAN WATER PROGRAMS RELATIVE TO THE UTILIZATION OF MINORITY BUSINESS ENTERPRISE (MBE) AND WOMEN BUSINESS ENTERPRISE (WBE) ON CLEAN WATER PROGRAM CONSTRUCTION CONTRACTS IN CALIFORNIA This document and attachments shall be included by the owner as a contract provision for all construction contracts exceeding $10,000. Compliance with the requirements of this document and attachments satisfies the MBE/WBE requirements of the U. S. Environmental Protection Agency and the SWRCB. This document supersedes any conflicting requirements. Failure to take the five (5) affirmative steps listed under Requirements, Section A, prior to bid opening and to submit “Minority Business EnterpriseWomen Business Enterprise Information” (Attachment B) with the bid shall cause the bid to be rejected as a non-responsive bid. DEFINITIONS BONA FIDE MINORITY BUSINESS ENTERPRISE (MBEI MEANS: An MBE that has submitted a “Minority Business Enterprise/Women Business Enterprise Self Certification” (Attachment A) to, and been accepted as, a bona fide MBE by the owner. In addition, the following requirements apply: 1. An independent business concern which is at least 51% owned and controlled by minority group member(s) (see definition of Minority Group Member). Ownership and control can be measured by: a. Responsibility for performance of contract work. b. Management responsibility. c. At least 5 1 % share of profits and risk. d. Other data (such as voting rights) that may be related to ownership and/or control. 2. In cases where a firm is owned and controlled by a minority woman or women, the percentage may be credited towards MBE participation or as WBE participation, or allocated, but may not be credited fully to both. BONA FIDE WOMEN BUSINESS ENTERPRISE (WBE) MEANS: A WBE that has submitted Attachment A to, and been accepted as, a bona fide WBE by the owner. In addition, the following requirements apply: 1. An independent business which is at least 5 1% owned by a woman or women who also control and operate it. a. Ownership. Determination of whether a business is at least 5 1% owned by a woman or women shall be made without regard to community property laws. For example, an otherwise qualified WBE which is 5 1 % owned by a married woman in a community property state will not be disqualified because her husband has a 50% interest in her share. Similarly, a business which is 51% owned by a married man and 49% by an unmarried woman will not become a qualified WBE by virtue of his wife’s 50% interest in his share of the business. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-6 b. Control and operation. "Control" means exercising the power to make policy decisions and "operate" means being actively involved in the day-to-day management of the business. JOINT VENTURE CJV) A business enterprise formed by a combination of firms under a JV agreement. To qualify as a bona fide MBEWBE, the minority-ownedwoman or women owned and controlled firms in the JV must: 1. Satisfy all requirements for bona fide MBEWBE participation in their own rights. In cases where a minority woman or women-owned firm participates in a JV, the percentage may be credited towards MBE participation or as WBE participation, or allocated, but may not be credited fully to both. 2. Share a clearly defined percentage of the ownership, management responsibilities, risks, and profits of the JV. Only this percentage will be credited towards the MBENBE goal. MINORITY GROUP MEMBERS A minority group member is individual who is a citizen of the United States and one of the following: 1. Native Americans consist of American Indian, Eskimo, Aleut, and native Hawaiian. 2. Black Americans consist of U.S. citizens, other than Hispanic, having origins in any of the black racial groups of Africa. Asian Pacific Americans consist of U.S. citizens having origins in any of the original peoples of the Far East, Southeast Asia, and the Indian subcontinent. This area includes, for example, China, Japan, Korea, the Philippines, Vietnam, Samoa, Guam, the U.S. Trust Territories of the Pacific, Northern Marianas, Laos, Cambodia, and Taiwan. The Indian subcontinent takes in the countries of India, Pakistan, Bangladesh, Sri Lanka, Sikkim. and Bhutan. 3. 4. Hispanic Americans consist of US. citizens with origins from Puerto Rico, Mexico, Cuba, or South or Central America. Only those persons from Central and South American countries who are of Spanish origin, descent, or culture should be included in this category. Persons from Brazil, Guyana, Surinam or Trinidad, for example, would be classified according to their race and would not necessarily be included in the Hispanic category. In addition, this category does not include persons from Portugal, who should be classified according to race. BROKERAGE MEANS Buying and selling for others on commission of other fee basis without maintaining a warehouse or other similar inventory storage facilities (supplier and wholesale arrangements may also fall into this business enterprise category). CONSTRUCTION MEANS Erection, building, alteration, remodeling, improvement or extension of buildings, structures, or other property. REOUIREMENTS A. Positive Effort Documentation The bidder must take affirmative steps prior to bid opening to assure that MBEs and WBEs are used whenever possible as sources of supplies, construction and services. Failure to take such steps prior to bid opening and to submit Attachment B with the bid shall cause the bid to be reiected as non-resDonsive. Affirmative steps shall be as follows: 1. Including qualified MBEs and WBEs on solicitation lists. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-7 The bidder must document that it requested assistance from the Small Business Administration and the Office of Minority Business Enterprise MBEAVBE assistance centers and that this request for assistance was received by the MBEAVBE assistance centers at least five (5) working days prior to the need for referrals (see affirmative step no. 5). 2. Assure that MBEs and WBEs are solicited whenever they are potential sources. The bidder must document that it has provided invitations to MBE/WBE bidders at least seven (7) working days prior to the need of a bid response. The bidder must document that invitations were sent to at least three (3) (or all if less than three) MBE/WBE contractors/suppliers for each item of work referred by the MBEAVBE assistance center(s). The invitations must adequately specify the item(s) for which sub-bids were requested. The documentation of the bidder's effort to show positive efforts must indicate a real desire for a positive response; i.e., certified letter with return receipt requested or telephone call documentation. A regular letter or an unanswered telephone call is not adequate positive effort. The bidder must submit to the owner documentation consisting of a list of all sub-bidders for each item of work that MBEs or WBEs were solicited including dollar amounts for both MBE/WBE and non-MBE/WBE sub-bidders. 3. Divide total requirements, when economically feasible, into small tasks or quantities to permit maximum participation of MBEs and WBEs. A bidder must document that it gave consideration to dividing the contract into small proprietary portions (paving, electrical, landscaping, etc.). If this was not done, documentation must be submitted explaining why it could not be done. 4. Establish delivery schedules, where the requirements of the work permit, which will encourage participation by MBEs and WBEs. The bidder must document that it gave consideration to establishing a project schedule which would allow MBEs and WBEs to bid the work as subcontractors or suppliers. If this is not done, document reasons why the project schedule, or portions thereof, cannot be modified so as to accommodate interested MBEs and WBEs. 5. Use of the services and assistance of the Small Business Administration and the Office of Minority Business Enterprise of the U. S. Department of Commerce, as appropriate. The bidder must present documentation that contact was made with both of the offices listed below. Their services are provided.at no cost to the bidder. Do not write. The internet web site contains local SBA and MBDA centers. The local center may provide the bidder with a listing of MBE/WBE firms. If a list was not provided, bidder must explain why it was not and describe what MBE/WBE solicitation list was used. Small Business Administration: <http:/lwww.sba.gov> Office of Minority Business Enterprise: Regional Office U.S. Dept. of Commerce <http://www.mbda.gov> Government Contracting Office 455 Market Street, Suite 600 San Francisco, CA 94105 Telephone: (415) 744-8429 Minority Business Development Agency (MBDA) San Francisco, CA 94105 Telephone: (415) 744-3001 In addition, the bidder is encouraged to procure supplies and services from labor surplus area firms. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-8 B. Other Reauirements 1. The apparent successful low bidder must submit documentation showing that, prior to bid opening, all required positive efforts were made. This documentation must be received by the owner within ten (1 0) working days following bid opening (except Attachment B which is to be submitted with the bid). Failure to submit Attachment B with the bid will cause the bid to be reiected as non-responsive. 2. If the apparent successful low bidder has rejected or considered as non-responsible and/or non- responsive any low MBE or WBE sub-bidder, a complete explanation must be provided to the owner. Each MBE/WBE firm to be utilized must complete the Attachment A, which is to be with the documentation submitted to the owner by the apparent successful low bidder. If additional MBEWBE subcontracts become necessary after the award of the prime contract, Attachment B must be provided to the owner by the Prime Contractor within ten (1 0) working days following the award of each new subcontract. 3. 4. 5. Any deviation from the information contained in Attachment B shall not result in a reduction of MBEWBE participation without prior approval of the owner. 6. When brokerage type arrangements are utilized, only the amount of commission or fee will be eligible for MBEWBE consideration. 7. Failure of the apparent low bidder to perform the five affirmative steps prior to bid opening and/or to submit Attachment B with its bid will lead to its bid being declared non-responsive by the owner. The owner may then award the contract to the next low responsive, responsible bidder meeting the requirements of these contract provisions. The owner also may rebid the contract. C. State’s “Fair Share” Obiectives The SWRCB has established the following fair share objectives for this construction contract: 20 % of the total bid dollar amount of this contract for MBE. 10 % of the total bid dollar amount of this contract for WBE. (The owner may contact the SWRCB, Division of Clean Water Programs, Design Review Unit at (916) 227-4588 for questions on the state’s fair share objectives.) D. LocaVRegional Obiectives The owner may have established localhegional objectives and those requirements may be attached if appropriate. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-9 ATTACHMENT A MINORITY BUSINESS ENTERPRISEWOMEN'S BUSINESS ENTERPRISE (MBEWBE)' SELF CERTIFICATION STATE WATER RESOURCES CONTROL BOARD DIVISION OF CLEAN WATER PROGRAMS Firm Name: Phone: Address: ~~ Principal Service or Product: 0- MBE 0- WBE , 0- Prime Contractor ~ ~~ ~~ ~____ 0- Supplier of MateriaUService 0- Subcontractor 0- Broker I i 0- Sole Ownership 0- Corporation 0- Partnership 0- Joint Venture I 1 Names of Owners Percent MBE-Ethnic WBE Ownership Identity' Additional proofs may be required upon written challenge of this certification by any person or agency. Falsification of this certification by a firm selected to perform Federally funded work may result in a determination that the firm is non-responsible and ineligible for fbture contracts. Certified by: Title: (Signature) Name: Date: ' Refer to definitions on the next page. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP- 10 -DEFINITIONS- MINORITY BUSINESS ENTERPRISEWOMEN’S BUSINESS ENTERPRISE (MBEWBE) An MBE or WBE is a business which is at least 5 1 percent owned and controlled by minority group members or by woman or women. Owners must exercise actual day-to-day management. MINORITY GROUP MEMBERS American Indians Persons having origins in any of the original peoples of North America. To qualify in this group, a person must be a citizen of the United States and meet one or more of the following: (1) Be at least one-fourth Indian descent (as evidenced by registration with the Bureau of Indian Affairs). (2) Characteristic Indian appearance and features. (3) Characteristic Indian name. (4) Recognition in the community as an Indian. (5) Membership in a tribe, band or group of American Indians (recognized by the Federal Government), as evidenced by a tribal enrollment number or similar indication. Black Americans U.S. citizens, other than Hispanic, having origins in any of the black racial groups of Africa. Asian Americans U.S. citizens having origins in any of the original peoples of the Far East, Southern Asia, the Indian subcontinent or the Pacific Islands. This area includes, for example, China, Japan, Korea, the Philippine Islands and Samoa. The Indian subcontinent takes in the countries of India, Pakistan, Bangladesh, Sri Lanka, Nepal, Sikkim, and Bhutan. Hispanic Americans U.S. citizens of Mexican, Puerto Rican, Cuban, or other Spanish culture or origin, regardless of race. Only those persons from Central and South American countries who are of Spanish origin, descent, or culture should be included in this category. Persons from Brazil, Guyana, Surinam or Trinidad, for example, would be classified according to their race and would not necessarily be included in the Hispanic category. In addition, the category does not include persons from Portugal, who should be classified according to race. American Eskimos and American Aleuts Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP- 11 LOAN RECIPIENTS NAME CONTRACT NO. OR SPECIFICATION NO. I MBE/WBE INFORMATION I PROJECT DESCRIPTION PROJECT LOCATION 0 MBE 0 WBE 0 SUBCONTRACTOR 0 SUPPLIEWSERVICE JOINTVENTURE 0 BROKER NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) I WORK TO BE PERFORMED AMOUNT OF CONTRACT PHONE 0 MBE 0 WBE NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) I AMOUNT OF CONTRACT I PHONE 0 SUBCONTRACTOR 0 JOINTVENTURE WORK TO BE PERFORMED TOTAL MBE AMOUNT: $ TOTAL WBE AMOUNT: $ ACTUAL MBE PARTICIPATION: % ACTUAL WBE PARTICIPATION: YO MBE GOAL: % WBE GOAL: YO SIGNATURE OF PERSON COMPLETING FORM: TITLE: PHONE: DATE: FORM 4700-B (rev 2/98) SUPPLIEIUSERVICE 0 BROKER Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 AMOUNT OF CONTRACT PROVISIONS FOR RECLAIMED WATER BP- 12 PHONE MBE 0 WBE 0 SUBCONTRACTOR SUPPLIEWSERVICE 0 JOINTVENTURE 0 BROKER NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) AMOUNT OF CONTRACT PHONE 0 MBE 0 WBE NAME AND ADDRESS (Include ZIP Code, DOB, & SSN) 0 SUBCONTRACTOR U JOINTVENTURE I O SUPPLIEWSERVICE 0 BROKER 11 - THE SUBLETTING AND SUBCONTRACTING FAIR PRACTICES ACT Any person making a bid or offer to perform a contract shall, in his or her bid or offer, set forth the following: 1) The name and the location of the place of business of each subcontractor who will perform work or labor or render service to the prime contractor in or about the construction of the work or improvement, or a subcontractor licensed by the State of California who, under subcontract to the prime contractor, specially fabricates and installs a portion of the work or improvement according to detailed drawings contained in the plans and specifications, in an amount in excess of one-half of 1 percent of the prime contractor’s total bid or in the case of bids or offers for the construction of streets or highways, including bridges in excess of one-half or 1 percent of the prime contractor’s total bid or ten thousand dollars ($lO,OOO), whichever is greater. 2) The portion of work that will be done by each subcontractor under this act. The prime contractor shall list only one subcontractor for each portion of work as is defined by the prime contractor in his or her bid or offer. These requirements apply to the information required relating to subcontractors certified as minority or women business enterprises. For purposes of this requirement, “subcontractor” and “prime contractor” shall have the same meaning as those terms are defined in Section 41 13 of the Public Contracts Code. 12 - 40 CFR 60-8.4(b) - EQUAL OPPORTUNITY CLAUSE (in relevant part) During the performance of this contract the contractor agrees as follows: (1) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, 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, 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. (2) 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 considerations for employment without regard to race, color, religion, sex, or national origin. (3) 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. (4) The contractor will comply with all provisions of Executive Order 1 1246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (5) 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. (6) 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 ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 or September 24, 1965, and such other sanctions may be imposed and remedies invoked a s provided in Executive Order 11246 of September 24,1965, or by rule, regulation, or orders of the Secretary of Labor, or as otherwise provided by law. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP- 13 (7) The contractor will include the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) 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. 13 - NONDISCRIMINATION CLAUSE NONDISCRIMINATION CLAUSE 1. During the performance of this contract, contractor and its subcontractors shall not unlawfully discriminate against any employee or applicant for employment because of race, religion, color, national origin, ancestry, physical handicap, medical condition, marital status, age (over 40) or sex. Contractors and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free of such discrimination. Contractors and subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Government Code Section 12900 et seq.) and the applicable regulations promulgated thereunder (California Administrative Code, Title 2, Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code, Section 12900, set forth in Chapter 5 of Division 4 of Title 2 or the California Administrative Code are incorporated into this contract by reference and made a part hereof as if set forth in full. Contractor and its subcontractor shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. This contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the contract. 2. THE UNDERSIGNED CERTIFIES THAT THE CONTRACTOR WILL COMPLY WITH THE ABOVE REQUIREMENTS. CONTRACTOR OR SUBCONTRACTOR NAME: CERTIFIED BY: NAME: TITLE: SIGNATURE: DATE: , Aviara Community Park -Community Park City of Carlsbad NTD ## 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 14 14 - 41 CFR 60-4.2 CONSTRUCTION CONTMCTORS--AFFIRMATIVE ACTION REOUIREMENTS fin relevant ~artl Notice of requirement for Afirmative Action to ensure Equal Employment Opportunity (EEO) by Executive Order 11246, as amended by Executive Order 11375. 1. The Offeror's or Bidder's attention is called to the "Equal Opportunity Clause" and the "Standard Federal Equal Employment Specifications" set forth herein. 2. The goals and timetables for minority and female participation, expressed in percentage terms for the contractor's aggregate workforce in each trade on all construction work in the covered area, are as follows: Time- Goals for minority participation Goals for female participation tables for each trade for each trade (Agency to insert start and end dates of contract) (Insert goals from Minority Participation 6.9% Table page BP-26) (Contact SWRCB, Division of Clean Water Programs, at (916) 227-4586 for assistance with the minority goal and timetables. E-mail <musialr@cwp.swrcb.ca.gov>: Office of Federal Contract Compliance Programs' web site for compliance issues and preaward registry is <http://www.dol.gov/doUesa/public/ofcp-erg>) These goals are applicable to all the Contractor's construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the contractor also is subject to the goals for both its federally involved and non-federally involved construction. The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed. 3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $1 0,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor; employer identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed. 4. As used in this Notice, and in the contract resulting from this solicitation, the ''covered area" is (insert description of the geographical areas where the contract is to be performed giving the state, county and city, if any). 5 60-4.3 Equal opportunity clauses (in relevant part) Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 1 1246) Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP- 15 1. As used in these specifications: a. "Covered area" means the geographical area described in the solicitation from which this contract resulted; b. "Director" means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority; c. "Employer identification number" means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941. . d. "Minority" includes: (i) Black (all persons having origins in any of the Black African racial groups not of Hispanic origin); (ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race); (iii) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (iv) American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal afiliations through membership and participation or community identification). 2. Whenever the Contractor, or any Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted. 3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor's or Subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables. 4. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7 a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. Covered Construction contractors performing construction work in geographical areas where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work is being performed. Goals are published periodically in the Federal Register in notice form, and such notices may be obtained from any Office of Federal Contract Compliance Programs office or from Federal procurement contracting officers. The Contractor is expected to make substantially uniform progress in meeting its goals in each craft during the period specified. 5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor's obligations under these specifications, Executive Order 1 1246, or the regulations promulgated pursuant thereto. 6. In order for the non-working training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP-16 7. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following: a. Ensure and maintain a working environment fiee of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor's employees are assigned to work. The Contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses. c. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefor, along with whatever additional actions the Contractor may have taken. d. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations. e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under 7b above. f. Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed. g. Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with onsite supervisory personnel such as Superintendents, General Foremen, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifLing the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter. h. Disseminate the Contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor's EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business. i. Direct its recruitment efforts, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP- 17 j. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor's work force. k. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3. 1. Conduct, at least annually, an'inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. m. Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor's obligations under these specifications are being carried out. n. Ensure that all facilities and company activities are Non-Segregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes. 0. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. p. Conduct a review, at least annually, of all supervisors' adherence to and performance under the Contractor's EEO policies and affirmative action obligations. 8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through p). The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these Specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligation shall not be a defense for the Contractor's noncompliance. 9. A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized). 10. The Contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin. 11, The Contractor shall not enter into any Subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any Contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended. 13. The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 18 14. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records. 15. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program). 15 - ELIMINATION OF SEGREGATED FACILITIES NOTICE TO PROSPECTIVE FEDERALLY-ASSISTED CONSTRUCTION CONTRACTORS (a) A Certification of Non-Segregated Facilities, as required by the May 9, 1967 Order (32 F.R. 7439, May 19, 1967) on Elimination of Segregated Facilities, by the Secretary of Labor, must be submitted prior to the award of a Federally-assisted construction contract exceeding $10,000 which is not exempt from the provisions of the Equal Opportunity Clause. (b) Contractors receiving Federally-assisted construction contract awards exceeding $1 0,000 which, are not exempt from the provisions of the Equal Opportunity Clause, will be required to provide for the forwarding of the following notice to prospective subcontractors for supply and construction contracts where the subcontracts exceed $10,000 and are not exempt from the provisions of the Equal Opportunity Clause. NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATION OF NON-SEGREGATED FACILITIES (a) A Certification of Non-Segregated Facilities, as required by the May 9, 1967 Order (32 F.R. 7439, May 19, 1967) on Elimination of Segregated Facilities, by the Secretary of Labor, must be submitted prior to the award of a subcontract exceeding $10,000 which is not exempt from the provisions of the Equal Opportunity Clause. (b) Contractors receiving subcontract awards exceeding $10,000 which are not exempt fiom the provisions of the Equal Opportunity Clause will be required to provide for the forwarding of this notice to prospective subcontractors for supply and construction contracts where the subcontracts exceed $10,000 and are not exempt from the provisions of the Equal Opportunity Clause. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 19 16 - CERTIFICATION OF NON-SEGREGATED FACILITIES Environmental Protection Agency Region IX 75 Hawthorne Street San Francisco, California 94105 CERTIFICATION OF NON-SEGREGATED FACILITIES (Applicable to federally assisted construction contracts and related subcontracts exceeding $10,000 which are not exempt from the Equal Opportunity Clause.) The federally assisted construction contractor certifies that he does not maintain or provide for his employees any segregated facilities at any of his establishments, and that he does not permit his employees to perform their services at any location, under his control, where segregated facilities are maintained. The federally assisted construction contractor certifies hrther that he will not maintain or provide for his employees any segregated facilities at any of his establishments, and that he will not permit his employees to perform their services at any location, under his control, where segregated facilities are maintained. The federally assisted construction contractor agrees that a breach of this certification is a violation of the Equal Opportunity Clause in this contract. As used in this certification, the term “segregated facilities” means any waiting rooms, work areas, restrooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, transportation, and housing facilities provided for employees which are segregated by explicit directive or are in fact segregated on the basis of race, creed, color, or national origin, because of habit, local custom, or otherwise. The federally assisted construction contractor agrees that (except where he has obtained identical certifications from proposed subcontractors for specified time period) he will obtain identical certifications from proposed subcontractors prior to the award of subcontracts exceeding $10,000 which are not exempt form the provisions of the Equal Opportunity Clause, and that he will retain such certifications in his files. Signature Date Name and Title of Signer (Please Type) Note: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 20 17 - DRUG-FREE WORKPLACE CERTIFICATION DRUG-FREE WORKPLACE CERTIFICATION CONTRACTOWAPPLICANT: The contractor or applicant named above hereby certifies compliance with Government Code Section 8355 in matters relating to providing a drug-free workplace. The above named contractor or applicant will: 1. 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). 2. Establish a Drug-Free Awareness Program as required by Government Code Section 8355(b), to inform employees about all of the following: (a) The dangers of drug abuse in the workplace, (b) The person’s or organization’s policy of maintaining a drug-free workplace, (c) Any available counseling, rehabilitation and employee assistance programs, and (d) Penalties that may be imposed upon employees for drug abuse violations. 3. Provide as required by Government Code Section 8355(c), that every employee who works on the proposed contract or loan: (a) Will receive a copy of the company’s drug-free policy statement, and (b) Will agree to abide by the terms of the company’s statement as a condition of employment on the contract or loan. CERTIFICATION I, the official named below, hereby swear that I am duly authorized legally to bind the contractor or loan recipient to the above described certification. I am fully aware that this certification, executed on the date and in the county below, is made under penalty of perjury under the laws of the State of California. OFFICIAL’S NAME: DATE EXECUTED: EXECUTED IN COUNTY OF: CONTRACTOWAPPLICANT SIGNATURE: TITLE: Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 21 18 - PART 32--GOVERNMENT WIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) AND GOVERNMENT WIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (GRANTS) Appendix A to Part 32--Certification Regarding Debarment, Suspension, and Other Responsibility Matters--Primary Covered Transactions Instructions for Certification 1. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. 2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such person from participation in this transaction. 3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. 4. The prospective primary participant shall provide immediate written notice to the department or agency to which this proposal is submitted if at any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 5. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is being submitted for assistance in obtaining a copy of those regulations. 6. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. 7. The prospective primary participant fkrther agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Non- procurement Programs. 9. 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 a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 22 transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, and Other Responsibility Matters-Primary Covered Transactions (1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency; (b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (l)(b) of this certification; and (d) Have not within a three-year period preceding this applicatiodproposal had one or more public transactions (Federal, State or local) terminated for cause or default. (2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Appendix B to Part 32-Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions Instructions for Certification 1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or had become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 23 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from covered transactions, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs. 8. 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 a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions (1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 19 - RESPONSIBILITY FOR REMOVAL, RELOCATION, OR PROTECTION OF EXISTING UTILITIES; CONTRACTS AND PROVISIONS GOVERNMENT CODE SECTION 42 15 (in relevant Dart) The contract documents shall include provisions to compensate the contractor for the costs of locating, repairing damage not due to the failure of the contractor to exercise reasonable care, and removing or relocating such utility facilities not indicated in the plans and specifications with reasonable accuracy, and for equipment on the project necessarily idled during such work. The contract documents shall include provisions that the contractor shall not be assessed liquidated damages for delay in completion of the project, when such delay was caused by the failure of the public agency or the owner of the utility to provide for removal or relocation of such utility facilities. (1974) 20 - SUBMITTING OF BIDS AND AGREEING TO ASSIGN GOVERNMENT CODE SECTION 4552 (in relevant p art) In submitting a bid to a public purchasing body, the bidder offers and agrees that if the bid is accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (1 5 U.S. C. Sec. 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 purchases of goods, materials, or services by the bidder for sale to the purchasing body pursuant to the bid. Such assignment shall be made and become effective at the time the purchasing body tenders final payment to the bidder. (1 978) Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 24 2 1 - NON-COLLUSION AFFIDAVIT PUBLIC CONTRACTS CODE SECTION 7106 NON-COLLUSION AFFIDAVIT TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID State of California County of ss ; being first duly sworn, deposes and says that he or she is of the party making the foregoing bid, that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that 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 that anyone shall refrain from bidding; that 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, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that 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, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof the effectuate a collusive or sham bid. personally known to me OR proved to me on the basis of satisfactory 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 hishedtheir authorized capacity(ies), and that by his/her/their signatures(s) on the instrument the person(s), or entity upon behalf of which the person(s) acted, executed the instrument. Subscribed and sworn to before me on (Notary Public) Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 25 Minority Participation Goals for California Affirmative ActiodEqual Employment Opportunity for Construction Contractors Aggregate Work Force Standard Metropolitan Statistical Area (SMSA) 41 CFR 660 - 4.6 All areadall trades Female participation goal 6.9% Area minority participation Goal (%) 174 Rcdding: Non-SMSA 6.8 Lassen; Modoc; Plumas; Shasta; Siskiyou; Teherna 175 Eureka: Non-SMSA Counties 6.6 Del Norte; Humboldt; Trinity 1 76 San Francisco-OaklrndSan Jose: SMSA Counties: 7120 Salinas-Seaside-Monterev 28.9 Monterey 7360 San Francisco-Oakland 26.6 Alameda; Contra Costa; Marin; San Francisco; San Mateo 7400 San Jose 19.6 Santa Clara 7485 SantaCmz 14.9 Santa CNZ 7500 Santa Rosa 9.1 Sonoma. 8720 Valleio-Farifield-Naoa 17.1 Napa; Solano Non-SMSA Counties 23.2 Lake; Mendocino; San Benito 177 Sacramento: SMSA Counties: 5920 Sacramento 16.1 Placer; Sacramento; Yolo Non-SMSA Counties 14.3 Butte; Colusa; El Dorado; Glenn; Nevada; Sierra; Sutter; Yuba 1 78 Stockton-Modesto: SMSA Counties: 5170 Modesto 12.3 8120 Stockton 24.3 Stanislaus San Joaquin Non-SMSA Counties 19.8 Alpine; Amador; Calaveras; Mariposa; Merced; Tuolumne Aviara Community Park -Community Park City of Carlsbad NTD ## 2000-0247 - 03 Area minority participation Goal (%I 179 Frcsno-Ba kcrsficld: SMSA Counties: 0680 Bakersfield 19.1 2840 Fresno 26.1 Fresno Non-SMSA Counties 23.6 Kings; Madera; Tulare Kern 180 Los Angcles: SMSA Counties: 0360 Anaheim-Santa Ana-Garden Grove 11.9 4480 Los Angles-Long Beach 26.3 6000 Oxnard-Simi Vallev-Ventura 21.5 6780 Riverside-San Bernardino-Ontario 19.0 7480 Santa Barbara-Santa Maria-LomDoc 19.7 Orange Los hgeles Ventura. Riverside; San Bemardino. Santa Barbara Non-SMSA Counties 24.6 Inyo; Mono; San Luis Obispo 181 San Dicgo: SMSA Counties: 7320 SanDiego 16.9 San Diego Non-SMSA Counties 16.2 Imperial PROVISIONS FOR RECLAIMED WATER BP - 26 23 - LABOR CODE SECTION 6500 6500. injury, the division shall require the issuance of a permit prior to the initiation of any practices, work, method, operation, or process of employment. The permit requirement of this section is limited to employment or places of employment that are any of the following: (a) For those employments or places of employment that by their nature involve a substantial risk of (1) Construction of trenches or excavations that are five feet or deeper and into which a person is required to descend. (2) The construction of any building, structure, falsework, or scaffolding more than three stories high or the equivalent height. (3) The demolition of any building, structure, falsework, or scaffold more than three stories high or the equivalent height. (4) The underground use of diesel engines in work in mines and tunnels. This subdivision does not apply to motion picture, television, or theater stages or sets, including, but not (b) On or after January 1, 2000, this subdivision shall apply to motion picture, television, or theater limited to, scenery, props, backdrops, flats, greenbeds, and grids. stages or sets, if there has occurred within any one prior calendar year in any combination at separate locations three serious injuries, fatalities, or serious violations related to the construction or demolition of sets more than 36 feet in height for the motion picture, television, and theatrical production industry. An annual permit shall be required for employers who construct or dismantle motion picture, television, or theater stages or sets that are more than three stories or the equivalent height. A single permit shall be required under this subdivision for each employer, regardless of the number of locations where the stages or sets are located. An employer with a currently valid annual permit issued under this subdivision shall not be required to provide notice to the division prior to commencement of any work activity authorized by the permit. The division may adopt procedures to permit employers to renew by mail the permits issued under this subdivision. For purposes of this subdivision, "motion picture, television, or theater stages or sets" include, but are not limited to, scenery, props, backdrops, flats, greenbeds, and grids. 24 - PUBLIC CONTRACT CODE SECTION 7105 7105. cost of repairing or restoring damage to the work, which damage is determined to have been proximately caused by an act of God, in excess of 5 percent of the contracted amount, provided, that the work damaged is built in accordance with accepted and applicable building standards and the plans and specifications of the awarding authority. However, contracts may include provisions for terminating the contract. The requirements of this section shall not be mandatory as to construction contracts financed by revenue bonds. This section shall not prohibit a public agency from requiring that a contractor obtain insurance to indemnify the public agency for any damage to the work caused by an act of God if the insurance premium is a separate bid item. If insurance is required, requests for bids issued by public agencies shall set forth the amount of the work to be covered and the contract resulting from the requests for bids shall require that the contractor furnish evidence of satisfactory insurance coverage to the public agency prior to execution of the contract. (b) For the purposes of this section: (1) "Public agency" shall include the state, the Regents of the University of California, a city, county, (a) Construction contracts of public agencies shall not require the contractor to be responsible for the district, public authority, public agency, municipal utility, and any other political subdivision or public corporation of the state. "Acts of God" shall include only the following occurrences or conditions and effects: earthquakes in excess of a magnitude of 3.5 on the Richter Scale and tidal waves. Public agencies may make changes in construction contracts for public improvements in the course of construction to bring the completed improvements into compliance with environmental requirements or standards established by state and federal statutes entered into. The contractor shall be paid for the changes in accordance with the provisions of the contract governing payment for changes in the work or, if no provisions are set forth in the contract, payment shall be as agreed to by the parties. include the power, by mutual consent of the contracting parties, to terminate, amend, or modify any contract within the scope of such authority. (2) (c) (d) (1) Where authority to contract is vested in any public agency, excluding the state, the authority shall Aviara Community Park -Community Park City of Carlsbad NTD # 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 27 (2) Paragraph (1) shall not apply to contracts entered into pursuant to any statute expressly requiring that contracts be let or awarded on the basis of competitive bids. Contracts of public agencies, excluding the state, required to be let or awarded on the basis of competitive bids pursuant to any statute may be terminated, amended, or modified only if the termination, amendment, or modification is so provided in the contract or is authorized under provision of law other than this subdivision. The compensation payable, if any, for amendments and modifications shall be determined as provided in the contract. The compensation payable, if any, in the event the contract is so terminated shall be determined as provided in the contract or applicable statutory provision providing for the termination. (3) Contracts of public agencies may include provisions for termination for environmental considerations at the discretion of the public agencies. 25 - PUBLIC CONTRACT CODE SECTION 9203 9203. improvement of any public structure, building, road, or other improvement, of any kind which will exceed in cost a total of five thousand dollars ($5,000), shall be made as the legislative body prescribes upon estimates approved by the legislative body, but progress payments shall not be made in excess of 95 percent of the percentage of actual work completed plus a like percentage of the value of material delivered on the ground or stored subject to, or under the control of, the local agency, and unused. The local agency shall withhold not less than 5 percent of the contract price until final completion and acceptance of the project. However, at any time after 50 percent of the work has been completed, if the legislative body finds that satisfactory progress is being made, it may make any of the remaining progress payments in full for actual work completed. to a twenty-five thousand dollar ($25,000) limit for purposes of subdivision (a). (a) Payment on any contract with a local agency for the creation, construction, alteration, repair, or (b) Notwithstanding the dollar limit specified in subdivision (a), a county water authority shall be subject Aviara Community Park -Community Park City of Carlsbad NTD ## 2000-0247 - 03 PROVISIONS FOR RECLAIMED WATER BP - 28 ADDITIONAL FORMS, NOTICES AND REQUIREMENTS 1. AIA A201, General Conditions of the Contract for Construction 2. Carlsbad Agenda Bill No. 16,845 regarding nesting season grading schedule (CDP), including Clarification 3. California Regional Water Quality Control Board “Order for Standard Certification” 4. 00220 Geotechnical and Storm Water Pollution Prevention Plan Reports 5. 00630 Guarantee Form 6. 0081 0 Supplementary Conditions 7. Exhibit A - Artwork Elements Exhibits 1 through 4 inclusive INSTRUCTIONS AIA DOCUMENT General Conditions of the Contract for Construction m GE N ERA1 I N FORMATI ON PURPOSE. AIA Document Azol-1997, a general conditions form, is intended to be used as one of the contract documents forming the construction contract. In addition, it is frequently adopted by reference into a variety of other agreements, including the Owner-Architect agreements and the Contractor-Subcontractor agreements, to establish a common basis for the primary and secondary relationships on the typical construction project. RELATED DOCUMENTS. Azoi-1997 is incorporated by reference into two MA Owner-Contractor agreements (AIOI-1997 and Alli-im). the A401-1997 Contractor-Subcontractor agreement and several AIA Owner-Architect agree- ments (for example, Bqi-1-7 and 8151-1997). It is also incorporated by reference into two design-build agreements (491-Part z and Bgoi-Part 2) and two Owner-Construction Managerlconstructor agreements (AizdCMc-Part 2 and Aij~KMc-Parlz). AZOI-IW may be adopted by indirect reference when the prime Agreement between the Owner and Architect adopts Azol-1-7 and is in turn adopted into Architect-Consultant agreements such as AIA Documents C14i-1997 and Ciq-1997. Such incorporation by reference is a valid legal drafting method, and documents so ~ incorporated are generally interpreted as part of the respective contract. The Contract Documents. including hoi-i~, record the Contract for Construction between the Owner and the Contractor. The other Contract Documents are: Owner-Contractor Agreement Form (e.& Aioi-1997 or Alii-1997) Supplementary Conditions Drawings Specifications Modifications Although the AIA does not produce standard documents for Supplementary Conditions, Drawings or Specifications, a variety of model and guide documents are available, including AIAs MASTERSPEC and MA Document A~u, Guide for Supplementary Conditions. .: The A201-1997 document is considered the keystone document coordinating the many parties involved in the construction process. As mentioned above and diagrammed below, it is a vital document used to allocate the proper legal responsibilities of the parties. General Conditions I 1 , Owner-Contractor Contract for Construction Owner-Architect Contract for Design and Administration t 4 I 1 I I Contractor-Subcontractor Contract for a Portion of the Work Architecl-Consultant Contract for a Portion of the Services I I I I Copyright 0 1997 by the American Institute of Architects. Reproduction of the material herein or substantial quota- tion of its provisions without permission of the AIA violates the copyright laws of the United States and will subject the violator to legal prosecution. WARNING: Unlicmrd photocopying vlolater U.S. copyright laws and wlll wbJect the vlolator to legal prosecution. A201-1997 a1991 AlAQ AIA DOCUMENT AZ01-1997 INSTRUCTIONS The American Institute I of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 01997 AIA8 AIA DOCUMENT AZOl-1997 INSTRUCTIONS The American Institute of Architects On construction projects, hundreds of contractual relationships are created between owners, architects, architects’ consultants, contractors, subcontractors, sub-subcontracton, and others down through the multiple tiers of participants. If custom-crafted agreements were written in isolation for each of those contractual relationships, the problems of overlaps and gaps in the numerous participants’ responsibilities could lead to mass confusion and chaos. TO prevent and solve this problem, the construction industry commonly uses standardized general conditions, such as AIA Document hOl-lgg7, for coordinating those many relationships on the project by its adoption into each contract. AIA expends a great deal of time and resources in the development of Azo1 and its other documents to provide four types of linkages in the tiers of legal relationships. In addition to adoption of Azo1 into each agreement, related AIA documents are crafted with common phrasing, uniform definitions and a consistent, logical allocation of responsibilities down through the tiers of relationships. Together these documents are known as the Azo1 Family of Documents, and are listed below: AlOl-1997, Standard Form of Agreement Between Owner and Contractor (Stipulated Sum) Alii-197, Standard Form of Agreement Between Owner and Contractor (Cost Plus Fee, with GMP) A401-1997. Standard Form of Agreement Between Contractor and Subcontractor Ayi, Guide for Supplementary Conditions A7oi-1997. Instructions to Bidders B141-1997, Standard Form of Agreement Between Owner and Architect 8151-1997, Abbreviated Standard Form of Agreement Between Owner and Architect Bsii, Guide for Amendments to AIA Owner-Architect Agreements CL$l-1997, Standard Form of Agreement Between Architect and Consultant 042-1~7. Abbreviated Standard Form of Agreement Between Architect and Consultant ‘f The AIA publishes other General Conditions that parallel A20i-i~ for the construction management-adviser family of documents (AIA Document AiodCMa) and the interiors family of documents (AIA Document A271). DISPUTE RESOLUTION-MEDIATION AND ARBITRATION. This document contains provisions for mediation and arbitration of claims and disputes. Mediation is a non-binding process, but is mandatory under the terms of this document. Arbitration is mandatory under the terms of this document and binding in most states and under the Federal Arbitration Act. In a minority of states, arbitration provisions relating to future disputes are not enforceable but the parties may agree to arbitrate after the dispute arises. Even in those states, under certain circumstances (for example, in a transaction involving interstate commerce), arbitration provisions may be enforceable under the Federal Arbitration Act. The AIA does not administer dispute resolution processes. To submit disputes to mediation or arbitration or to obtain copies of the applicable mediation or arbitration rules, write to the American Arbitration Association or call (600) 776-7679. The American Arbitration Association also may be contacted at http://w.adr.org. WHY USE AIA CONTRACT DOCUMENTS? AIA contract documents are the product of a consensus-building process aimed at balancing the interests of all parties on the construction project. The documents reflect actual industry practices, not theory. They are state-of-the-art legal documents, regularly revised to keep up with changes in law and the industry-yet they are written, as far as possible, in everyday language. Finally, AIA contract documents are flexible: they are intended to be modified to tit individual projects, but in such a wa) that modifications are easily distinguished from the original. printed language. For further information on AIA’s approach to drafting contract documents, see AIA Document MEO, Document Drafting Principles. USE OF NON-AIA FORMS. If a combination of AIA documents and non-AIA documents-is to he used, particular care must be taken to achieve consistency of language and intent among documents. STANDARD FORMS. Most AIA documents published since 1906 have contained in their titles the words “&andard Form.” The term “standard” is not mcant to imply that a uniform set of contractual requiremcnts is mandatory for AIA members or others in the construction industry. Rather, the AIA standard documents are intended to be used as fair and balanced baselines from which the parties can negotiate their bargains. As such, the documents have won general acceptance within the construction industry and have been uniformly interpreted by the courts. M’ithin an industry spanning 50 slates--each free to adopt different, and perhaps contradictory, laws affecting that industry- AIA documents form the basis for a generally consistent body of construction law. USE OF CURRENT DOCUMENTS. Prior to using any AIA document, the user should consult an AIA component chapter or a current AIA Documents Price List to determine the current edition of each document. I WARNING: Unllcenrcd photocopying violates US. copyright laws ad wlll subJect the vlolator to legal prosecution. I REPRODUCTIONS. Azoi-1~ is a copyrighted work and may not be reproduced or excerpted from in substantial part without the express written permission of the AIA. This document is intended to be used as a consumable-that is, the original document purchased by the user is intended to be consumed in the course of being used. There is no implied permission to reproduce this document, nor does membership in The American Institute of Architects con- fer any further rights to reproduce A201-1997 in whole or in part. This document may not be reproduced for Project Manuals. Rather, if a user wishes to include it as an example in a Project Manual, the normal practice is to purchase a quantity of the original forms and bind one in each of the Project Manuals. Modifcations may be accomplished through the w of separate Supplementary Conditions, such as those derived from AIA Document Agii. Unlike many other AIA documents, Azoi-1-7 does not carry with it a limited license to reproduce. The AIA will not permit the reproduction of this document or the use of substantial portions of language from it, except upon written application by a specific user to and after receipt of written permission from the AIA. The AIA logo is printed in red on the original version of this document. This logo distinguishes an original AIA document from copies and counterfeits. To ensure accuracy and uniformity of language, purchasers should use only an original AIA document or one that has been reproduced kom an original under a special limited license from the AIA. Documents generated by the software AIA Contract Documents: Electronic Format for Windows"' do not contain a red logo. Documents reproduced in this program may be accompanied by AIA Document D401, Certification of Document's Authenticity. In addition, all documents in the program contain the license number under which the document was reproduced and the date of expiration of the license. CHANGES FROM THE PREVIOUS EDITION. AIA Document Arn1-1~ revises the 1987 edition of Azo1 to reflect changes in construction industry practices and the law. Comments and assistance in this revision were received from numerous individuals and organizations, including those representing owners, architects, engineers, specifiers, general contractors, subcontractors, independent insurance agents, sureties, attorneys and arbitrators. A number of substantial changes have been made to the A201-1997 document. The principal changes are described below. ARTICLE 1: Protection of rights in Drawings. Specifications and other documents is now specifically extended to those of the Architect's consultants, and includes documents in electronic form. ARTICLE 2: The Owner is required to designate a representative empowered to act for the Owner on the Project. The Contractor is entitled to rely on the accuracy and completeness of information furnished by the Owner. ARTICLE 3: Procedures are given for Contractor's review of field conditions and for review of instruclions in the Contract Documents regarding construction means and methods. The rights and responsibilities of the parties with respect lo incidental design by the Contractor are set out in detail. ARTICLE 4: Mediation is included as a precursor to arbitration. The Owner and Contractor waive consequential damages (i.e., indirect damages) arising out of the Contract. ARTICLE 7 Amounts not in dispute under a Construction Change Directive must be included in Applications for Payment. Interim determinations as to amounts still in dispute will be made by the Architect. ARTICLE 9: In the absence of a payment bond in the full amount of the contract sum, payments received by the Contractor for the Work of subcontractors are held by the Contractor for the subcontractors. Release of retainage on completed Work is nquired at substantial completion. ARTICLE 10: Hazardous materials provisions have been expanded to cover materials other than asbestos and PCB, and indemnification of the Contractor under these provisions has been extended to cover remediation costs. ARTICLE 11: Pro@ Management Protective Liability insurance, covering nsks of the Owner, Contractor and Architect, is now an option for the parties to the Contract. ARTICLE 12: If, during the correction period, the Owner discovers Work that is not in accordance with the Contract Documents, the Owner must notify the Contractor. Failure to do so results in a waiver of the Owner's rights under the correction of Work and warranty provisions. ARTICLE 13: The Owner is permitted to assign the Contract to the lender without consent of the Contractor. ARTICLE 14: The Owner is permitted to terminate the Conbad for convenience, with appropriate payment to the Contractor. USING THE A201-1997 FORM MODIFICATIONS. Users are encouraged lo consult an attorney before completing an AIA document. Particularly with respect to contractor's licensing laws, duties imposed by building codes, interest charges, arbitration and indemnification, this document may require modification with the assistance of legal counsel to fully comply with state or local laws regulating these matters. Generally, necessary modifications to the General Conditions may be accomplished by Supplementary Conditions included in the Project Manual and referenced in the Owner-Contractor Agreement. See AIA Document A511, Guide for Supplementary Conditions, for model provisions and suggested format for the Supplementary Conditions. 01997 AlAO AIA DOCUMENT AZ01-1997 INSTRUCTIONS The American Institute of Architects WARNING: Unlhnrd phowmpylw vlolmr US. copyright laws and wlll rublea the vlolator lo kg.1 prorecution. I 01997 AIAOD AIA DOCUMENT A2014997 INSTRUCT IONS The American Institute of Architects 1735 New York Avenue, N.W. I Washington, D.C. 20006-5292 Because ,4201-1997 is designed for general usage, it does not provide all the information and legal requirements needed for a specific Project and location. Necessary additional requirements must be provided in the other Contract Documents, such as the Supplementary Conditions. Consult AIA Document A521, Uniform Location of Subject Matter, to determine the proper location for such additional stipulations. It is definitely not recommended practice to retype the standard document. Besides being a violation of copyright, retyping can introduce typographical errors and doud the legal interpretation given to a standard clause when blended with modifications, thereby eliminating one of the principal advantages of standard form documents. By merely reviewing the modifications to be made to a standard form document, parties familiar with that document can quickly understand the essence of the proposed relationship. Commercial exchanges are greatly simplified and expedited, good-faith dealing is encouraged, and otherwise latent clauses are exposed for scrutiny. In this way, contracting parties can more confidently and fairly measure their risks. WARNING: Unllcmnrd photocopying vlokter U.S. copyrlght laws and wlll rubjca the vlokmr to legal prosecution. I I 1997 EDITION AIA DOCUMENT General Conditions of the Contract for Construction m TABLE OF ARTICLES 1. GENERAL PROVISIONS 2. OWNER 3. CONTRACTOR 4. ADMINISTRATION OF THE CONTRACT 5. SUBCONTRACTORS 6. CONSTRUCTION BY OWNER OR BY SEPARATE CONTRACTORS 7. CHANGES IN THE WORK 8. 9. 10. 11. 12. 13. 14. TIME PAYMENTS AND COMPCgTION PROTECTION OF PERSONS AND PROPERTY INSURANCE ANZ) BONDS UNCOVERING AND CORRECTION OF WORK MISCELLANEOUS PROVISIONS TERMINATION OR SUSPENSION OF THE CONTRACT CAUTION: Yoir should use an original AIA document with the AIA logo printed in red, An original assures that changes will not be obscured as may occur when dociirnents are reproduced. Copyright 1911,1915. 1918 1925, 1937, 1951, 1958. 1961, 1962 1966. 1967. 1970. 1976, 1987,01997 by The American Institute of Architects. Fifteenth Edition. Reproduction of the material herein or substantial quotation of its provisions without written permission of the AIA violates the copyrighl laws of the United States and will subject the violator to legal prosecution. WARNING: Unllcenred photocopying vlobtea U.S. copyright laws and will subject the violator to legal prorecutlon. I A201-1997 3 This document has impor- tant legal consequences. Consultation with an attorney is encouraged completion or modification.. This document has been g approved and endorsed by 5 z. 5 The Associated General S 3 =m Contractors of America. g$ 5 T with respect to its m -. a -I 5"- 5 Sc- g !? 2.: i5 5.2 2 y ag +? e-. OY 0 -3 0,: nS 5. ,z =a -. - - no if a; 6;. 90 =$ ;? $, :r ;f XI 3% -. =2 AIA 01997 DOCUMENT AIA@ A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION I The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 01997 AlAO AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I INDEX Acceptance of Nonconforming Work 9.6.6,9.9.3,12.3 Acceptance of Work Access to Work Accident Prevention Acts and Omissions ’ 9.6.6,9.8.2,9.9.3.9.10.1,9.10.3,12.3 3.16, 6.2.1,12.1 4.2.3, 10 3.2,3.3.2,3.12.8, 3.18, 4.2.3,4.3.8,4.4.1, 8.3.1,9.5.1, 10.2.5,13.4.2,13.7,14.1 Addenda 1.1.1, 3.11 Additional Costs, Claims for 4.3.4,4.3.5.4.3.6,6.1.1,10.3 Additional Inspections and Testing Additional Time, Claims for 9.8.3,12.2.1,13.5 4.3.4,4.3.7, 8.3.2 3.1.3.4,9.4, 9.5 ADMINISTRATION OF THE CONTRACT Advertisement or Invitation to Bid Aesthetic Effect Allowances 3.8 All-risk Insurance Applications for Payment 1.1.1 4.2.13, 4.5.1 i 1.41.1 4.2.5, 7.3.8,9.2, 9.3,9,4,9.5.13 9.6.3, 9.7.13 9.8.5. 9.10, ll.l.3,14.2.4, 14.4.3 Approvals Arbitration Architect Architect, Definition of Architect, Extent of Authority 2.4, 3.1.3, 3.5, 3.10.2, 3.12, 4.2.7, 9.3.2, 13.4.2, 13.5 4.3.3. 4.4 4.5.1. 4.5.2, 4.6, 8.3.1, 9.7.1, 11.4.9, 11.4.10 4.1 4.1.1 2.4,3.12.7.4.2,4.3.6, 4.4, 5.2, 6.3, 7.1.2, 7.36 7.4, 9.2,9.3.1, 9.4,9.5,9.8.3.9.10.1, 9.10.3, 12.1, 12.2.1, 13.5.1, 13.5.2,14.2.2, 14.2.4 Architect, Limitations of Authority and Responsibility 2.1.1, 3.3.3,3.12.4, 3.12.8,3.12.10,4.1.2,4.2.1,4.2.2, 4.2.3, 4.2.6, 42.7, 4.2.10,4.2.12, 4.2.13.4.4, 5.2.1, 7.4>9.4.2,9.6.4,9.6.6 Architect’s Additional Services and Expenses Architect’s Administration of the Contract Architect’s Approvals 2.4, ll.4.l.l, 12.2.1, 13.5.2, 13.5.3, 14.2.4 3.1.3, 433 4.34 4.4.9.4, 9.5 2.4, 3.1.3,3.~.1,3.10.2,4.2.7 Architect’s Authority to Reject Work Architect’s Copyright Architect’s Decisions 3.5.1,4.2.6,12.1.2, 12.2.1 1.6 4.2.6,4.2.7,4.2.11,4.2.12,4.2.13,4.3.4,4.4.1,4.4.5, 44.6,45$ 6.3>7.3.6,7.3& 8.1.3>8.3.1, 9.2,9.49 9.5.1, 9.8.4 9.9.1, 13.5.2, 14.2.2, 14.2.4 Architect’s Inspections Architect’s lnstructions Architect’s lnterpretations 4.2.11, 4.2.12,4.3.6 Architect’s Project Representative 4.2.10 Architect’s Relationship with Contractor 4.2.2, 4.2.9.4.3.4,9.4.2, 9.8.3.9.9.2, 9.10.1, 13.5 3.2.3, 3.3.1, 4.2.6,4.2.7,4.2.8,7.4.1,12.1, 13.5.2 x): 1.1.2, 1.6, 3.1.3, 3.21, 3.2.2, 3.2.3.3.11, 3.42, 3.5.1. 4.4.1>4.4.7* 5.2,6.2.2,7.8.3.1t 9A9.h 949.59 9.7. 9.8,9.9,10.2.6, 10.3, 11.3. 11.4.7, 12, 13.4.2, 13.5 3.7.3,3.10,3.11.3.12,3.i6,3.18,+1.2,4.1.3,4.2,4.3.4, Architect’s Relationship with Subcontractors Architect’s Representations 9.q.2,9.5.1,9.10.1 Architect’s Site Visits 1.1.2, 4.2.3.4.2.4.4.2.6, 9.6.j,9.6.4,11.4.7 4.2.2,4.2.5, 4.2.9,4.3.4,9.4.2,9.5.1,9.9.2,9.10.13 13.5 Asbestos 10.3.1 Attorneys’ Fees Award of Separate Contracts Award of Subcontracts and Other Contracts 3.18.1,9.10.2, 10.3.3 6.1.1, 6.1.2 .‘ for Portions of the Work Basic Definitions Bidding Requirements Boiler and Machinery Insurance Bonds, Lien Bonds, Performzl’lce, and Payment Building Permit Capitalization Certificate of Substantial Completion 9.8.3. 9.8.4, 9.8.5 Certificates for Payment 5.2 1.1 1.1.1, 1.1.7, 5.2.1,11.5.1 11.4.2 9.10.2 7.3.6.4,9.6.7,9.10.3,11.4.9,11.5 . t 3.7.1 1.3 4.1.5~4.2.9, 9.3.3s 9.4,9.5,9.6.1, 9.6.6,9.7.1,9.10.1, 9.10.3, 13.7, 14.1.1.3, 14.2.4 WARNING: Unlicensed photocopying violrhs US. copyrlght laws and will subled the violator to legal prosecution. 1 Certificates of Inspection, Testing or Approval Certificates of Insurance 9.10.2,11.1.3 Change Orders 1.1.1, 2.41, 3.4.2,3.8.2.3, 3.11.1, 3.12.8,42.8,4.3.4, 13.5.4 43.9, 5.2.3, 7.1, 7.1,7.h8.3.1,9.3.1.1,9.10.3, 11.4.1.2, 11.4411.4.9, 12.1.2 Change Orders, Definition of 7.2.1 CHANGES IN THE WORK 3.11, 42.8, 7, 8.3.1, 9.3.1.1, 11.4.9 Claim, Definition of Claims and Disputes 4.3.1 3.2.3,4.3,4.4,4.5.4.6,6.1.1, 6.3, 7.3.8,9.3.3,9.10.4, 10.3.3 Claims and Timely Assertion of Claims Claims for Additional Cost Claims for Additional Time Claims for Concealed or Unknown Conditions Claims for Damages 4.6.5 3.2.3,4.3.4, 4.3.5,4.3.6,6.1.1,7.3.8,10.3.2 3.2.3,4.~,4.3.7,6.1.1,8.3.2,10.3.2 4.3.4 3.2.3,3.18,4.3.10, 6.1.1,8.3.3, 9.5.1,9.6.7, 10.3.3, 11.1.1,11.4.5, 11.4.7,14.1.3, 14.2.4 Claims Subject to Arbitration Cleaning Up Commencement of Statutory Limitation Period Commencement of the Work, Conditions Relating to 4.4.1.4.5.1, 4.6.1 3.15,6.3 13.7 2.2.1,3.2.l, 3.4.1, 3.7.1, 110.1,3.12.6,4.3.5,5.2.1, 5.2.3,6.2.2, 8.1.2.8.2.2, 8.3.1.11.1,11.4.1,11.4.6, 11.5.1 8.1.2 Commencement of the Work, Definition of Communications Facilitating Contract Administration Completion, Conditions Relating to 3.9.1,4.1.4 1.6.1, 3.4.1.3.11, 3.15, 4.2.2,4.2.9,8.2,9.4.2,9.8, 9.9.1,9.10, u.2,13.7,141.2 9 COMPLETION, PAYMENTS AND Completion, Substantial 4.2.9, 8.1.1, 8.1.3, 8.2.3, 9.4.2,9.8,9.9.1.9.10.3, 9.10.4.2, 12.2,13.7 Compliance with Laws 1.6.1, 3.2.2,3.6,3.7, 3.12.10, 3.13, 4.1.1~44.8, 4.6.4, 46.6,9.6.4,10.2.2, 11.1, 11.4,13.1, 13.4,13.5.1, l15.2,13.6, y.1.1, 14.2.1.3 Concealed or Unknown Conditions 4.3.4,8.3.1,10.3 Conditions of the Contract 1.1.1. 1.1.7, 6.1.1, 6.1.4 Consent, Written 1.6,3.42,3.12.8, 3.142,4.1.2,4.3.4,4.6.4, 9.3.2, 9.8.5,~.~.1,9.10.2,9.10.3,11.4.1,13.2,1~.42 CONSTRUCTION BY OWNER OR BY SEPARATE CONTRACTORS 1.1.4 6 7.11 i.i.i,3.12.8,4.2.8,4.3.9,7.1,7.3,9.3.i.i 1.4.1.2,3.10,3.12.1,3.12.2,4~7.2, 6.1.3 1.4,14.2.2.2 4.3.3 Construction Change Directive, Definition of Construction Change Directives Construction Schedules, Contractor’s Contingent Assignment of Subcontracts Continuing Contract Performance Contract, Definition of 1.1.2 CONTRACT, TERMINATION OR SUSPENSION OF THE 5.4.1.1, ll.49,14 Contract Administration Contract Award and Execution, Conditions Relating to 3.7.1, 3.10,5.2, 6.1,11.1.3,11.4.6,11.5.1 Contract Documents, The 1.1, 1.2 Contract Documents, Copies Furnished and Use of Contract Documents, Definition of Contract Sum 3.1.3>4* 9.4.9.5 1.6, 2.2.5, 5.3 1.1.1 3&4.34 4.3.5, 4.4.5s 5.2.3,7.2,7.3> 749.1, 9.4.2, 9.5.1.4,9.6.7,9.7.10.3.2,11.4.1, 14.2.4,14.3.2 Contract Sum, Definition of Contract Time 9.1 4.34 4.3.7.4.4.5, 5.2.3, 7.2.1.3- 7.3, 7.4, 8.1.1, 8.2, 8.3.1,9.5.1,9.7,10.3.2, iz.i.i,i4.3.~ Contract Time, Definition of 8.1.1 CONTRACTOR 3 Contractor, Definition of Contractor’s Construction Schedules Contractor’s Employees 3.1, 6.1.2 1.4.1.2,3.10,3.12.1, 3.u1.2,4.3.7.2, 6.1.3 3.3.2, 3.4.3, 3.8.1, 3.9, 3.18.2,4.2.3,4.2.6,10.2, 10.3, 11.1.1, 11.4.7. 14.1, 14.2.1.1, Contractor’s Liability Insurance 11.1 WARNING: Unlicard photocopylq vloktu US. copyvight laws and WIN subject the violator to legal prosecution. 01997 AIA@ AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I 01997 AIA@ AM DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5292 Contractor’s Relationship with Separate Contractors and Owner’s Forces Contractor’s Relationship with Subcontractors 1.2.2, 3.3.2, 3.18.1,3.18.2, 5,9.6.2,9.6.7, 9.10.2, 3.12.5, 3.y.2,4.2.4, 6, 11.4.7.U.l.Z. 12.2.4 11.4.1.2,11.4.7,11.48 Contractor’s Relationship with the Architect 1.1.2, 1.6, 3.1.3. 3.2.1, 3.2.2, 3.2.3 3.3.1, 3.4.2, 3.5.1, 3.7.3, 3.10, 3.11, 3.12, 3.16, 3.18,4.1.2, 4.1.3,4.2, 4.3.4 4.4.12 4-47, 5.2, 6.2.2,7> 8.3.1~94 9.33 9.4. -5, 9.7. 9.8, 9.9,10.2.6,lO.3.ll.3,11.4.7.12,l)4.2, 13.5 Contractor’s Representations Contractor’s Responsibility for Those Performing the Work Contractor’s Review of Contract Documents Contractor’s Right to Stop the Work Contractor’s Right to Terminate the Contract Contractor’s Submittals l.5.2,3.5.1, 3.12.6,6.2.2,8.2.1,9.3.3,9.8.2 3.3.2, 3.18,4.2.3, 4.3.8,5.3.1, 6.1.3, 6.2, 6.3,9.5.1,10 1*5.2,3.2,3.7.3 9.7 4.3.10,141 3.10,3.ll, 3.12, 4.2.7, 5.2.1, 5.2.3,7.3.6.9.2,9.3, 9.8.2, 9.8.3, 9.9.1, 9.lO,Z, 9.10.3, 11.1.3, 11.5.2 Contractor’s Superintendent Contractor’s Supervision and Construction Procedures 3.9,10.2.6 1.2.2, 3.3, 3.4, 3.12.10,42.2, 4.2.7,4.3.3.6.1.3,6.2.4, 7.1.3,7.3.4,7.3.6, 8.2,lO. 12,14 Contractual Liability Insurance Coordination and Correlation Copies Furnished of Drawings and Specifications Copyrights Correction of Work 11.1.1.8, 11.2, 11.3 i.2,1.5.2,3.3.i, 3.10.3.12.6, 6.1.3, 6.2.1 1.6, 2.2.5, 3.11 1.6, 3.17 2.3,2.4,3.7.4,4.2.1,9.4.2, 9.8.2.9.8.3, 9.9.1, 12.1.2, 12.2,13.7.1.3 Correlation and Intent of the Contract Documents Cost, Definition of costs 1.2 7.3.6 2.4, 3.2.3.3.7.4, 3.8.2, 3.15.2, 4.3, 5.4.2, 6.1.1, 6.2.3, 7.3.3.3, 7.3.6,7.3.7,7.3.8, 9.10.2, 10.3.2, 10.5, 11.3, 11.4,12.1,12.2.1,12.2.4,13.5,14 Cutting and Patching Damage to Construction of Owner or Separate Contractors 6.2.5, 3.14 3.14.2, 6.2.4,9.2.1.5, 1o.z.i.2, 10.2.5,10.6,ii.i, 11.4, 12.2.4 Damage to the Work Damages, Claims for 32.3, 3.18,4.3.10, 6.1.1,8.3.3,9.5.1,9.6.7,10.3.3, 11.1.1, 11.4.5, 11.4.7,14.1.3,14.2.4 Damages for Delay Date of Commencement of the Work, Definition of Date of Substantial Completion, Definition of Day, Definition of 6.1.1, 8,3.3,9.5.1.6, 9.7, 10.3.2 8.1.2 8.1.3 8.1.4 Decisions of the Architect %i 4.2.6,4.2.7,4.2.11,4.2.l2,4.2.13, 4.3.4 4.4.1,4.4.5, *’ 9.8.4, 9.9.1, 13.5.2, 14.2.2, U.2.4 44.6.4.5, 6.3,7.3.6,7.3.8, 8.1.3, 8.3.1>9.2,9.4,9.5.1, Decisions to Withhold Certification Defective or Nonconforming Work, Acceptance, Rejection and Correction of 9.4.1, 9.5, 9.7, 14.1.1.3 2.3,2.4,3.5.1,4.2.6, 6.2.5, 9.5.1,9.5.2.9.6.6,9.8.2. 9.9.3, 9.10.4 12.2.1, 13.7.1.3 Defective Work, Definition of Definitions 3.5.1 1.1, 2.1.1,3.1,3.5.1,3.12.1,3.12.2,3.12.3,4.1.1,4.3.1,5.1, 6.1.2, 7.2.1, 7.3.1. 7.3.6, 8.1, 9.1, 9.8.1 Delays and Extensions of Time 3.2.3>4.3.1* 43.4.4.3.7v4.4.53 5.2.3~7.2.1,7-3.11 7.41. 7.5.1.8.3, 9.5A9.7.1, lO.3.2,10.6.1, 143.2 Disputes Documents and Samples at the Site 4.1.4~4.3.4.4v 4.5s466.32 7.3-8 3.11 Drawings, Definition of r; 1.1.5 Drawings and Specilications, Use and Ownership of i.i.i,1.3,2.2.5, 3.11,5.3 4 Effective Date of Insurance 8.2.2, 11.1.2 Emergencies . 43.5,10.6,141.1.2 r Employees, Contractor’s 3.3.2, 3.4.3, 3.8.1, 3.9,3.18.2, 4.2.3,4.2.6,10.2,10.3, 11.1.1, ii.4.7,14.i, 14.2.1.1 Equipment, Labor, Materials and 1.1.3.1.1.6,343.5.1,3.a.z, 3.8.~3.12,3.13, 3.15.1, 9.10.2,10.2.1,10.2.4,14.2.1.2 Execution and Progress of the Work 4.2.6,4.2.7.5.2.1,6.2.1,7.3.6,9.3.2,9.3,3.9;5.1.3, 1.1.3, 1.2.1, 1.2.2, 2.2.3, 2.2.5, 3.1, 3.3, 3.4, 3.5, 3.7, ’! 3.10.3.12, 3.14, 4.2.2, 42.54.3.3, 6.2.2,7.1.3, 7.3.4, 8.2,9.5,9.9.i, 10.2, 16.3,12.2,142,~3 Fxtensions of Time 32.3, 4.3.1, 4.3.4~4.3.7, 4.4.5. 5.2.3.7.2.1,7-$7.41~ 9.5.1, 9.7.1, lO.3.2,10.6.1, 14.3.2 Failure of Payment 4.3.6, 9.5.1.3. 9.7, 9.10.2,14.1.1.), 14.2.1.2,13.6 3.14.~,9.9.1,10.2.1.2,10.2.5,10.6,11.4.12.2.4 WARNING: Unlicensed photocopying violales US. copyright laws and will subJect tho violator to *sal pmracutlon. Faulty Work Final Completion and Final Payment (See Defective or Nonconforming Work) 4.2.1,4.2.9, 4.3~9.8.2, 9.10, 11.1.2,11.1.3,11.4.1, 11.4.5.12.3.1, 13.7.14.2.4,14.4.3 Financial Arrangements, Owner's Fire and Extended Coverage Insurance 2.2.1, 13.2.2, 14.1.1.5 11.4 1 GENERAL PROVISIONS Governing Law Guarantees (See Warranty) Hazardous Materials identification of Contract Documents Identification of Subcontractors and Suppliers Indemnification Information and Services Rquired of the Owner 13.1 10.2.4 10.3,10.5 1.5.1 5.2.1 ~.i~.3.10,9.10.2,io.~.~,10.5,11.4.1.2,1~4.7 2.1.2,1.2,3.2.l,~.12.4,~1210,4.2.7,43.3,6.1.~ 6.1.4,6.2.5,9.3.2, 9.6.1,9.6.4,9.9.2, 9.10.3,10.3.3, 11.2, 11.4 13.5.1,13.5.2, l4l.l.4,14.1.4 Injury or Damage to Person or Property Inspections 4.3.0,10.2,10.6 11.3,3.13.3.7.1,4.22,4.2.6,4.2.9,9.4.2,9.8.2, 9.8.3,9.9.2,9.10.1, 12.2.1, 13.5 Instructions to Bidders 1.1.1 P Instructions to the Contractor 3.2.3, 3.3.1,3.8.l, 4.2.8, 5.2.l,7, 12, 8.2.2, 13.5.2 Insurance 3.18.1,6.1.1, 7.3.6, 8.zi,9.3.2,9.8.49.9.ir 9.10.2, 9.10.5, 11 Insuranh. Boiler and Machinery Insurance, Contractor's Liability Insurance, Effective Date of 8.2.2,11.1.2 " Insurance., Loss of Use Insurance, Owner's Liability Insurance, Project Management ,Protective Liability 11.3 , Insurance, Property 10.2.5,11.4 Insurance. Stored Materials 11.4.1 11.1 11.4.3 11.2 9.3.2,11.4.1.4 INSURANCE AND BONDS 11 Insurance Companies, Consent to Partial Occupancy Insurance Companies, Settlement with Intent of the Contract Documents Interest 13.6 Interpretation Interpretations, Written Joinder and Consolidation of Claims Required Judgment on Final Award Labor and Materials, Equipment 9.9.1, 11.4.1.5 11.410 1.2.1,4.2.7, 4.2.12,4.2.13,7.4 l.2.3,1.4, 4.1.1, 4.3.1, 5.1, 6.1.2, 8.1.4 4.2.11,4.2.12,4.3.6 46.4 4.6.6 1.1.3, 1.1.6,3.4,3.5.1, 3.8.2, 3.8.3, 3.12,3.13, 3.15.1, 42.6,4,2.7,5.2.1, 6.2.1,7.3.6,9.3.2,9.3.3,9.5.1.3, 9.10.2,10.2.1,10.2.4,14.2.1.2 Labor Disputes 8.3.1 Laws and Regulations 1.6,3.2.2,3.6,3.7,3.~.10,3.13, 41.1,4.4.8,4.6, 9.6.4,9.9.1,10.2.2,11.1,11.4,13.1,13.4, 13.5.1, 13.5.2, 13.6,14 2.1.2,4.4.8,8.2.2,9.3.3, 9.10 4.6.4 Liens Limitation on Consolidation or joinder Limitations, Statutes of Limitations of Liability 4.6.3,12.2.6, 13.7 2.3, 3.2.1,3.5.1, 3.7.3, 3.12.8, 3.12.10, 3.17, 3.18,4.2.6, 4.2.7.4.2.12, 6.2.2,9.4.2,9.6.4,9.6.7, 9.10.4,10.3.3, 10.2.5,11.1.2,11.2.1,ii.4.7.12.2.5.i3.4.2 2.1.2,2.2,2.4,3.2.1,3.7.3,3.10,3.11.3.i2.~, 3.15.1, Limitations of Time 4.2.73 4*3$4.4> 4.5>4.6,5.2,5.3.5.4, 6.2.4, 7.3B7.49 8.2- 94 9.34 9.3.3, 9.4.L 9-53 96 9.7.9.8, 9.9. 9.10,11.1.3,ii.~.1.5,11.4.6,11.4.10,12.2,1~.~. i3.7,14 11.4.3 1.6, 3.u.i,4.2.4, 4.2.6, 5.2.1,9.3,9.4.2,9.6, 9.10.5 10.2.4,10.3,10.5 1.1.3, 1.1.6,1.6.1, 3.4, 3.5.1, 3.8.2, 3.8.23, 3.12, 3.13, 3.15.1, 4.2.6,4.2.7,5.2.1, 6.2.1, 7.3.6, 9.3.2, 9.3.3, ~.5.i.~,9.10.2,10.2.1,10.2.4,14.2.1.2 Loss of Use Insurance Material Suppliers Materials, Hazardous Materials, Labor, Equipment and Means, Methods, Techniques, Sequences and Procedures of Construction Mechanic's Lien 3.3.1, 3.l?.lO,4.2.2,4.2.7, 9.4.2 4.4.8 WARNING: Unllunred phorocopylng vlohhs US. wpyrlght laws and wlll sublea the vloktor to lepl pmsecutbn. 01997 AlAO AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New 'fork Avenue, N.W. Washington. D.C. 20006-5292 I 01997 AlAO AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I Mediation Minor Changes in the Work MISCELLANEOUS PROVISIONS Modifications, Definition of Modifications to the Contract 44.1.4.4.5,44.6,44.8,4.5,4.6.1,4.6.2, 8.3.1, 10.5 1.1.1,3.12.8,4.2.8,4.3.6,7.1,7.4 13 1.1.1 1.1.1,1.1.2, 3.7.3, 3.11.4.1.2, 4.2.1, 5.2.3, 7, 8.3A9.7, 10.3.2,11.41 6.2 Mutual Responsibility Nonconforming Work, Acceptance of 9.6.6,9.9.3,12.3 Nonconforming Work, Rejection and Correction of 2.3, 2.4, 3.5.1,4.2.6, 6.2.5, 9.5.1, 9.8.2,9.9.3,9.10.4, 12.2.1, 13.7.1.3 Notice 2.2.1, 2.3, 2.4,3.2.3,3.3.1, 3.7.2, 3.7.4 3.12.994.3, 4.4.8,4.6.5,5.2.1,8.2.2,9.7,9.10,10.2.2,11.1.3, 11.4.6,12.2.2,12.2.4,13.3,13.5.1,13.5.2, 14.1, 4.2 Notice, Written 2.3, 2.4, 3.3.1, 3.99 3.12.9,3.12.10, 4.3,4.4.8, 4.6.5, 5.2.1, 8.2.2, 9.7,9.10,10.2.2,10.3.i1.i.3,11.4.6, 12.2.2,12.2.4,13.3,14 Notice of Testing and Inspections Notice to Proceed Notices, Permits, Fees and Observations, Contractor’s Occupancy Orders, Written 13.5.1, 13.5.2 8.2.2 2.2.2,3.7,3.13.7.3.6.4, 10.2.2 1.5.2, 3.2, 3.7.39 4.3-4 2.2.2,9.6.6, 9411.4.1.5 1.1.1,2.3, 3.9,4.46,7,8.2.2,11.4-9, u.1,12.2,13.5.2, 14.3.1 OWNER Owner, Definition of Owner, Information and Services Required of the 2.1.2, 2.2, 3.2.1, 3.12.4,3.12.10, 4.2.7,4.3.3, 6.1.3, 6.1.4,6.2.5,9.3.2, 9.6.1,9.6.4,9.9.2,9.10.3, 10.3.3, 2 2.1 11.2, 11.4, 13.5.1. 13.5.2,14.1.1.4, 14.1.4 Owner’s Authority 1.6, 2.1.1, 2.3, 2.4, 3.4.2, 3.8.1, 3.12.10, 3.14.2,4.1.2, 4.1.3, 4.2.4, 4.2.93 4.3.6, 4.4.7. 5.2.1, 5.2.4, 5.4-13 6.1, 6.3, 7.2.1, 7.3.1, 8.2.2, 8.3.1, 9.3.1, 9.3.2.9.5.1, ~.~.i,9.~0.2,10.3.2,11.1.3,11.3.1,ii.~.~, 11.4.10, 12.2.2,12.3.1,13.2.2,14.3,14.4 Owner’s Financial Capability Owner’s Liability Insurance 2.2.1, 13.2.2, 14.1.1.5 11.2 Owner’s Loss of Use Insurance Owner’s Relationship with Subcontractors Owner’s Right to Carry Out the Work 2.4,12.2.4. 4.2.2.2 Owner‘s Right to Clean Up 6.3 Owner’s Right to Perform Construction and to Award Separate Contracts Owner’s Right to Stop the Work Owner’s Right to Suspend the Work Owner’s Right to Terminate the Contract Ownership and Use of Drawings, Specifications and Other Instruments of Service 1.1.1,1.6,2.2.5,3.2.1,3.11.1, 3.17.1,4.2.u, 5.3 Partial Occupancy or Use 9.6.6, 9.9,11.4.1.5 Patching, Cutting and 3.14,6.2.5 Patents Payment, Applications for 11-43 1.1.2,5.2,5.3, 5.4,9.6.4,9.10.2, 14.2.2 6.1 2.3 14.3 14.2 3.17 4.2.5.7.3-8, 9.2, 9.33 9.4 9.5.1~ 9.6.3t9.7.1* 9.8.5, 9.10.1,9.10.3,9.io.5,11.1.3, w.z.4 14.4.3 4.2.5.4.2.9,9.3.3, 9.4,9.5,9.6.1,9.6.6,9.7.1,9.10.1, Payment, Certificates for 9.10.3, 13.7,141.1.3, 14.2.4 Payment, Failure of Payment, Final 4.3.6,9.5.1.3.9.1,9.10.z, L+.l.L3,14.2.1.2,13.6 ’ 4.2.1,4.2.9,4.3.2,9.8.2,9.10,11.1.2,11.1.3,11.4.1 11.4.5,12.3.1,13.7,4.~.4 14.4.3 4 Payment Bond, Performance Bond and Payments, Progress PAYMENTS AND COMPLETION Payments to Subcontractors 7.3.6.4.9.6.7, 9.10.3,11.4.9,11.5 43.3,9.3.9.6,9.8.5,9.i0.3,13.6,14.~3 9 5.4.2, 9.5.1.3,9.6.2,9.6.3,9.6.4,9.6.7,11.4.8, 14.2.1.2 PCB 10.3.1 Performance Bond and Payment Bond 7.3.6.4,9.6.7, 9.l0.3,11.4.9,11.5 Permits, Fees and Notices 2.2.2,3.7,3,13.7.3.6.4,10.2.2 10 10.3.1 PERSONS AND PROPERTY, PROTECTION OF Polychlorinated Biphenyl * WARNING: Unllcenred photocopying vioh1es US. copyright laws and will rubJ.ct the vlobtor to Iqal prosecution. I rr I Product Data, Definition of Product Data and Samples, Shop Drawings Progress and Completion Progress Payments Project, Definition of the Project Management Protective Liability Insurance Project Manual, Definition of the Project Manuals Project Representatives Property Insurance 3.12.2 3.ll,3.12, 4.2.7 4.2.2,4.3.3, 8.2,9.8,9.9.1,14.1.4 4,3.3.9.3,9.6,9.8.5, 9.10.3,13.6, 14.2.3 1.14 11.3 1.1.7 2.2.5 4.2.10 10.2.5.11.4 PROTECTION OF PERSONS AND PROPLRTY 10 Regulations and Laws 1.6,3.2.2,3.6,3.7, 3.12.10,3.13,4.1.1,4.4.8,4.6, 9.6.49.9.1, 10.2.2,11.1,11.4, l3.l.13.413.5.1, 13.5.2, 13.6,U ' Rejection of Work 3.5.1,42.6,12.2.1 Releases and Waivers of Liens 9.10.2 Representations 9.8.2,9.10.1 Representatives 2.1.1,3.1.1, 3.9,4.1.1,4.21,42.i0,5.1.1,5.1.2,13.2.1 Resolution of Claims and Disputes Responsibility for Those Performing the Work Retainage Review of Contract Documents and Field Conditions by Contractor Review of Contractor's Submittals by Owner i- l.5.2,3.5.1, 3.12.6,6.2.2, 8.2.1,9.3.3, 9.4.2,9.5.1, 4*4,4*5* 4.6 3.3.2, $18,4.2.3, 43.8, 5.3.1,6.1.3,6.2,6.3, 9.5.510 9.3.l,9.6.2,9.8.5,9.9.lr9.lO.2,9.10.3 1.5.2,3.2, 3.7.3, 3.n.7,6.1.3 and Architec! I, 3.10.1, 3.10.2,3.11,3.12, 42,5.2,6.1.3,9.2,9.8.2 Review of Shop Drawings, Product Data and Samples by Contractor Rights and Remedies 3.12 IJA2.h 2.4,3.5.1, 3.15.2, 4.2443.49 4.59 4-63 5.3, 5.4,6.1,6.3, 7.3.1, 8.3, 9.5.1, 9.7, 10.2.5.10.3, 12.2.2, n.2.413.4, q Royalties. Patents and Copyrights Rules and Notices for Arbitration 3.17 4.6.2 Safety of Persons and Property Safety Precautions and Programs Samples, Definition of Samples, Shop Drawings, Product Data and Samples at the Site, Documents and 3.11 Schedule of Values 9.2,9.3.1 Schedules, Construction 1.4.1.2, 3.10, 3.12.1,3.n.2, 4.3.7.2, 6.1.3 Separate Contracts and Contractors 1.1.4 3.12.5,3.14.2, 4.2.4,4.2.7,4.6.4,6,8.3.1,11.4.7. 12.1.2,12.2.5 3.12.1 10.2,10.6 3.3.1,4.2.2, 4.2.7, 5.3.1.10.1, 10.2,10.6 3.12.3 3.11, 3.12, 4.2.7 Shop Drawings, Definition of Shop Drawings, Product Data and Samples Site, Use of Site Inspections Site Visits, Architect's Special Inspections and Testing Specifications, Definition of the Specifications, The Statute of Limitations Stopping the Work Stored Materials Subcontractor, Definition of 3.11, 3.12, 4.2.7 3.13,6.1.1, 6.2.1 1.2.2, 3.2.1, 3.3.3, 3.7.1,4.2,4,3.4.9.4.2, 9.lO.Ll3.5 4.2.2, 4.2.9,43.4, 9.4.2.9.5.1, 9.9.2, 9.10.1, 13.5 4.2.6,12.2.1,13.5 1.1.6 i.i.i,1.1.6, 1.1.7, 1.2.2, 1.6, 3.11, 3.12.10, 3.17 4.6.3, 12.2.6, 13.7 2*3,43.6, 9.7B10.3, 14.1 6.2.1,9.3.2, 10.2.1.2, 10.2.4 11.4.1.4 5.1.1 SUBCONTRACTORS Subcontractors, Work by Subcontractual Relations 5 1.2.2,3.3.2, 3.12.1, 4.2.3, 5.2.3, 5.3, 5.4,9.3.1.2,9.6.7 5.3, 5.4, 9.3.1.2, 9.6, 9.10 lO.Z.l,11.4.7,11.4.8, 14.1, 14.2.1, 14.3.2 Submittals 1.6, 3.10, 3.11, 3.12,4.2.7, 5.2.1,5.2.3,7.3.6, 9.2, 9.3, 9.8,9.9.1.9.10.2,9.10.~, 11.1.3 Subrogation, Waivers of Substantial Completion 6.1.1, 11.45, 11.4.7 4.2.9, 8.1.1, 8.1.3, 8.2.3,9.4.2, 9.8, 9.9.1,9.10.3, 9.10.4.2,12.2,13.7 I Substantial Completion, Definition of 9.8.1 WARNING: Unllcmrod phoWcopyl~ vlohtu US. copyright laws and wlll subject the vlohtor to I& prosecullon. 01997 AIA@ AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5292 I 01997 AlAO AIA DOCUMENT Mol-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue. N.W. I Washington, D.C. 20006-5292 I Substitution of Subcontractors Substitution of Architect Substitutions of Materials Sub-subcontractor, Definition of Subsurface Conditions Successors and Assigns Superintendent Supervision and Construction Procedures 5.2.315.2.4 41.3 3.4.2, 3.5.1.7.3.7 5.1.2 4.3.4 13.2 3.9,10.2.6 1.2.2, 3.3, 3.4, 3.l2.10,4.2.2, 4.2.7, 4.3.3,6.1.3, 6.2.4, 7.1.3, 7.3.6, 8.2, 8.3.1.9.4.2, 10, 12,14 Surety Surety, Consent of Surveys Suspension by the Owner for Convenience Suspension of the Work Suspension or Termination of the Contract Taxes Termination by the Contractor Termination by the Owner for Cause Termination of the Architect Termination of the Contractor TERMINATION OR SUSPENSION OF THE CONTRACT Tests and Inspections 4.4.7,5.41.2,9.8.5,9.10.2, 9.10.3, 14.2.2 9.10.2,9.10.3 2.2.3 14.4 5.4A14.3 43.6, 5.41.1~ 11.4.9B14 3.6 3.8.2.1,7.3.6.4 4.3.10,14.1 4.3.10, 5.4.1.1,14.2 4.1-3 14.2.2 14 3.1.3, 3.3.3,4.2.2, 4.2.6,4.2.9, 9.4.2,9.8.3, 9.9.2, 9.10.1,10.3.2, 11.4.1.1,12.2.1,13.5 TIME 8 Time, Delays and Extensions of 3.2.38 4.3.1.4.3.4.4.3.7~ 4.4.5. 5.2.3s 7.22, 7.3.1, 7.4.1,7.5.1,8.3 9.5.1,9.7.1. lO.3.2,10.6.1, 14.3.2 Time Limits 2.1.2, 2.2, 2.4,3.2.1,3.7.3.3.10,3.11,3.12.5,3.15.1, 4.2, 4.3, 4,4,4.5*46, 5.2, 5.3, 5.4, 6.2.4B7.3, 7,4. 9.10, 11.1.3.11.4.1.5, 11.4.6.11.4.10, 12.2, 13.5, 13.7, y 8.2, 9.2, 9.34 9.3.3, 9.4.1,9.5,9.6,9.7,9.8, 9.9, Time Limits on Claims 4.3.2,4.3.4,4.3& 4.4,4.5,46 Title to Work 9.3.2~9.3.3 12 UNCOVERING AND CORRECTION OF WORK Uncovering of Work Unforeseen Conditions Unit Prices Use of Documents Use of Site Values, Schedule of Waiver of Claims by the Architect Waiver of Claims by the Contractor Waiver of Claims by the Owner 12.1 43.4. 8.3.1, 10.3 4.3.9~7.3.3.2 1.1.1,1.6, 2.2.5, 3.12.6, 5.3 3.13, 6.1.1, 6.2.1 9.2,9.3.1 13.42 4.3.10,9.10.5,11.4.7,Lj.~.2 4.3.103 9~9.3~9.10.3~9.10.4,11.43~ 11.+5* 11.4.7, 12.2.2.1,13.4.2, 14.2.4 Waiver of Consequential Damages Waiver of Liens Waivers of Subrogation warranty 4.3.10, 14.2.4 9.10.2,9.10.4 6.1.1, 11.4.5.11.4.7 3.5,4.2,9,4.3.5.3.9.3.3,9.a.+, 9.9.1,9.10..4, 122.2, 13.7.1.3 Weather Delays Work, Definition of 4.3.7.2 1.1.3 Written Consent 1.6, 3.4.2, 3.12.8,3.14.2, 4.1.2,4.3.4 4.649.3.2, 9.8.5, 9.9.1,9.lO.Z, 9.10.3, ll:4.l, 13.2, 13.4.2 Written Interpietations Written Notice 4.2.11,4.2.12,4.3.6 2.3, 2.4, 3.3.1, 3.9, 3.12.9, 3.12.10.43,4.4.8,4.6.5, 5.2.1, 8.2.2, 9.7,9.10, 10.2.2,lO.3, 11.1.3,11.4.6, 12.2.2, 12.2.4 13.3, q 1.1.1, 2.3, 3.9,4.3.6, 7,8.2.2, 11.4.9, 3.1, u.z;i3.5.2, Written Orders 14.3.1 WARNING: Unllcenrd photocopylng vlohtes U.S. copflght laws and wlll rubJect th. vlolmror to legal pmrrcutlon. 1 ARTICLE 1 GENERAL PROVISIONS 1.1 BASIC DERNITIONS 1.1.1 THE CONTRACT DOCUMENTS The Contract Documents consist of the Agreement between Owner and Contractor (hereinafter the Agreement), Conditions of the Contract (General, Supplementary and other Conditions), Drawings, Specifications, Addenda issued prior to execution of the Contract, other documents listed in the Agreement and Modifications issued after execution of the Contract. A Modification is (1) a written amendment to the Contract signed by both parties, (2) a Change Order, (3) a Construction Change Directive or (4) a written order for a minor change in the Work issued by the Architect. Unless specifically enumerated in the Agreement, the Contract Documents do not include other documents such as bidding requirements (advertisement or invitation to bid, Instructions to Bidders, sample forms, the Contractor’s bid or portions of Addenda relating to bidding requirements). 1.1.2 T~IE CO~TRACT The Contract Documents form the Contract for Construction. The Contract represents the entire and integrated agreement between the parties hereto and supersedes prior negotiations, representations or agreements, either written or oral. The Contract may be amended or modified only by a Modification. The Contract Documents shall not be construed to create a contractual relationship of any kind (1) between the Architect and Contractor, (2) between the Owner and a Subcontractor or Sub-subcontractor, (3) between the Owner and Architect or (4) between any persons or entities other than the Owner and Contractor. The Architect shall, however, be entitled to performance and enforcement of obligations under the Contract intended to facilitate performance of the Architect’s duties. 1.1.3 THE WORK The term “Work” means the construction and services required by the Contract Documents, whether completed or partially completed, and includes all other labor, materials, equipment and services provided or to be provided by the Contractor to fulfill the Contractor’s obligations. The Work may constitute the whole or a part of the Project. 1.1.4 THE PROJECT The Project is the total construction of which the Work performed under the Contract Documents may be the whole or a part and which may include construction by the Owner or by separate contractors. 1.1.5 THE DRAWINGS The Drawings are the graphic and pictorial portions of the Contract Documents showing the design, location and dimensions of the Work, generally including plans, elevations, sections, details, schedules and diagrams. 1.1.6 THE SPECIFICATIONS The Specifications are that portion of the Contract Documents consisting of the written require- ments for materials, equipment, systems, standards and workmanship for the Work, and perfor- mance of related services. 1.1.7 THE PROJECT MANUAL The Project Manual is a volume assembled for the Work which may include the bidding requirements, sample forms, Conditions of the Contract and Specifications. 1.2 CORRELATION AND INTENT OF THE CONTRACT DOCUMENTS 1.2.1 The intent of the Contract Documents is to include all items necessary for the proper execution and completion of the Work by the Contractor. The Contract Documents are U WARNING: Unlc.nsd photocDpvln# vlolatu US. copyrlght laws and wlll sub]sa the violator to legal pmrccutlon. 01997 AlA@ AIA DOCUMENT AZOl-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New ‘fork Avenue, N.W. Washington, D.C. loo06-5291 01997 AlA@ AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 complementary, and what is required by one shall be as binding as if required by all; performance by the Contractor shall be required only to the extent consistent with the Contract Documents and reasonably inferable from them as being necessary to produce the indicated results. 1.2.2 Organization of the Specifications into divisions, sections and articles, and arrangement of Drawings shall not control the Contractor in dividing the Work among Subcontractors or in establishing the extent of Work to be performed by any trade. 1.2.3 Unless otherwise stated in the Contract Documents, words which have well-known technical or construction industry meanings are used in the Contract Documents in accordance with such recognized meanings. T 1.3 CAPITALIZATION 1.3.1 Terms capitalized in these General Conditions include those which are (I) specifically defined, (2) the titles of numbered articles and identified references to Paragraphs, Subparagraphs and Clauses in the document or (3) the titles of other documents published by the American Institute of Architects. 1.4 INTERPRETATION 1.4.1 In the interest of brevity the Contract Documents frequently omit modifying words such as “all” and “any” and articles such as “the” and “an,” but the fact that a modifier or an article is absent from one statement and appears in another is not intended to affect the interpretation of either statement. 1.5 EXECUTION OF CONTRACT DOCUMENTS 1.5.1 The Contract Documents shall be signed by the Owner and Contractor. If either the Owner or Contractor or both do not sign all the Contract Documents, the Architect shall identify such unsigned Documents upon request. 1.5.2 Execution of the Contract by the Contractor is a representation that the Contractor has visited the site, become generally familiar with local conditions under which the Work is to be performed and correlated personal observations with requirements of the Contract Documents. 1.6 OWNERSHIP AND USE OF DRAWINGS, SPECIFICATIONS AND OTHER INSTRUMENTS OF SERVICE 1.6.1 The Drawings, Specifications and other documents, including those in electronic form, prepared by the Architect and the Architect’s consultants are Instruments of Service through which the Work to be executed by the Contractor is described. The Contractor may retain one record set. Neither the Contractor nor any Subcontractor, Sub-subcontractor or material or equipment supplier shall own or claim a copyright in the Drawings, Specifications and other documents prepared by the Architect or the Architect’s consultants, and unless otherwise indicated the Architect and the Architect’s consultants shall be deemed the authors of them and will retain all common law, statutory and other reserved rights, in addition to the copyrights. All copies of Instruments of Service, except the Contractor’s record set, shall be returned or suitably accounted for to the Architect, on request, upon completion of the Work. The Drawings, Specifications and other documents prepared by the Architect and the Architect’s consultants, and copies thereof furnished to the Contractor, are for use solely with respect to this Project. They are not to be used by the Contractor or any Subcontractor, Sub-subcontractor or material or equipment supplier on other projects or for additions to this Project outside the scope of the Work without the specific written consent of the Owner, Architect and the Architect’s consultants. The Contractor, Subcontractors, Sub-subcontractors and material or equipment suppliers are authorized to use and reproduce applicable portions of the Drawings, Specifications and other documents prepared by the Architect and the Architect’s consultants appropriate to and for use in WARNING: Unlicensed photaopylng violates U.S. copyright liwr and wlll rubjec~ the Yiolator to legal prosecution. I i the execution of their Work under the Contract Documents. All copies made under this authorization shall bear the statutory copyright notice, if any, shown on the Drawings, Specifications and other documents prepared by the Architect and the Architect’s consultants. Submittal or distribution to meet official regulatory requirements or for other purposes in connection with this Project is not to be construed as publication in derogation of the Architect’s or Architect’s consultants’ copyrights or other reserved rights. ARTICLE 2 OWNER 2.1 GENERAL 2.1.1 The Owner is the person or entity identified as such in the Agreement and is referred to throughout the Contract Documents as if singular in number. The Owner shall designate in writing a representative who shall have express authority to bind the Owner with respect to all matters requiring the Owner’s approval or authorization. Except as otherwise provided in Subparagraph 4.2.1, the Architect does not have such authority. The term “Owner” means the Owner or the Owner’s authorized representative. 2.1.2 The Owner shall furnish to the Contractor within fifteen days after receipt of a written request, information necessary and relevant for the Contractor to evaluate, give notice of or enforce mechanic’s lien rights. Such information shall include a correct statement of the record legal title to the property on which the Project is located, usually referred to as the site, and the Owner’s interest therein. 2.2 INFORMATION AND SERVICES REQUIRED OF THE OWNER 2.2.1 The Owner shall, at the written request of the Contractor, prior to commencement of the Work and thereafter, furnish to the Contractor reasonable evidence that financial arrangements have been made to fulfill the Owner’s obligations under the Contract. Furnishing of such evidence shall be a condition precedent to commencement or continuation of the Work. After such evidence has been furnished, the Owner shall not materially vary such financial arrangements without prior notice to the Contractor. 2.2.2 Except for permits and fees, including those required under Subparagraph 3.7.1, which are the responsibility of the Contractor under the Contract Documents, the Owner shall secure and pay for necessary approvals, easements, assessments and charges required for construction, use or occupancy of permanent structures or for permanent changes in existing facilities. 2.2.3 The Owner shall furnish SUN~S describing physical characteristics, legal limitations and utility locations for the site of the Project, and a legal description of the site. The Contractor shall be entitled to rely on the accuracy of information furnished by the Owner but shall exercise proper precautions relating to the safe performance of the Work. . 2.2.4 Information or services required of the Owner by the Contract Documents shall be furnished by the Owner with reasonable promptness. Any other information or services relevant to the Contractor’s performance of the Work under the Owner’s control shall be furnished by the Owner after receipt from the Contractor of a written request for such information or services. 2.2.5 Unless otherwise provided.in the Contract Documents, the Contractor will be furnished, free of charge, such copies of Drawings and Project Manuals as are reasonably necessary for 0 o I 9 9 7 A I A m execution of the Work. AIA DOCUMENT AZOl-1997 GENERAL CONDITIONS OF THE CONTRACT FOR 2.3 OWNER’S RIGHT TO STOP THE WORK CONSTRUCTION 2.3.1 If the Contractor fails to correct Work which is not in accordance with the requirements of the Contract Documents as required by Paragraph 12.2 or persistently fails to carry out Work in The American institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 200063292 I WARNING: Unlicenrd photowpylng vlokhr US. copyrlght laws md wlll subject rha violator to legal prosecution. v) B 3 v I m 00 The American institute of Architects 1735 New 'York Avenue, N.W. Washington, D.C. 20006-5292 I accordance with the Contract Documents, the Owner may issue a written order to the Contractor to stop the Work, or any portion thereof, until the cause for such order has been eliminated; however, the right of the Owner to stop the Work shall not give rise to a duty on the part of the Owner to exercise this right for the benefit of the Contractor or any other person or entity, except to the extent required by Subparagraph 6.1.3. 2.4 OWNER'S RIGHT TO CARRY OUT THE WORK 2.4.1 If the Contractor defaults or neglects to carry out the Work in accordance with the Contract Documents and fails within a seven-day period after receipt of written notice from the Owner to commence and continue correction of such default or neglect with diligence an4 promptness, the Owner may after such seven-day period give the Contractor a second written notice to correct such deficiencies within a three-day period. If the Contractor within such 7 three-day period after receipt of such second notice fails to commence and continue to correct any deficiencies, the Owner may, without prejudice to other remedies the Owner may have, correct such deficiencies. In such case an appropriate Change Order shall be issued deducting from payments then or thereafter due the Contractor the reasonable cost of correcting such deficiencies, including Owner's expenses and compensation for the Architect's additional services made necessary by such default, neglect or failure. Such action by the Owner and amounts charged to the Contractor are both subject to prior approval of the Architect. If payments then or thereafter due the Contractor are not sufficient to cover such amounts, the Contractor shall pay the difference to the Owner. ARTICLE 3 CONTRACTOR 3.1 GENERAL 3.1.1 The Contractor is the person or entity identified as such in the Agreement and is referred to throughout the Contract Documents as if singular in number. The term "Contractor" means the Contractor or the Contractor's authorized representative. 3.1.2 The Contractor shall perform the Work in accordance with the Contract Documents. 3.1.3 The Contractor shall not be relieved of obligations to perform the Work in accordance with the Contract Documents either by activities or duties of the Architect in the Architect's administration of the Contract, or by tests, inspections or approvals required or performed by persons other than the Contractor. r 3.2 3.2.1 Since the Contract Documents are complementary, before starting each portion of the Work, the Contractor shall carefully study and compare the various Drawings and other Contract Documents relative to that portion of the Work, as well as the information furnished by the Owner pursuant to Subparagraph 2.2.3, shall take field measurements of any existing conditions related to that portion of the Work and shall observe any conditions at the site affecting it. These obligations are for the purpose of facilitating construction by the Contractor and are not for the purpose of discovering errors, omissions, or inconsistenci& in the Contract Documents; however, any errors, inconsistencies or omissions discovered by the Contractor shall be reported promptly to the Architect as a request for information in such form as the Architect may require. REVIEW OF CONTRACT DOCUMENTS AND FIELD CONDITIONS BY CONTRACTOR 3.2.2 Any design errors or omissions noted by the Contractor during this review shall be reported promptly to the Architect, but it is recognized that the Contractor's review is made in the Contractor's capacity as a contractor and not as a licensed design professional unless otherwise specifically provided in the Contract Documents. The Contractor is not required to ascertain that the Contract Documents are in accordance with applicable laws, statutes, ordinances, building codes, and rules and regulations, but any nonconformity discovered by or made known to the Contractor shall be reported promptly to the Architect. WARNING: Unllcenred photocopying violates US. copyrlgh1 laws and wlll subject the violator to legal prorecutbn. I 3.2.3 If the Contractor believes that additional cost or time is involved because of clarifications or instructions issued by the Architect in response to the Contractor's notices or requests for information pursuant to Subparagraphs 3.2.1 and 3.2.2, the Contractor shall make Claims as provided in Subparagraphs 4.3.6 and 4.3.7. If the Contractor fails to perform the obligations of Subparagraphs 3.2.1 and 3.2.2, the Contractor shall pay such costs and damages to the Owner as would have been avoided if the Contractor had performed such obligations. The Contractor shall not be liable to the Owner or Architect for damages resulting from errors, inconsistencies or omissions in the Contract Documents or for differences between field measurements or conditions and the Contract Documents unless the Contractor recognized such error, inconsistency, omission or difference and knowingly failed to report it to the Architect. 3.3 SUPERVISION AND CONSTRUCTION PROCEDURES 3.3.1 The Contractor shall supervise and direct the Work, using the Contractor's best skill and attention. The Contractor shall be solely responsible for and have control over construction means, methods, techniques, sequences and procedures and for coordinating all portions of the Work under the Contract, unless the Contract Documents give other specific instructions Concerning these matters. If the Contract Documents give specific instructions concerning construction means, methods, techniques, sequences or procedures, the Contractor shall evaluate the jobsite safety thereof and, except as stated below, shall be fully and solely responsible for the jobsite safety of such means, methods, techniques, sequences or procedures. If the Contractor determines that such means, methods, techniques, sequences or procedures may not be safe, the Contractor shall give timely written notice to the Owner and Architect and shall not proceed with that portion of the Work without further written instructions from the Architect. If the Contractor is then instructed to proceed with the required means, methods, techniques, sequences or procedures without acceptance of changes proposed by the Contractor, the Owner shall be solely responsible for any resulting loss or damage. 3.3.2 The Contractor shall be responsible to the Owner for acts and omissions of the Con- tractor's employees, Subcontractors and their agents and employees, and other persons or entities performing portions of the Work for or on behalf of the Contractor or any of its Subcontractors. 33.3 The Contractor shall be responsible for inspection of portions of Work already performed to determine that such portions are in proper condition to receive subsequent Work. 3.4 LABOR AND MATERIALS 3.4.1 Unless otherwise provided in the Contract Documents, the Contractor shall provide and pay for labor, materials, equipment, tools, construction equipment and machinery, water, heat, utilities, transportation, and other facilities and services necessary for proper execution and completion of the Work, whether temporary or permanent and whether or not incorporated or to be incorporated in the Work. 3.4.2 evaluation by the Architect and in accordance with a Change Order. 3.4.3 The Contractor shall enforce strict discipline and good order among the Contractor's employees and other persons carrying out the Contract. The Contractor shall not permit employment of unfit persons or persons not skilled in tasks assigned to them. 3.5 WARRANTY 3.5.1 The Contractor warrants to the Owner and Architect that materials and equipment furnished under the Contract will be of good quality and new unless otherwise required or permitted by the Contract Documents, that the Work will be free from defects not inherent in the quality required or permitted, and that the Work will conform to the requirements of the Contract The Contractor may make substitutions only with the consent of the Owner, after ,I I WARNING: Unllmsd photocopying vlohfu U.S. copyright laws and will subJacl the violator to bpl pmrecutlon. 01997 AIA@ AIA DOCUMENT A1014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 200064292 s 3 3 I m 01997 AIA@ AIA DOCUMENT Mol-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American institute of Architects 1735 New 'fork Avenue, N.W. Washington, D.C. 20006-5292 I Documents. Work not conforming to these requirements, including substitutions not properly approved and authorized, may be considered defective. The Contractor's warranty excludes remedy for damage or defect caused by abuse, modifications not executed by the Contractor, improper or insufficient maintenance, improper operation, or normal wear and tear and normal usage. If required by the Architect, the Contractor shall furnish satisfactory evidence as to the kind and quality of materials and equipment. 3.6 TAXES 3.6.1 The Contractor shall pay sales, consumer, use and similar taxes for the Work provided by the Contractor which are legally enacted when bids are received or negotiations concluded, whether or not yet effective or merely scheduled to go into effect. 3.7 PERMITS, FEES AND NOTICES 3.7.1 Unless otherwise provided in the Contract Documents, the Contractor shall secure and pay for the building permit and other permits and governmental fees, licenses and inspections necessary for proper execution and completion of the Work which are customarily secured after execution of the Contract and which are legally required when bids are received or negotiations concluded. 3.7.2 regulations and lawful orders of public authorities applicable to performance of the Work. The Contractor shall comply with and give notices required by laws, ordinances, rules, 3.7.3 It is not the Contractor's responsibility to ascertain that the Contract Documents are in accordance with applicable laws, statutes, ordinances, building codes, and rules and regulations. However, if the Contractor observes that portions of the Contract Documents are at variance therewith, the Contractor shall promptly notify the Architect and Owner in writing, and necessary changes shall be accomplished by appropriate Modification. 3.7.4 If the Contractor performs Work knowing it to be contrary to laws, statutes, ordinances, building codes, and rules and regulations without such notice to the Architect and Owner, the Contractor shall assume appropriate responsibility for such Work and shall bear the costs attributable to correction. 3.8 ALLOWANCES 3.8.1 The Contractor shall include in the Contract Sum all allowances stated in the Contract Documents. Items covered by allowances shall be supplied for such amounts and by such persons or entities as the Owner may direct, but the Contractor shall not be required to employ persons or entities to whom the Contractor has reasonable objection. 3.8.2 Unless otherwise provided in the Contract Documents: .I allowances shall cover the cost to the Contractor of materials and equipment delivered at the site and all required taxes, less applicable trade discounts; .z Contractor's costs for unloading and handling at the site, labor, installation costs, overhead, profit and other expenses contemplated for stated allowance amounts shall be included in the Contract Sum but not in the allowances; 3 whenever costs are more than or less than allowances, the Contract Sum shall be adjusted accordingly by Change Order. The amount of the Change Order shall reflect (I) the difference between actual costs and the allowances under Clause 3.8.2.1 and (2) changes in Contractor's costs under Clause 3.8.2.2. 3.8.3 time to avoid delay in the Work. Materials and equipment under an allowance shall be selected by the Owner in sufficient WARNING- Unlicensed photocopying violates U.S. copyrinht laws and will subject the violator to legal prosecution. 1 3.9 SUPERINTENDENT 3.9.1 The Contractor shall employ a competent superintendent and necessary assistants who shall be in attendance at the Project site during performance of the Work. The superintendent shall represent the Contractor, and communications given to the superintendent shall be as binding as if given to the Contractor. Important communications shall be confirmed in writing. Other communications shall be similarly confirmed on written request in each case. 3.lO CONTRACTOR'S CONSTRUCTION SCHEDULES 3.10.1 The Contractor, promptly after being awarded the Contract, shall prepare and submit for the Owner's and Architect's information a Contractor's construction schedule for the Work. The schedule shall not exceed time limits current under the Contract Documents, shall be revised at appropriate intervals as required by the conditions of the Work and Project, shall be related to the entire Project to the extent required by the Contract Documents, and shall provide for expeditious and practicable execution of the Work. 3.lO.2 The Contractor shall prepare and keep current, for the Architect's approval, a schedule of submittals which is coordinated with the Contractor's construction schedule and allows the Architect reasonable time to review submittals. 3.10.3 The Contractor shall perform the Work in general accordance with the most recent schedules submitted to the Owner and Architect. 3.11 DOCUMENTS AND SAMPLES AT THE SITE 3.11.1 The Contractor shall maintain at the site for the Owner one record copy of the Drawings, Specifications, Addenda, Change Orders and other Modifications, in good order and marked currently to record field changes and selections made during construction, and one record copy of approved Shop Drawings, Product Data, Samples and similar required submittals. These shall be available to the Architect and shall be delivered to the Architect for submittal to the Owner upon completion of the Work. 3.12 SHOP DRAWINGS, PRODUCT DATA AND SAMPLES 3.12.1 Shop Drawings are drawings, diagrams, schedules and other data specially prepared for the Work by the Contractor or. a Subcontractor, Sub-subcontractor, manufacturer, supplier or distributor to illustrate some portion of the Work. 3.12.2 Product Data are illustrations, standard schedules, performance charts, instructions, brochures, diagrams and other information furnished by the Contractor to illustrate materials or equipment for some portion of the Work. 3.123 Samples are physical examples which illustrate materials, equipment or workmanship and establish standards by which the Work will be judged. 3.12.4 Shop Drawings, Product Data, Samples and similar submittals are not Contract Documents. The purpose of their submittal is to demonstrate for those portions of the Work for which submittals are required by the Contract Documents the way by which the Contractor proposes to conform to the information given and the design concept expressed in the Contract Documents. Review by the Architect is subject to the limitations of Subparagraph 4.2.7. Informational submittals upon which the Architect is not expected to take responsive action may be so identified in the Contract Documents. Submittals which are not required by the Contract Documents may be returned by the Architect without action. 3.12.5 The Contractor shall review for compliance with the Contract Documents, approve and submit to the Architect Shop Drawings, Product Data, Samples and similar submittals required by 01997 AIA@ AIA DOCUMENT AZOl-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 WARNING: Unllmrd photocopying v1ol.t.s US. copyrlght laws and wlll subject the violator to legal pmsecvtlon. 01997 AIA@ AIA DOCUMENT AZ01-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5292 I the Contract Documents with reasonable promptness and in such sequence as to cause no delay in the Work or in the activities of the Owner or of separate contractors. Submittals which are not marked as reviewed for compliance with the Contract Documents and approved by the Contractor may be returned by the Architect without action. 3.12.6 By approving and submitting Shop Drawings, Product Data, Samples and similar submittals, the Contractor represents that the Contractor has determined and verified materials, field measurements and field construction criteria related thereto, or will do so, and has checked and coordinated the information contained within such submittals with the requirements of the Work and of the Contract Documents. 3.12.7 The Contractor shall perform no portion of the Work for which the Contract Documents require submittal and review of Shop Drawings, Product Data, Samples or similar submittals until the respective submittal has been approved by the Architect. ’ 3.12.8 The Work shall be in accordance with approved submittals except that the contractor shall not be relieved of responsibility for deviations from requirements of the Contract Documents by the Architect’s approval of Shop Drawings, Product Data, Samples or similar submittals unless the Contractor has specifically informed the Architect in writing of such deviation at the time of submittal and (1) the Architect has given written approval to the specific deviation as a minor change in the Work, or (2) a Change Order or Construction Change Directive has been issued authorizing the deviation. The Contractor shall not be relieved of responsibility for errors or omissions in Shop Drawings, Product Data, Samples or similar submittals by the Architect’s approval thereof. 3.12.9 The Contractor shall direct specific, attention, in writing or on resubmitted Shop Drawings, Product Data, Samples or similar submittals, to revisions other than those requested by the Architect on preyious submittals. In the absence of such written notice the Architect’s approval of a resubmission shall not apply to such revisions. 3.12.10 The Contractor shall not be required to provide professional services which constitute the practice of architecture or engineering unless such services are specifically required by the Contract Documents for a portion of the Work or unless the Contractor needs to provide such services in order to carry out the Contractor’s responsibilities for construction means, methods, techniques, sequences and procedures. The Contractor shall not be required to provide professional services in violation of applicable law. If professional design services or certifications by a design professional related to systems, materials or equipment are specifically required of the Contractor by the Contract Documents, the Owner and the Akhitect will specify all performance, and design criteria that such services must satisfy. The Contractor shall cause such services or certifications to be provided by a properly licensed design professional, whose signature and seal shall appear on all drawings, calculations, specifications, certifications, Shop Drawings and other submittals prepared by such professional. Shop Drawings and other submittals related to the Work designed or certified by such professional, if prepared by others, shall bear such professional’s written approval when submitted to the Architect. The Owner and the Akhitect shall be entitled to rely upon the adequacy, accuracy and completeness of the services, certifications or approvals performed by such design professionals, provided the Owner and Architect have specified to the Contractor all performance and design criteria that such services must satisfy. Pursuant to this Subparagraph 3.12.10, the Architect will review, approve or take other appropriate action on submittals only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents. The Contractor shall not be responsible for the adequacy of the performance or design criteria required by the Contract Documents. WARNING: unllcenred photocopylng violates U.S. copyright laws and wlll subject thc vlobtor to legal prosecution. 1 3.U USE OF SITE 3.13.1 The Contractor shall confine operations at the site to areas permitted by law, ordinances, permits and the Contract Documents and shall not unreasonably encumber the site with materials or equipment. 3.14 CUTTING AND PATCHING 3.14.1 The Contractor shall be responsible for cutting, fitting or patching required to complete the Work or to make its parts fit together properly. 3.W.t The Contractor shall not damage or endanger a portion of the Work or fully or partially completed construction of the Owner or separate contractors by cutting, patching or otherwise altering such construction, or by excavation. The Contractor shall not cut or otherwise alter such construction by the Owner or a separate contractor except with written consent of the Owner and of such separate contractor; such consent shall not be unreasonably withheld. The Contractor shall not unreasonably withhold from the Owner or a separate contractor the Contractor’s consent to cutting or otherwise altering the Work. 3.15 CLEANING UP 3.15.1 The Contractor shall keep the premises and surrounding area free from accumulation of waste materials or rubbish caused by operations under the Contract. At completion of the Work, the Contractor shall remove from and about the Project waste materials, rubbish, the Contractor’s tools, construction equipment, machinery and surplus materials. 3.15.2 If the Contractor fails to clean up as provided in the Contract Documents, the Owner may do so and the cost thereof shall be charged to the Contractor. 3.16 ACCESS TO WORK 3.16.1 The Contractor shall provide the Owner and Architect access to the Work in preparation and progress wherever located. 3.17 ROYALTIES, PATENTS AND COPYRIGHTS 3.17.1 The Contractor shall pay all royalties and license fees. The Contractor shall defend suits or claims for infringement of copyrights and patent rights and shall hold the Owner and Architect harmless from loss on account thereof, but shall not be responsible for such defense or loss when a particular design, process or product of a particular manufacturer or manufacturers is required by the Contract Documents or where the copyright violations are contained in Drawings, Specifications or other documents prepared by the Owner or Architect. However, if the Contractor has reason to believe that the required design, process or product is an infringement of a copyright or a patent, the Contractor shall be responsible for such loss unless such information is promptly furnished to the Architect. 3.18 INDEMNIFICATION 3.18.1 To the fullest extent permitted by law and to the extent claims, damages, losses or expenses are not covered by Project Management Protective Liability insurance purchased by the Contractor in accordance with Paragraph 11.3, the Contractor shall indemnify and hold harmless the Owner, Architect, Architect’s consultants, and agents and employees of any of them from and against claims, damages, losses and expenses, including but not limited to attorneys’ fees, arising out of or resulting from performance of the Work, provided that such claim, damage, loss or expense is attributable to bodily injury, sickness, disease or death, or to injury to or destruction of tangible property (other than the Work itself), but only to the extent caused by the negligent acts or omissions of the Contractor, a Subcontractor, anyone directly or indirectly employed by them or anyone for whose acts they may be liable, regardless of whether or not such claim, damage, loss or expense is caused in part by a party indemnified hereunder. Such obligation shall not be I WARNING: Unllunsad photocopylq vlol.hr US. copyrlght laws and will subject the vloktor to lagal prosecution. 01997 AlAO AIA DOCUMENT A2.01-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I construed to negate, abridge, or reduce other rights or obligations of indemnity which would otherwise exist as to a party or person described in this Paragraph 3.18. 01997 AIA@ AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 3.18.2 In claims against any person or entity indemnified under this Paragraph 3.18 by an employee of the Contractor, a Subcontractor, anyone directly or indirectly employed by them or anyone for whose acts they may be liable, the indemnification obligation under Subparagraph 3.18.1 shall not be limited by a limitation on amount or type of damages, compensation or benefits payable by or for the Contractor or a Subcontractor under workers' compensation acts, disability benefit acts or other employee benefit acts. 4 ARTICLE 4 4.1 ARCHITECT 4.1.1 The Architect is the person lawfully licensed to practice architecture or an entity lawfully practicing architecture identified as such in the Agreement and is referred to throughout the Contract Documents as if singular in number. The term "Architect" means the Architect or the Architect's authorized representative. ADMINISTRATION OF THE CONTRACT 4.1.2 Duties, responsibilities and limitations of authority of the Architect as set forth in the Contract Documents shall not be restricted, modified or extended without written consent of the Owner, Contractor and Architect. Consent shall not be unreasonably withheld. 4.1.3 If the employment of the Architect is terminated, the Owner shall employ a new Architect against whom the Contractor has no reasonable objection and whose status under the Contract Documents shall be that of the former Architect. 4.2 ARCHITECT'S ADMINISTRATION OF THE CONTRACT 4.2.1 The Architect will provide administration of the Contract as described in the Contract Documents, and will be an Owner's representative (1) during construction, (2) until final payment is due and (3) with the Owner's concurrence, from time to time during the one-year period for correction of Work described in Paragraph 12.2. The Architect will have authority to act on behalf of the Owner only to the extent provided in the Contract Documents, unless otherwise modified in writing in accordance with other provisions of the Contract. 4.2.2 The Architect, as a representative of the Owner, will visit the site at intervals appropriate to the stage of the Contractor's operations (I) to become generally familiarFwith and to keep the Owner informed about the progress and quality of the portion of the Work completed, (2) to endeavor to guard the Owner against defects and deficiencies in the Work, and (3) to determine in general if the Work is being performed in a manner indicating that the Work, when fully completed, will be in accordance with the Contract Documents. However, the Architect will not be required to make exhaustive or continuous on-site inspections to check the quality or quantity of the Work. The Architect will neither have control over or charge of, nor be responsible for, the construction means, methods, techniques, sequences or procedures, or for the safety precautions and programs in connection with the Work, since these are solely the Contractor's rights and responsibilities under the Contract Documents, except as provided in Subparagraph 3.3.1. 4.2.3 The Architect will not be responsible for the Contractor's failure to perform the Work in accordance with the requirements of the Contract Documents. The Architect will not have control over or charge of and will not be responsible for acts or omissions of the Contractor, Subcontractors, or their agents or employees, or any other persons or entities performing portions of the Work. WARNING: Unlicensed photocopylng vlolater U.S. copyright laws end wlll sublea the vlolator to bel prorecutbn. 1 4.2.4 Communications Facilitating Contract Administration. Except as otherwise provided in the Contract Documents or when direct communications have been specially authorized, the Owner and Contractor shall endeavor to communicate with each other through the Architect about matters arising out of or relating to the Contract. Communications by and with. the Architect’s consultants shall be through the Architect. Communications by and with Subcontractors and material suppliers shall be through the Contractor. Communications by and with separate contractors shall be through the Owner. 4.2.5 Based on the Architect’s evaluations of the Contractor’s Applications for Payment, the Architect will review and certify the amounts due the Contractor and will issue Certificates for Payment in such amounts. 4.2.6 The Architect will have authority to reject Work that does not conform to the Contract Documents. Whenever the Architect considers it necessary or advisable, the Architect will have authority to require inspection or testing of the Work in accordance with Subparagraphs 13.5.2 and 13.5.3, whether or not such Work is fabricated, installed or completed. However, neither this authority of the Architect nor a decision made in good faith either to exercise or not to exercise such authority shall give rise to a duty or responsibility of the Architect to the Contractor, Subcontractors, material and equipment suppliers, their agents or employees, or other persons or entities performing portions of the Work. 4.2.7 The Architect will review and approve or take other appropriate action upon the Contractor’s submittals such as Shop Drawings, Product Data and Samples, but only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents. The Architect’s action will be taken with such reasonable promptness as to cause no delay in the Work ot in the activities of the Owner, Contractor or separate contractors, while allowing sufficient time in the Architect’s professional judgment to permit adequate review. Review of such submittals is not conducted for the purpose of determining the accur$cy and completeness of other details such as dimensions and quantities, or for substantiating instructions for installation or performance of equipment or systems, all of which remain the responsibility of the Contractor as required by the Contract Documents. The Architect’s review of the Contractor’s submittals shall not relieve the Contractor of the obligations under Paragraphs 3.3, 3.5 and 3.12. The Architect’s review shall not constitute approval of safety precautions or, unless otherwise specifically stated by the Architect, of any construction means, methods, techniques, sequences or procedures. The Architect’s approval of a specific item shall not indicate approval of an assembly of which the item is a component. 4.2.8 authorize minor changes in the Work as provided in Paragraph 7.4 4.2.9 The Architect will conduct inspections to determine the date or dates of Substantial Completion and the date of final completion, will receive and forward to the Owner, for the Owner’s review and records, written warranties and related documents required by the Contract and assembled by the Contractor, and wd issue a final Certificate for Payment upon compliance with the requirements of the Contract Documents. 4.2.10 If the Owner and Architect agree, the Architect will provide one or more project representatives to assist in carrying out the Architect’s responsibilities at the site. The duties, responsibilities and limitations of authority of such project representatives shall be as set forth in an exhibit to be incorporated in the Contract Documents. The Architect will prepare Change Orders and Construction Change Directives, and may 4.2.11 The Architect will interpret and decide matters concerning performance under, and requirements of, the Contract Documents on written request of either the Owner or Contractor. WARNING: Unl1c.nr.d photocopying vlohtu US. copyrlght laws and wlll subject the vloktor to legal prosecution. 01997 AIA@ AIA DOCUMENT AZ01-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5292 I 01997 AIA@ AIA DOCUMENT -01-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5292 I The Architect's response to such requests will be made in writing within any time limits agreed upon or otherwise with reasonable promptness. If no agreement is made concerning the time within which interpretations required of the Architect shall be furnished in compliance with this Paragraph 4.2, then delay shall not be recognized on account of failure by the Architect to furnish such interpretations until 15 days after written request is made for them. 4.2.12 Interpretations and decisions of the Architect will be consistent with the intent of and reasonably inferable from the Contract Documents and will be in writing or in the form of drawings. When making such interpretations and initial decisions, the Architect will endeavor to secure faithful performance by both Owner and Contractor, will not show partiality to either and will not be liable for results of interpretations or decisions so rendered in good faith. 4.2.13 The Architect's decisions on matters relating to aesthetic effect will be final if consistent with the intent expressed in the Contract Documents. t 4.3 CLAIMS AND DISPUTES 4.3.1 Definition. A Claim is a demand or assertion by one of the parties seeking, as a matter of right, adjustment or interpretation of Contract terms, payment of money, extension of time or other relief with respect to the terms of the Contract. The term "Claim" also indudes other disputes and matters in question between the Owner and Contractor arising out of or relating to the Contract. Claims must be initiated by written notice. The responsibility to substantiate Claims shall rest with the party making the Claim. 4.3.2 Time Limits on Claims. Claims by either party must be initiated within 21 days after occurrence of the event giving rise to such Claim or within 21 days after the claimant first recognizes the condition giving rise to the Claim, whichever is later. Claims must be initiated by written notice to the Architect and the other party. 4.3.3 Continuing Contract Performance. Pending final resolution of a Claim except as otherwise agreed in writing or as provided in Subparagraph 9.7.1 and Article 14 the Contractor shall proceed diligently with performance of the Contract and the Owner shall continue to make payments in accordance with the Contract Documents. 1 4.3.4 Claims for Concealed or Unknown Conditions, If conditions are encountered at the site which are (1) subsurface or otherwise concealed physical conditions which differ materially from those indicated in the Contract Documents or (2) unknown physical condjtions of an unusual nature, which differ materially from those ordinarily found to exist and generally recognized as inherent in construction activities of the character provided for in the Contract Documents, then notice by the observing party shall be given to the other party promptly before conditions are disturbed and in no event later than 21 days after first observance of the conditions. The Architect will promptly investigate such conditions and, if they differ materially and cause an increase or decrease in the Contractor's cost of, or time required for, performance of any part of the Work, will recommend an equitable adjustment in the Contract Sum OT Contract Time, or both. If the Architect determines that the conditions at the site are not materially different from those indicated in the Contract Documents and that no change in the terms of the Contract is justified, the Architect shall so notiFy the Owner and Contractor in writing, stating the reasons. Claims by either party in opposition to such determination must be made within 21 days after the Architect has given notice of the decision. If the conditions encountered are materially different, the Contract Sum and Contract Time shall be equitably adjusted, but if the Owner and Contractor cannot agree on an adjustment in the Contract Sum or Contract Time, the adjustment shall be referred to the Architect for initial determination, subject to further proceedings pursuant to Paragraph 4.4. ; WARNING: Unllcmsad photocopying vlolates US. copyright laws and wlll subject the violator to kpl pmrocutlon. I i 4.3.5 Claims for Additional Cost. If the Contractor wishes to make Claim for an increase in the Contract Sum, written notice as provided herein shall be given before proceeding to execute the Work. Prior notice is not required for Claims relating to an emergency endangering life or property arising under Paragraph 10.6. 4.3.6 If the Contractor believes additional cost is involved for reasons including but not limited to (1) a written interpretation from the Architect, (2) an order by the Owner to stop the Work where the Contractor was not at fault, (3) a written order for a minor change in the Work issued by the Architect, (4) failure of payment by the Owner, (5) termination of the Contract by the Owner, (6) Owner’s suspension or (7) other reasonable grounds, Claim shall be filed in accordance with this Paragraph 4.3. 4.3.7 CLAIMS FOR ADDITIONAL TIME 4.3.7.1 If the Contractor wishes to make Claim for an increase in the Contract Time, written notice as provided herein shall be given. The Contractor’s Claim shall include an estimate of cost and of probable effect of delay on progress of the Work. In the case of a continuing delay only one Claim is necessary. 4.3.7.2 If adverse weather conditions are the basis for a Claim for additional time, such Claim shall be documented by data substantiating that weather conditions were abnormal for the period of time, could not have been reasonably anticipated and had an adverse effect on the scheduled construction. 4.3.8 Injury or Damage to Person or Property. If either party to the Contract suffers injury or damage to person or property because of an act or omission of the other party, or of others for whose acts such party is legally responsible, written notice of such injury or damage, whether or not insured, shall be given to the other party within a reasonable time not exceeding 21 days after discovery. The notice shall provide sufficient detail to enable the other party to investigate the matter. 4.3.9 If unit prices are staled in the Contract Documents or subsequently agreed upon, and if quantities originally contemplated are materially changed in a proposed Change Order or Construction Change Directive so that application of such unit prices to quantities of Work proposed will cause substantial inequity to the Owner or Contractor, the applicable unit prices shall be equitably adjusted. 4.3.10 Claims for Consequential Damages. The Contractor and Owner waive Claims against each other for consequential damages arising out of or relating to this Contract. This mutual waiver includes: .I damages incurred by the Owner for rental expenses, for losses of use, income, profit, financing, business and reputation, and for loss of management or employee productivity or of the services of such persons; and .2 damages incurred by the Contractor for principal office expenses including the compensation of personnel stationed there, for losses of financing, business and repu- tation, and for loss of profit except anticipated profit arising directly from the Work. This mutual waiver is applicable, without limitation, to all consequential damages due to either party’s termination in accordance with Article 14. Nothing contained in this Subparagraph 4.3.10 shall be deemed to preclude an award of liquidated direct damages, when applicable, in accordance with the requirements of the Contract Documents. 4.4 RESOLUTION OF CLAIMS AND DISPUTES 4.4.1 Decision of Architect. Claims, including those alleging an error or omission by the Architect but excluding those arising under Paragraphs 10.3 through 10.5, shall be referred initially to the Architect for decision. An initial decision by the Architect shall be required as a I WARNING: Unllcmad phororopVlne violates US. copyrlgh1 Iew and wlll subJed the vlohtor to lagd pms~ulion. 0199? AlAO AIA DOCUMENT AZ01-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5292 01997 AlAO AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 WARNING: Unllcmsd photocopying vlohta US. copyvight laws and will subled th. vlohtor to legel prosecution. condition precedent to mediation, arbitration or litigation of all Claims between the Contractor and Owner arising prior to the date final payment is due, unless 30 days have passed after the Claim has been referred to the Architect with no decision having been rendered by the Architect. The Architect will not decide disputes between the Contractor and persons or entities other than the Owner. 4.4.2 The Architect will review Claims and within ten days of the receipt of the Claim take one or more of the following actions: (1) request additional supporting data from the claimant or a response with supporting data from the other party, (2) reject the Claim in whole or in part, (3) approve the Claim, (4) suggest a compromise, or (5) advise the parties that the Architect is unable to resolve the Claim if the Architect lacks sufficient information to evaluate the merits of the Claim or if the Architect concludes that, in the Architect’s sole discretion, it would be ‘-4 inappropriate for the Architect to resolve the Claim. 4.4.3 In evaluating Claims, the Architect may, but shall not be obligated to, consult with or seek information from either party or from persons with special knowledge or expertise who may assist the Architect in rendering a decision. The Architect may request the Owner to authorize retention of such persons at the Owner’s expense. 4.4.4 If the Architect requests a party to provide a response to a Claim or to furnish additional supporting data, such party shall respond, within ten days after receipt of such request, and shall either provide a response on the requested supporting data, advise the Architect when the response or supporting data will be furnished or advise the Architect that no supporting data will be furnished. Upon receipt of the response or supporting data, if any, the Architect will either reject or approve the Claim in whole or in part. 4.4.5 The Architect will approve or reject Claims by written decision, which shall state the rea- sons therefor and which shall notify the parties of any change in the Contract Sum or Contract Time or both. The approval or rejection of a Claim by the Architect shall be final and binding on the parties but subject to mediation and arbitration. 4.4.6 When a written decision of the Architect states that (1) the decision is final but subject to mediation and arbitration and (2) a demand for arbitration of a Claim covered by such decision must be made within 30 days after the date on which the party making the demand receives the final written decision, then failure to demand arbitration within said 30 days’ period shall result in the Architect’s decision becoming final and binding upon the Owner and Contractor. Is the Architect renders a decision after arbitration proceedings have been initiated, such decision may be entered as evidence, but shall not supersede arbitration proceedings unless the decision is acceptable to all parties concerned. 4.4.7 Upon receipt of a Claim against the Contractor or at any time thereafter, the Architect or the Owner may, but is not obligated to, notify the surety, if any, of the nature and amount of the Claim. If the Claim relates to a possibility of a Contractor’s default, the Architect or the Owner may, but is not obligated to, notify the surety and request the surety’s assistance in resolving the controversy. 4.4.8 If a Claim relates to or is the subject of a mechanic’s lien, the party asserting such Claim may proceed in accordance with applicable law to comply with the lien notice or filing deadlines prior to resolution of the Claim by the Architect, by mediation or by arbitration. 4.5 MEDIATION 4.5.1 Any Claim arising out of or related to the Contract, except Claims relating to aesthetic effect and except those waived as provided for in Subparagraphs 4.3.io,g.io.4 and 9.10.5 shall, after initial decision by the Architect or 30 days after submission of the Claim to the Architect, be ~ ’ subject to mediation as a condition precedent to arbitration or the institution of legal or equitable proceedings by either party. 4.5.2 The parties shall endeavor to resolve their Claims by mediation which, unless the parties mutually agree otherwise, shall be in accordance with the Construction Industry Mediation Rules of the American Arbitration Association currently in effect. Request for mediation shall be filed in writing with the other party to the Contract and with the American Arbitration Association. The request may be made concurrently with the filing of a demand for arbitration but, in such event, mediation shall proceed in advance of arbitration or legal or equitable proceedings, which shall be stayed pending mediation for a period of 60 days from the date of filing, unless stayed for a longer period by agreement of the parties or court order. 4.5.3 The parties shall share the mediator’s fee and any filing fees equally. The mediation shall be held in the place where the Project is located, unless another location is mutually agreed upon. Agreements reached in mediation shall be enforceable as settlement agreements in any court having jurisdiction thereof. 4.6 ARBITRATION 4.6.1 Any Claim arising out of or related to the Contract, except Claims- relating to aesthetic effect and except those waived as provided for in Subparagraphs 4.3.10,9.10.4 and 9.10.5, shall, after decision by the Architect or 30 days after submission of the Claim to the Architect, be subject to arbitration. Prior to arbitration, the parties shall endeavor to resolve disputes by mediation in accordance with the provisions of Paragraph 4.5. ,. 4.6.2 Claims not resolved by mediation shall be decided by arbitration which, unless the parties mutually agree otherwise, shall be in accordance with the Construction Industry Arbitration Rules of the American Arbitration Association currently in effect. The demand for arbitration shall be filed in writing with the other party to the Contract and with the American Arbitration Association, and a copy shall be filed with the Architect. 4.6.3 Adernand for arbitration shall be made within the time limits specified in Subparagraphs 4.4.6 and 4.6.1 as applicable, and in other cases within a reasonable time after the Claim has arisen, and in no event shall it be made after the date when institution of legal or equitable proceedings based on such Claim would be barred by the applicable statute of limitations as determined pursuant to Paragraph 13.7. 4.6.4 Limitation on Consolidation or Joinder. No arbitration arising out of or relating to the Contract shall include, by consolidation or joinder or in any other manner, the Architect, the Architect’s employees or consultants, except by written consent containing specific reference to the Agreement and signed by the Architect, Gner, Contractor and any other person or entity sought to be joined. No arbitration shall include, by consolidation or joinder or in any other manner, parties other than the Owner, Contractor, a separate contractor as described in Article 6 and other persons substantially involved in a common question of fact or law whose presence is required if complete relief is to be accorded in arbitration. No person or entity other than the Owner, Contractor or a separate contractor as described in Article 6 shall be included as an original third party or additional third party to an arbitration whose interest or responsibility is insubstantial. Consent to arbitratron involving an additional person or entity shall not constitute .& - - consent to arbitration of a Claim not described therein or with a person or entity not named or described therein. The foregoing agreement to arbitrate and other agreements to arbitrate with an additional person or entity duly consented to by parties to the Agreement shall be specifically Q 19 9 7 GENERAL COND,T,ONS OF THE CONTRACT FOR A 1 A Q AM DOCUMENT AZOl-1997 enforceable under applicable law in any court having jurisdiction thereof. CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I WARNING: Unlmnsd photocopylngvlol.ter US. copyright hwr and wlll rubJea the violator to ha1 pmrocutlon. 4.6.5 Claims and Timely Assertion of Claims. The party filing a notice of demand for arbitration must assert in the demand all Claims then known to that party on which arbitration is permitted to be demanded. 4.6.6 Judgment on Final Award. The award rendered by the arbitrator or arbitrators shall be final, and judgment may be entered upon it in accordance with applicable law in any court having jurisdiction thereof. 01997 AlAO AIA DOCUMENT mol-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 ARTICLE 5 SUBCONTRACTORS 5.1 DEFINITIONS 5.1.1 perform a portion of the Work at the site. The term "Subcontractor" is referred to throughout the Contract Documents as if singular in number and means a Subcontractor or an authorized representative of the Subcontractor. The term "Subcontractor" does not include a separate contractor or subcontractors of a separate contractor. 5.1.2 A Sub-subcontractor is a person or entity who has a direct or indirect contract with a Subcontractor to perform a portion of the Work at the site. The term "Sub-subcontractorD is referred to throughout the Contract Documents as if singular in number and means a Sub-subcontractor or an authorized representative of the Sub-subcontractor. 5.2 AWARD OF SUBCONTRACTS AND OTHER CONTRACTS FOR PORTIONS OF THE WORK 5.2.1 Unless otherwise stated in the Contract Documents or the bidding requirements, the Contractor, as soon as practicable after award of the Contract, shall furnish in writing to the Owner through the Architect the names of persons or entities (including those who are to furnish materials or equipment fabricated to a special design) proposed for each principal portion of the Work. The Architect will promptly reply to the Contractor in writing stating whether or not the Owner or the Architect, after due investigation, has reasonable objection to any such proposed person or entity. Failure of the Owner or Architect to reply promptly shall constitute notice of no reasonable objection. 5.2.2 The Contractor shall not contract with a proposed person or entity to whom the Owner or Architect has made reasonable and timely objection. The Contractor shall not be required to contract with anyone to whom the Contractor has made reasonable objection. A Subcontractor is a person or entity who has a direct contract with the Contractor to 3 . 4 5.2.3 If the Owner or Architect has reasonable objection to a person or entity proposed by the Contractor, the Contractor shall propose another to whom the Owner or Architect has no reasonable objection. If the proposed but rejected Subcontractor was reasonably capable of* performing the Work, the Contract Sum and Contract Time shall be increased or Fased by the difference, if any, occasioned by such change, and an appropriate Change Order shall be issued before commencement of the substitute Subcontractor's Work. However, no increase in the Contract Sum or Contract Time shall be allowed for such changf unless the Contractor has acted promptly and responsively in submitting names as required. 5.2.4 Owner or Architect makes reasonable objection to such substitute. 5.3 SUBCONTRACTUAL RELATIONS 5.3.1 By appropriate agreement, written where legally required for validity, the Contractor shall require each Subcontractor, to the extent of the Work to be performed by the Subcontractor, to be bound to the Contractor by terms of the Contract Documents, and to assume toward the Contractor all the obligations and responsibilities, including the responsibility for safety of the f The Contractor shall not change a Subcontractor, person or entity previously selected if the I WARNING: Unlicensed photocopying vlolates U.S. copyrleht laws and will subJact the violator to kea1 pn.cutlon. I Subcontractor's Work, which the Contractor, by these Documents, assumes toward the Owner and Architect. Each subcontract agreement shall preserve and protect the rights of the Owner and Architect under the Contract Documents with respect to the Work to be performed by the Subcontractor so that subcontracting thereof will not prejudice such rights, and shall allow to the Subcontractor, unless specifically provided otherwise in the subcontract agreement, the benefit of all rights, remedies and redress against the Contractor that the Contractor, by the Contract Documents, has against the Owner. Where appropriate, the Contractor shall require each Subcontractor to enter into similar agreements with Sub-subcontractors. The Contractor shall make available to each proposed Subcontractor, prior to the execution of the subcontract agree- ment, copies of the Contract Documents to which the Subcontractor will be bound, and, upon written request of the Subcontractor, identify to the Subcontractor terms and conditions of the proposed subcontract agreement which may be at variance with the Contract Documents. Subcontractors will similarly make copies of applicable portions of such documents available to their respective proposed Sub-subcontractors. 5.4 CONTINGENT ASSIGNMENT OF SUBCONTRACTS 5.4.1 Owner provided that: Each subcontract agreement for a portion of the Work is assigned by the Contractor to the .I assignment is effective only after termination of the Contract by the Owner for cause pursuant to Paragraph 14.2 and only for those subcontract agreements which the Owner accepts by notifying the Subcontractor and Contractor in writing; and 3 assignment is subject to the prior rights of the surety, if any, obligated under bond relating to the Contract. 5.4.2 Upon such assignment, if the Work has been suspended for more than 30 days, the Subcontractor's compensation shall be equitably adjusted for increases in cost resulting from the suspension. '43 A ARTICLE 6 6.1 OWNER'S RIGHT TO PERFORM CONSTRUCTION AND TO AWARD SEPARATE CONTRACTS 6.1.1 The Owner raerves the right to perform construction or operations related to the Project with the Owner's own forces, and to award separate contracts in connection with other portions of the Project or other construction or operations on the site under Conditions of the Contract identical or substantially similar to these including those portions related to insurance and waiver of subrogation. If the Contractor claims that delay or additional cost is involved because of such action by the Owner, the Contractor shall make such Claim as provided in Paragraph 4.3. CONSTRUCTION BY OWNER OR BY SEPARATE CONTRACTORS 6.1.2 When separate contracts are awarded for different portions of the Project or other construction or operations on the site, the term "Contractor" in the Contract Documents in each case shall mean the Contractor who executes each separate Owner-Contractor Agreement. 6.1.3 The Owner shall provide for coordination of the activities of the Owner's own forces and of each separate contractor with the Work of the Contractor, who shall cooperate with them. The Contractor shall participate with other separate contractors and the Owner in reviewing their construction schedules when directed to do so. The Contractor shall make any revisions to the construction schedule deemed necessary after a joint review and mutual agreement. The construction schedules shall then constitute the schedules to be used by the Contractor, separate contractors and the Owner until subsequently revised. 6.1.4 Unless otherwise provided in the Contract Documents, when the Owner performs construction or operations related to the Project with the Owner's own forces, the Owner shall be deemed to be subject to the same obligations and to have the same rights which apply to the 1 WARNING: Unlconrod photocopyh viohhr US. copyright laws and will subject tha violator to hgd pros.cvllon 01997 AlAQ AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I Contractor under the Conditions of the Contract, including, without excluding others, those stated in Article 3, this Article 6 and Articles io, 11 and 12. 01997 AIA@ AIA DOCUMENT AZOl-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5292 I 6.2 MUTUAL RESPONSIBILITY 6.2.1 The Contractor shall afford the Owner and separate contractors reasonable opportunity for introduction and storage of their materials and equipment and performance of their activities, and shall connect and coordinate the Contractor’s construction and operations with theirs as required by the Contract Documents. 6.2.2 If part of the Contractor’s Work depends for proper execution or results upon construction or operations by the Owner or a separate contractor, the Contractor shall, prior to proceeding with that portion of the Work, promptly report to the Architect apparent discrepancies or defects in such other construction that would render it unsuitable for such proper execution and results. Failure of the Contractor so to report shall constitute an acknowledgment that the Owner’s or separate contractor’s completed or partially completed construction is fit and proper to receive the Contractor’s Work, except as to defects not then reasonably discoverable. 6.2.3 The Owner shall be reimbursed by the Contractor for costs incurred by the Owner which are payable to a separate contractor because of delays, improperly timed activities or defective construction of the Contractor. The Owner shall be responsible to the Contractor for costs incurred by the Contractor because of delays, improperly timed activities, damage to the Work or defective construction of a separate contractor. 6.2.4 The Contractor shall promptly remedy damage wrongfully caused by the Contractor to completed or partially completed construction or to property of the Owner or separate contractors as provided in Subparagraph 10.2.5. 6.2.5 and patching as are described for the Contractor in Subparagraph 3-14. The Owner and each separate contractor shall have the same responsibilities for cutting . 6.3 OWNER’S RIGHT TO CLEAN UP r: 6.3.1 If a dispute arises among the Contractor, separate contractors and the Owner as to the responsibility under their respective contracts for maintaining the premises and surrounding area free from waste materials and rubbish, the Owner may clean up and the Architect will allocate the cost among those responsible. ARTICLE 7 7.1 GENERAL 7.1.1 Changes in the Work may be accomplished after execution of the Contract, and without invalidating the Contract, by Change Order, Construction Change Directive’or order for a minor change in the Work, subject to the limitations stated in this Article 7 and elsewhere in the Contract Documents. 7.1.2 A Change Order shall be based upon agreement among the Owner, Contractor and Architect; a Construction Change Directive requires agreement by the Owner and Architect and may or may not be agreed to by the Contractor; an order for a minor change in the Work may be issued by the Architect alone. CHANGES IN THE WORK 7.1.3 Changes in the Work shall be performed under applicable provisions of the Contract Documents, and the Contractor shall proceed promptly, unless otherwise provided in the Change Order, Construction Change Directive or order for a minor change in the Work. WARNING: Unlicensed photocopying violates US. copyright laws and will subject the vlolrtor to legal prosecution. s 7.2 CHANGE ORDERS 7.2.1 Owner, Contractor and Architect, stating their agreement upon all of the following: A Change Order is a written instrument prepared by the Architect and signed by the .i change in the Work; .z the amount of the adjustment, if any, in the Contract Sum; and .3 the extent of the adjustment, if any, in the Contract Time. Methods used in determining adjustments to the Contract Sum may include those listed 7.2.2 in Subparagraph 7.3.3. 7.3 CONSTRUCTION CHANGE DIRECTIVES 7.3.1 A Construction Change Directive is a written order prepared by the Architect and signed by the Owner and Architect, directing a change in the Work prior to agreement on adjustment, if any, in the Contract Sum or Contract Time, or both. The Owner may by Construction Change Directive, without invalidating the Contract, order changes in the Work within the general scope of the Contract consisting of additions, deletions or other revisions, the Contract Sum and Contract Time being adjusted accordingly. 7.3.2 terms of a Change Order. 7.3.3 adjustment shall be based on one of the following methods: substantiating data to permit evaluation; A Construction Change Directive shall be used in the absence of total agreement on the If the Construction Change Directive provides for an adjustment to the Contract Sum, the .I mutual acceptance of a lump sum properly itemized and supported by sufficient .z unit prices stated in the Contract Documents or subsequently agreed upon; 3 cost to be determined in a manner agreed upon by the parties and a mutually .4 as provided in Subparagraph 7.3.6. 7.3.4 Upon receipt of a Construction Change Directive, the Contractor shall promptly proceed with the change in the Work involved and advise the Architect of the Contractor’s agreement or disagreement with the method, if any, provided in the Construction Change Directive for determining the proposed adjustment in the Contract Sum or Contract Time. 7.3.5 A Construction Change Directive signed by the Contractor indicates the agreement of the Contractor therewith, including adjustment in Contract Sum and Contract Time or the method for determining them. Such agreement shall be effective immediately and shall be recorded as a Change Order. 7.3.6 If the Contractor does not respond promptly or disagrees with the method for adjustment in the Contract Sum, the method and the adjustment shall be determined by the Architect on the basis of reasonable expenditures and savings of those performing the Work attributable to the change, including, in case of an increase in the Contract Sum, a reasonable allowance for overhead and profit. In such case, and also under Clause 7.3.3.3, the Contractor shall keep and present, in such form as the Architect may prescribe, an itemized accounting together with appropriate supporting data. Unless otherwise provided in the Contract Documents, costs for the purposes of this Subparagraph 7.3.6 shall be limited to the following: ‘ .I costs of labor, including social security, old age and unemployment insurance, fringe benefits required by agreement or custom, and workers’ compensation insurance; .Z costs of materials, supplies and equipment, including cost of transportation, whether incorporated or consumed; .3 rental costs of machinery and equipment, exclusive of hand tools, whether rented from acceptable fixed or percentage fee; or .. the Contractor or others; I WARNING: Unllcmsd photoupylrg vlohtas US. copflrlght laws and wlll subject the violator to legal prosacutbn. 01997 AIA@ AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 01397 AIA@ AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I .4 costs of premiums for all bonds and insurance, permit fees, and sales, use or similar .5 additional costs of supervision and field office personnel directly attributable to the taxes related to the Work; and change. 7.3.7 The amount of credit to be allowed by the Contractor to the Owner for a deletion or change which results in a net decrease in the Contract Sum shall be actual net cost as confirmed by the Architect. When both additions and credits covering related Work or substitutions are involved in a change, the allowance for overhead and profit shall be figured on the basis of net increase, if any, with respect to that change. 7.3.8 Pending final determination of the total cost of a Construction Change Directive to the 1 Owner, amounts not in dispute for such changes in the Work shall be included in Applications for Payment accompanied by a Change Order indicating the parties' agreement with part or all of such costs. For any portion of such cost that remains in dispute, the Architect will make an interim determination for purposes of monthly certification for payment for those costs. That determination of cost shall adjust the Contract Sum on the same basis as a Change Order, subject to the right of either party to disagree and assert a claim in accordance with Article 4. 7.3.9 When the Owner and Contractor agree with the determination made by the Architect concerning the adjustments in the Contract Sum and Contract Time, or otherwise reach agreement upon the adjustments, such agreement shall be effective immediately and shall be recorded by preparation and execution of an appropriate Change Order. ' 7.4 MINOR CHANGES IN THE WORK 7.4.1 The Architect will have authority to order minor changes in the Work not involving adjust- ment in the Contract Sum or extension of the Contract Time and not inconsistent with the intent of the Contract Documents. Such changes shall be effected by written order and shall be binding on the Owner and Contractor. The Contractor shall carry out such written orders promptly. ARTICLE 8 TIME 8.1 DEFINITIONS 8.1.1 adjustments, allotted in the Contract Documents for Substantial Completion of the Work. 8.1.2 Unless otherwise provided, Contract Time is the period of time, including authorized The date of commencement of the Work is the date established in the Agreement. 8.1.3 with Paragraph 9.8. 8.1.4 otherwise specifically defined. 8.2 PROGRESS AND COMPLETION 8.2.1 Time limits stated in the Contract Documents are of the essence of thi Contract. By executing the Agreement the Contractor confirms that the Contract Time is a reasonable period for performing the Work. 8.2.2 The Contractor shall not knowingly, except by agreement or instruction of the Owner in writing, prematurely commence operations on the site or elsewhere prior to the effective date of insurance required by Article 11 to be furnished by the Contractor and Owner. The date of commencement of the Work shall not be changed by the effective date of such insurance. Unless the date of commencement is established by the Contract Documents or a notice to proceed given The date of Substantial Completion is the date certified by the Architect in accordance The term "day" as used in the Contract Documents shall mean calendar day unless WARNING: Unlicensed photocopylng violates U.S. copyright laws and wlll rubjm the vlobtor to bpi prosecution. I by the Owner, the Contractor shall notify the Owner in writing not less than five days or other agreed period before commencing the Work to permit the timely filing of morgages, mechanic’s liens and other security interests. 8.2.3 Substantial Completion within the Contract Time. The Contractor shall proceed expeditiously with adequate forces and shall achieve 8.3 DELAYS AND EXTENSIONS OF TIME 8.3.1 If the Contractor is delayed at any time in the commencement or progress of the Work by an act or neglect of the Owner or Architect, or of an employee of either, or of a separate contractor employed by the Owner, or by changes ordered in the Work, or by labor disputes, fire, unusual delay in deliveries, uhavoidable casualties or other causes beyond the Contractor’s control, or by delay authorized by the Owner pending mediation and arbitration, or by other causes which the Architect determines may justify delay, then the Contract Time shall be extended by Change Order for such reasonable time as the Architect may determine. 8.3.2 Paragraph 4.3. Claims relating to time shall be made in accordance with applicable provisions of 8.3.3 other provisions of the Contract Documents. This Paragraph 8.3 does not preclude recovery of damages for delay by either party under ARTICLE 9 PAYMENTS AND COMPLETION 9.1 CONTRACT SUM 9.1.1 The Contract Sum is stated in the Agreenient and, including authorized adjustments, is the total amount payable by the Owner to the Contractor for performance of the Work under the Contract Documents. 9.2 SCHEDULE OFVALUES 9.2.1 Before the first Application for Payment, the Contractor shall submit to the Architect a schedule of values allocated to various portions of the Work, prepared in such form and supported by such data to substantiate its accuracy as the Architect may require. This schedule, unless objected to by the Architect, shall be used as a basis for reviewing the Contractor’s Applications for Payment. 9.3 APPLICATIONS FOR PAYMENT 9.3.1 At least ten days before the date established for each progress payment, the Contractor shall submit to the Architect an itemized Application for Payment for operations completed in accordance ,with the schedule of values. Such application shall be notarized, if required, and supported by such data substantiating the Contractor’s right to payment as the Owner or Architect may quire, such as copies of requisitions from Subcontractors and material suppliers, and reflecting retainage if provided for in-the Contract Documents. 9.3.1.1 As provided in Subparagraph 7.3.8, such applications may include requests for payment on account of changes in the Work which have been properly authorized by Construction Change Directives, or by interim determinations of the Architect, but not yet included in Change Orders. 93.1.2 Such applications may not include requests For payment for portions of the Work for which the Contractor does not intend to pay to a Subcontractor or material supplier, unless such Work has been performed by others whom the Contractor intends to pay. d- Q I WARNING: Unllcmrmd photoEowlng vlolat~s US. copyright laws 8nd Will subject the vlohtor to Irgd pror.cution. J I- 01997 AIA8 AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 01997 AIA@ AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American institute of Architects 1735 New ‘fork Avenue, N.W. Washington, D.C. 20006-5292 9.3.2 Unless otherwise provided in the Contract Documents, payments shall be made on account of materials and equipment delivered and suitably stored at the site for subsequent incorporation in the Work. If approved in advance by the Owner, payment may similarly be made for materials and equipment suitably stored off the site at a location agreed upon in writing. Payment for materials and equipment stored on or off the site shall be conditioned upon com- pliance by the Contractor with procedures satisfactory to the Owner to establish the Owner’s title to such materials and equipment or otherwise protect the Owner’s interest, and shall include the costs of applicable insurance, storage and transportation to the site for such materials and equipment stored off the site. 93.3 The Contractor warrants that title to all Work covered by an Application for Payment will pass to the Owner no later than the time of payment. The Contractor further warrants that upon y submittal of an Application for Payment all Work for which Certificates for Payment have been previously issued and payments received from the Owner shall, to the best of the Contractor’s knowledge, information and belief, be free and clear of liens, claims, security interests or encum- brances in favor of the Contractor, Subcontractors, material suppliers, or other persons or entities making a claim by reason of having provided labor, materials and equipment relating to the Work. 9.4 CERTIFICATES FOR PAYMENT 9.4.1 The Architect will, within seven days after receipt of the Contractor’s Application for Payment, either issue to the Owner a Certificate for Payment, with a copy to the Contractor, for such amount as the Architect determines is properly due, or notify the Contractor and Owner in writing of the Architect’s reasons for withholding certification in whole or in part as provided in Subparagraph 9.5.1. 9.4.2 The issuance of a Certificate for Payment will constitute a representation by the Architect to the Owner, based on the Architect’s evaluation of the Work and the data comprising the Application for Payment, that the Work has progressed to the point indicated and that, to the best of the Architect’s knowledge, information and belief, the quality of the Work is in accordance with the Contract Documents. The foregoing representations are subject to an evaluation of the Work for conformance with the Contract Documents upon Substantial Completion, to results of subsequent tests and inspections, to correction of minor deviations from the Contract Documents prior to completion and to specific qualifications expressed by the Architect. The issuance of a Certificate for Payment will further constitute a representation that the Contractor is entitled to payment in the amount certified. However, the issuance of a Certificate for Payment will not be a representation that the Architect has (1) made exhaustive or continuous on-site inspections to check the quality or quantity of the Work, (2) reviewed construction means, methods, techniques, sequences or procedures, (3) reviewed copies of requisitions pceived from Subcontractors and material suppliers and other data requested by the Owner to substantiate the Contractor’s right to* payment, or (4) made examination to ascertain how or for what purpose the Contractor has used money previously paid on account of the Contract Sum. 9.5 DECISIONS TO WITHHOLD CERTIFICATION 9.5.1 The Architect may withhold a Certificate for Payment k whole or in part, to the extent reasonably necessary to protect the Owner, if in the Architect’s opinion the representations to the Owner required by Subparagraph 9.4.2 cannot be made. If the Architect is unable to certify payment in the amount of the Application, the Architect will notify the Contractor and Owner as provided in Subparagraph 9.4.1. If the Contractor and Architect cannot agree on a revised amount, the Architect will promptly issue a Certificate for Payment for the amount for which the Architect is able to make such representations to the Owner, The Architect may also withhold a Certificate for Payment or, because of subsequently discovered evidence, may nullify the whole or a part of a Certificate for Payment previously issued, to such extent as may be necessary in the Architect’s ‘ WARNING: Unlicensed photocopying viobter U.S. copyright laws and will subject the vlolator to Iqal prosecution. I opinion to protect the Owner from loss for which the Contractor is responsible, including loss resulting from acts and omissions described in Subparagraph 3.3.2, because of .I .l .3 .4 S .L .7 -. defective Work not remedied; third party claims filed or reasonable evidence indicating probable filing of such claims unless security acceptable to the Owner is provided by the Contractor; failure of the Contractor to make payments properly to Subcontractors or for labor, materials or equipment; reasonable evidence that the Work cannot be completed For the unpaid balance of the Contract Sum; damage to the Owner or another contractor; reasonable evidence that the Work will not be completed within the Contract Time, and that the unpaid balance would not be adequate to cover actual or liquidated damages for the anticipated delay; or persistent failure to carry out the Work in accordance with the Contract Documents. 9.5.2 made for amounts previously withheld, When the above reasons for withholding certification are removed, certification will be 9.6 PROGRESS PAYMENTS 9.6.1 After the Architect has issued a Certificate for Payment, the Owner shall make payment in the manner and within the time provided in the Contract Documents, and shall so notify the Architect. 9.6.2 The Contractor shall promptly pay each Subcontractor, upon receipt of payment from the Owner, out of the amount paid to the Contractor on account of such Subcontractor's portion of the Work, the amount to which said Subcontractor is entitled, reflecting percentages actually retained from payments to the Contractor on account of such Subcontractor's portion of the Work. The Contractor shall, by appropriate agreement with each Subcontractor, require each Subcontractor to make payments to Sub-subcontractors in a similar manner. 9.6.3 The Architect will, on request, furnish to a Subcontractor, if practicable, information regarding percentages of completion or amounts applied for by the Contractor and action taken thereon by the Architect and Owner on account of portions of the Work done by such Subcontractor. 9.6.4 of money to a Subcontractor except as may otherwise be required by law. Neither the Owner nor Architect shall have an obligation to pay or to see to the payment 9.6.5 Subparagraphs 9.6.2,9.6.3 and 9.6.4. 9.6.6 A Certificate For Payment, a progress payment, or partial or entire use or occupancy of the Project by the Owner shall not constitute acceptance of Work not in accordance with the Contract Documents. 6 Payment to material suppliers shall be treated in a manner similar to that provided in 9.6.7 Unless the Contractor provides the Owner with a payment bond in the full penal sum of the Contract Sum, payments received by the Contractor for Work properly performed by Subcontractors and suppliers shall be held by the Contractor For those Subcontractors or suppliers who performed Work or furnished materials, or both, under contract with the Contractor for which payment was made by the Owner. Nothing contained herein shall require money to be placed in a separate account and not commingled with money of the Contractor, shall create any fiduciary liability or tort liability on the part of the Contractor for breach of trust or shall entitle any person or entity to an award of punitive damages against the Contractor for ._ -- I breach of the requirements of this provision. WARNING: Unllcmrd photocopying vloh1.r US. copyrlght laws and will rubJca the violator to ha1 pmsrcutlon. m 01997 AlA@ AIA DOCUMENT AZ01-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5192 I 01997 AlAO AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 9.7 FAILURE OF PAYMENT 9.7.1 If the Architect does not issue a Certificate for Payment, through no fault of the Contractor, within seven days after receipt of the Contractor's Application for Payment, or if the Owner does not pay the Contractor within seven days after the date established in the Contract Documents the amount certified by the Architect or awarded by arbitration, then the Contractor may, upon seven additional days' written notice to the Owner and Architect, stop the Work until payment of the amount owing has been received. The Contract Time shall be extended appropri- ately and the Contract Sum shall be increased by the amount of the Contractor's reasonable costs of shut-down, delay and start-up, plus interest as provided for in the Contract Documents. 9.8 SUBSTANTIAL COMPLETION 9.8.1 designated portion thereof is sufficiently complete in accordance with the Contract Documents so that the Owner can occupy or utilize the Work for its intended use. Substantial Completion is the stage in the progress of the Work when the Work or 9 9.8.2 When the Contractor considers that the Work, or a portion thereof which the Owner agrees to accept separately, is substantially complete, the Contractor shall prepare and submit to the Architect a comprehensive list of items to be completed or corrected prior to final payment. Failure to include an item on such list does not alter the responsibility of the Contractor to complete all Work in accordance with the Contract Documents. 9.8.3 Upon receipt of the Contractor's list, the Architect will make an inspection to determine whether the Work or designated portion thereof is substantially complete. If the Architect's inspection discloses any item, whether or not included on the Contractor's list, which is not sufficiently complete in accordance with the Contract Documents so that the Owner can occupy or utilize the Work or designated portion thereof for its intended use, the Contractor shall, before issuance of the Certificate of substantial Completion, complete or correct such item upon notification by the Architect. In such case, the Contractor shall then submit a request for another inspection by the Architect to determine substantial Completion. 9.8.4 When the Work or designated portion thereof is substantially complete, the Architect will prepare a Certificate of Substantial Completion which shall establish the date of Substantial Completion, shall establish responsibilities of the Owner and Contractor for security, maintenance, heat, utilities, damage to the Work and insurance, and shall fix the time within which the Contractor shall finish all items on the list accompanying the Certificate. Warranties required by the Contract Documents shall commence on the date of Substantial Completion of the Work or designated portion thereof unless otherwise provided in the Certificate of Substantial Completion. 9.8.5 The Certificate of Substantial Completion shall be submitted to the Owner and Contractor for their written acceptance of responsibilities assigned to them in such Certificate. Upon such acceptance and consent of surety, if any, the Owner shall make payment of retainage applying to such Work or designated portion thereof. Such payment shall be adjusted for Work that is incomplete or not in accordance with the requirements of the Contract Documents. 9.9 PARTIAL OCCUPANCY OR USE 9.9.1 The Owner may occupy or use any completed or partially completed portion of the Work at any stage when such portion is designated by separate agreement with the Contractor, provided such occupancy or use is consented to by the insurer as required under Clause 11.4.1.5 and authorized by public authorities having jurisdiction over the Work. Such partial occupancy or use may commence whether or not the portion is substantially complete, provided the Owner and Contractor have accepted in writing the responsibilities assigned to each of them for payments, retainage, if any, security, maintenance, heat, utilities, damage to the Work and insurance, and WARNING: Unlicensed photocopying violrres US. copyrigh? laws and will subject the vlolator 10 IqaI promcutlon. I I have agreed in writing concerning the period for correction of the Work and commencement of warranties required by the Contract Documents. When the Contractor considers a portion substantially complete, the Contractor shall prepare and submit a list to the Architect as provided under Subparagraph 9.8.2. Consent of the Contractor to partial occupancy or use shall not be unreasonably withheld. The stage of the progress of the Work shall be determined by written agreement between the Owner and Contractor or, if no agreement is reached, by decision of the Architect. 9.9.2 Immediately prior to such partial occupancy or use, the Owner, Contractor and Architect shall jointly inspect the area to be occupied or portion of the Work to be used in order to determine and record the condition of the Work. 9.9.3 Unless otherwise agreed upon, partial occupancy or use of a portion or portions of the Work shall not constitute acceptance of Work not complying with the requirements of the Contract Documents. 9.10 RNAL COMPLETION AND FINAL PAYMENT 9.10.1 Upon receipt of written notice that the Work is ready for final inspection and acceptance and upon receipt of a final Application for Payment, the Architect will promptly make such inspection and, when the Architect finds the Work acceptable under the Contract Documents and the Contract fully performed, the Architect will promptly issue a final Certificate for Payment stating that to the best of the Architect’s knowledge, information and belief, and on the basis of the Architect’s on-site visits and inspections, the Work has been completed in accordance with terms and conditions of the Contract Documents and that the entire balance found to be due the Contractor and noted in the final Certificate is due and payable. The Architect’s final Certificate for Payment will constitute a further representation that conditions listed in Subparagraph 9.10.2 as precedent to the Contractor’s being entitled to final payment have been fulfilled. 9.lO.2’ Neither final payment nor any remaining retained percentage shall become due until the Contractor submits to the Architect (1) an affidavit that payrolls, bills for materials and equipment, and other indebtedness connected with the Work for which the Owner or the Owner’s property might be responsible or encumbered (less amounts withheld by Owner) have been paid or otherwise satisfied, (2) a certificate evidencing that insurance required by the Contract Documents to remain in force after final payment is currently in effect and will not be canceled or allowed to expire until at least 30 days’ prior written notice has been given to the Owner, (3) a written statement that the Contractor knows of no substantial reason that the insurance will not be renewable to cover the period required by the Contract Documents, (4) consent of surety, if any, to final payment and (5), if required by the Owner, other data establishing payment or satisfaction of obligations, such as receipts, releases and waivers of liens, claims, security interests or encumbrances arising out of the Contract, to the extent and in such form as may be designated by the Owner. If a Subcontractor refuses to furnish a release or waiver required by the Owner, the Contractor may furnish a bond satisfactory to the Owner to indemnify the Owner against such lien. If such lien remains unsatisfied after payments are made, the Contractor shall refund to the Owner all money that the Owner may be compelled to pay in discharging such lien, including all costs and reasonable attorneys’ fees. 9.10.3 If, after Substantial Completion of the Work, final completion thereof is materially delayed through no fault of the Contractor or by issuance of Change Orders affecting final completion, and the Architect so confirms, the Owner shall, upon application by the Contractor and certifi- cation by the Architect, and without terminating the Contract, make payment of the balance due for that portion of the Work fully completed and accepted. If the remaining balance for Work not fully completed or corrected is less than retainage stipulated in the Contract Documents, and if bonds have been furnished, the written consent of surety to payment of the balance due for that 01997 AlAb AIA DOCUMENT A1014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 WARNING: Unllcmrd photocopyhgvlobtar US. copyright laws and will rubjrct the vlohtor to legal prosecution. CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I portion of the Work fully completed and accepted shall be submitted by the Contractor to the Architect prior to certification of such payment. Such payment shall be made under terms and conditions governing final payment, except that it shall not constitute a waiver of claims. 9.10.4 The making of final payment shall constitute a waiver of Claims by the Owner except those arising from: .I liens, Claims, security interests or encumbrances arising out of the Contract and unsettled; .2 failure of the Work to comply with the requirements of the Contract Documents; or J terms of special warranties required by the Contract Documents. 9.W.5 Acceptance of final payment by the Contractor, a Subcontractor or material supplier shall T; constitute a waiver of claims by that payee except those previously made in writing and identified by that payee as unsettled at the time of final Application for Payment. ARTICLE 10 PROTECTION OF PERSONS AND PROPERTY 10.1 SAFETY PRECAUTIONS AND PROGRAMS 10.1.1 precautions and programs in connection with the performance of the Contract. 10.2 10.2.1 The Contractor shall take reasonable precautions for safety of, and shall provide reasonable protection to prevent damage, injury or loss to: .I employees on the Work and other persons who may be affected thereby; .2 the Work and materials and equipment to be incorporated therein, whether in storage on or off the site, under care, custody or control of the Contractor or the Contractor's Subcontractors or Sub-subcontractors; and J other property at the site or adjacent thereto, such as trees, shrubs, lawns, walks, pavements, roadways, structures and utilities not designated for removal, relocation or replacement in the course of construction. 10.2.2 The Contractor shall give notices and comply with applicable' laws, ordinances, rules, regulations and lawful orders of public authorities bearing on safety of persons or property or their protection from damage, injury or loss. lO.2.3 The Contractor shall erect and maintain, as required by existing conditions and performance of the Contract, reasonable safeguards for safety and protectibn, including posting danger signs and other warnings against hazards, promulgatilig safety regulations and noti@ng* owners and users of adjacent sites and utilities. 10.2.4 When use or storage of explosives or other hazardous materials or equipment or unusual methods are necessary for execution of the Work, the Contractor shall exercise utmost care and carry on such activities under supervision of properly qualified personnel. 10.2.5 The Contractor shall promptly remedy damage and loss (other than damage'or loss insured under property insurance required by the Contract Documents) to property referred to in Clauses 10.2.1.2 and 10.2.1.3 caused in whole or in part by the Contractor, a Subcontractor, a Sub-subcontractor, or anyone directly or indirectly employed by any of them, or by anyone for whose acts they may be liable and for which the Contractor is responsible under Clauses 10.2.1.2 and 10.2.1.3, except damage or loss attributable to acts or omissions of the Owner or Architect or anyone directly or indirectly employed by either of them, or by anyone for whose acts either of them may be liable, and not attributable to the fault or negligence of the Contractor. The foregoing obligations of the Contractor are in addition to the Contractor's obligations under Paragraph 3.18. The Contractor shall be responsible for initiating, maintaining and supervising all safety SAFETY OF PERSONS AND PROPERTY 1; ri ' -- - WARNING: Unllcenrd photocopying violates US. copyright laws and will subJ& the violator to legal prosscullon. 10.2.6 The Contractor shall designate a responsible member of the Contractor’s organization at the site whose duty shall be the prevention of accidents. This person shall be the Contractor’s superintendent unless otherwise designated by the Contractor in writing to the Owner and Architect. 10.2.7 The Contractor shall not load or permit any part of the construction or site to be loaded so as to endanger its safety. 10.3 HAZARDOUS MATERIALS WJ.1 If reasonable precautions will be inadequate to prevent foreseeable bodily injury or death to persons resulting fiom a material or substance, including but not limited to asbestos or polychlorinated biphehyl (PCB), encountered on the site by the Contractor, the Contractor shall, upon recognizing the condition, immediately stop Work in the affected area and report the condition to the Owner and Architect in writing. lO.3.2 The Owner shall obtain the services of a licensed laboratory to verify the presence or absence of the material or substance reported by the Contractor and, in the event such material or substance is found to be present, to verify that it has been rendered harmless. Unless otherwise required by the Contract Documents, the Owner shall furnish in writing to the Contractor and Architect the names and qualifications of persons or entities who are to perform tests verifylng the presence or absence of such material or substance or who are to perform the task of removal or safe containment of such material or substance. The Contractor and the Architect will promptly reply to the Owner in writing stating whether or not either has reasonable objection to the persons or entities proposed by the Owner. If either the Contractor or Architect has an objection to a person or entity proposed by the Owner, the Owner shall propose another to whom the Contractor and the Architect have no reasonable objection. When the material or substance has been rendered harmless, Work in the affected area shall resume upon written agreement of the Owner and Contractor. The Contract Time shall be extended appropriately and the Contract Sum shall be increased in the amount of the Contractor’s reasonable additional costs of shut-down, delay and start-up, which adjustments shall be accomplished as provided in Article 7. 10.3.3 To the fullest extent permitted by law, the Owner shall indemnify and hold harmless the Contractor, Subcontractors, Architect, Architect’s consultants and agents and employees of any of them from and against claims, damages, losses and expenses, including but not limited to attor- neys’ fees, arising out of or resulting from performance of the Work in the affected area if in fact the material or substance presents the risk of bodily injury or death as described in Subparagraph 10.3.1 and has not been rendered harmless, provided that such claim, damage, loss or expense is attributable to bodily injury, sickness, disease or death, or to injury to or destruction of tangible property (other than the Work itself) and provided that such damage, loss or expense is not due to the sole negligence of a party seeking indemnity. 10.4 The Owner shall not be responsible under Paragraph 10.3 for materials and substances brought to the site by the Contractor unless such materials or substances were required by the Contract Documents. m.5 If, without negligence on the part of the Contractor, the Contractor is held liable for the cost of remediation of a hazardois material or substance solely by reason of performing Work as -r” - required by the Contract Documents, the Owner shall indemnify the Contractor for all cost and expense thereby incurred. 0 1997 AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR * 1 * @ 10.6 EMERGENCIES CONSTRUCTION 10.6.1 In an emergency affecting safety of persons or property, the Contractor shall act, at the Contractor’s discretion, to prevent threatened damage, injury or loss. Additional compensation or The American Institute of Architects WARNING: Unllcmrd photocopying violates US. copyright laws and wlll sub]& the violator to legal prosecution. 01997 AIA@ AIA DOCUMENT A201-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I extension of time claimed by the Contractor on account of an emergency shall be determined as provided in Paragraph 4.3 and Article 7. ARTICLE 11 INSURANCE AND BONDS 11.1 CONTRACTOR‘S LIABILITY INSURANCE 11.1.1 The Contractor shall purchase from and maintain in a company or companies lawfully authorized to do business in the jurisdiction in which the Project is located such insurance as will protect the Contractor from claims set forth below which may arise out of or result from the Contractor’s operations under the Contract and for which the Contractor may be legally liable, whether such operations be by the Contractor or by a Subcontractor or by anyone directly or indirectly employed by any of them, or by anyone for whose acts any of them may be liable: .I claims under workers’ compensation, disability benefit and other similar employee benefit acts which are applicable to the Work to be performed; .z claims for damages because of bodily injury, occupational sickness or disease, or death of the Contractor’s employees; .3 claims for damages because of bodily injury, sickness or disease, or death of any person other than the Contractor’s employees; .4 claims for damages insured by usual personal injury liability coverage; .s claims for damages, other than to the Work itself, because of injury to or destruction of .6 claims for damages because of bodily injury, death of a person or property damage .I claims for bodily injury or property damage arising out of completed operations; and .I claims involving contractual liability insurance applicable to the Contractor’s tangible property, including loss of use resulting therefrom; arising out of ownership, maintenance or use of a motor vehicle; obligations under Paragraph 3.18. 11.1.2 The insurance required by Subparagraph 11.1.1 shall be written for not less than limits of liability specified in the Contract Documents or required by law, whichever coverage is greater. Coverages, whether written on an Occurrence or claims-made basis, shall be maintained without interruption from date of commencement of the Work until date of final payment and termination of any coverage required to be maintained after final payment. 11.1.3 Certificates of insurance acceptable to the Owner shall be filed with the Owner prigr to commencement of the Work. These certificates and the insurance policies required by this Paragraph 11.1 shall contain a provision that coverages afforded under the policies will not be canceled or allowed to expire until at least 30 days’ prior written notice has been given to the Owner. If any of the foregoing insurance coverages are required to remain in force after final payment and are reasonably available, an additional certificate evidencing continuation of such coverage shall be submitted with the final Application for Payment as reqyired by Subparagraph 9.10.2. Information concerning reduction of coverage on account of revised limits or claims paid under the General Aggregate, or both, shall be furnished by the Contractor with reasonable promptness in accordance with the Contractor’s information and belief. 11.2 OWNER’S LIABILITY INSURANCE 11.2.1 liability insurance. 11.3 The Owner shall be responsible for purchasing and maintaining the Owner’s usual * PROJECT MANAGEMENT PROTECTIVE LIABILITY INSURANCE 11.3.1 Optionally, the Owner may require the Contractor to purchase and maintain Project Management Protective Liability insurance from the Contractor’s usual sources as primary coverage for the Owner’s, Contractor’s and Architect’s vicarious liability for construction operations under the Contract. Unless otherwise required by the Contract Documents, the Owner WARNING: Unllcensd photocopying violates US. copyright laws and wlll sub]& the violator 10 legal pmmutkn. I shall reimburse the Contractor by increasing the Contract Sum to pay the cost of purchasing and maintaining such optional insurance coverage, and the Contractor shall not be responsible for purchasing any other liability insurance on behalf of the Owner. The minimum limits of liability purchased with such coverage shall be equal to the aggregate of the limits required for Contractor’s Liability Insurance under Clauses 11.1.1.2 through 11.1.1.5. 11.3.2 To the extent damages are covered by Project Management Protective Liability insurance, the Owner, Contractor and Architect waive all rights against each other for damages, except such rights as they may have to the proceeds of such insurance. The policy shall provide for such waivers of subrogation by endorsement or otherwise. 113.3 The Owner shall not require the Contractor to include the Owner, Architect or other persons or entities as additional insureds on the Contractor’s Liability Insurance coverage under Paragraph 11.1. 11.4 PROPERTY INSURANCE 11.4.1 Unless otherwise provided, the Owner shall purchase and maintain, in a company or companies lawfully authorized to do business in the jurisdiction in which the Project is located, property insurance written on a builder’s risk “all-risk” or equivalent policy form in the amount of the initial Contract Sum, plus value of subsequent Contract modifications and cost of materials supplied or installed by others, comprising total value for the entire Project at the site on a replacement cost basis without optional deductibles. Such property insurance shall be maintained, unless otherwise provided in the Contract Documents or otherwise agreed in writing by all persons and entities who are beneficiaries of such insurance, until final payment has been made as provided in Paragraph 9.10 or until no person or entity other than the Owner has an insurable interest in the property required by this Paragraph 11.4 to be covered, whichever is later. This insurance shall include interests of the Owner, the Contractor, Subcontractors and Sub-subcontractors in the Project. 11.4.1.1 Property insurance shall be on an “all-risk” or equivalent policy form and shall include, without limitation, insurance against the perils of fire (with extended coverage) and physical loss or damage including, without duplication of coverage, theft, vandalism, malicious mischief, collapse, earthquake, flood, windstorm, falsework, testing and startup, temporary buildings and debris removal including demolition occasioned by enforcement of any applicable legal requirements, and shall cover reasonable compensation for Architect’s and Contractor’s services and expenses required as a result of such insured loss. 11.4.1.2 If the Owner does not intend to purchase such property insurance required by the Contract and with all of the coverages in the amount described above, the Owner shall so inform the Contractor in writing prior to commencement of the Work. The Contractor may then effect insurance which will protect the interests of the Contractor, Subcontractors and Sub-subcontractors in the Work, and by appropriate Change Order the cost thereof shall be charged to the Owner. If the Contractor is damaged by the failure or neglect of the Owner to purchase or maintain insurance as described above, without so notifying the Contractor in writing, then the Owner shall bear all reasonable costs properly attributable thereto. 11.4.1.3 If the property insurance requires deductibles, the Owner shall pay costs not covered because of such deductibles. 11.4.1.4 This property insurance shall cover portions of the Work stored off the site, and also portions of the Work in transit, 11.4.1.5 Partial occupancy or use in accordance with Paragraph 9.9 shall not commence until the insurance company or companies providing property insurance have consented to such partial I WARNING: Unllunrd photocopyl~ vlohhr US. copyright laws and wlll sub]& the vlohtor to kal pmrecutlon. 01997 AlAO AIA DOCUMLNT A2.01-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION I The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 01997 AIA@ AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I occupancy or use by endorsement or otherwise. The Owner and the Contractor shall take reasonable steps to obtain consent of the insurance company or companies and shall, without mutual written consent, take no action with respect to partial occupancy or use that would cause cancellation, lapse or reduction of insurance. 11.4.2 Boiler and Machinery Insurance. The Owner shall purchase and maintain boiler and machinery insurance required by the Contract Documents or by law, which shall specifically cover such insured objects during installation and until final acceptance by the Owner; this insurance shall include interests of the Owner, Contractor, Subcontractors and Sub-subcontractors in the Work, and the Owner and Contractor shall be named insureds. 11.4.3 Loss of Use Insurance. The Owner, at the Owner’s option, may purchase and maintain ‘ such insurance as will insure the Owner against loss of use of the Owner’s property due to fire or other hazards, however caused. The Owner waives all rights of action against the Contractor for loss of use of the Owner’s property, including consequential losses due to fire or other hazards however caused. 11.4.4 If the Contractor requests in writing that insurance for risks other than those described herein or other special causes of loss be included in the property insurance policy, the Owner shall, if possible, include such insurance, and the cost thereof shall be charged to the Contractor by appropriate Change Order. 11.4.5 If during the Project construction period the Owner insures properties, real or personal or both, at or adjacent to the site by property insurance under policies separate from those insuring the Project, or if after final payment property insurance is to be provided on the completed Project through a policy or policies other than those insuring the Project during the construction period, the Owner shall waive all rights in accordance with the terms of Subparagraph 11.4-7 for damages caused by fire or other causes of loss covered by this separate property insurance. All separate policies shall pravide this waiver of subrogation by endorsement or otherwise. 11.4.6 Before an exposure to loss may occur, the Owner shall file with the Contractor a copy of each policy that includes insurance coverages required by this Paragraph 11.4. Each policy shall contain all generally applicable conditions, definitions, exclusions and endorsements related to this Project. Each policy shall contain a provision that the policy will not be canceled or allowed to expire, and that its limits will not be reduced, until at least 30 days’ prior written notice has &en given to the Contractor. 11.4.7 Waivers of Subrogation. The Owner and Contractor waive all rights against (1) each other and any of their subcontractors, sub-subcontractors, agents and employees, each of the other, and- (2) the Architect, Architect’s consultants, separate contractors described in Article 6, if any, and any of their subcontractors, sub-subcontractors, agents and employees, for damages caused by fire or other causes of loss to the extent covered by property insurance obtained pursuant to this Paragraph 11.4 or other property insurance applicable to the Work, except such rights as they have to proceeds of such insurance held by the Owner as fiduciary. The Owner or Contractor, as appropriate, shall require of the Architect, Architect’s consultants, separate contractors described in Article 6, if any, and the subcontractors, sub-subcontractors, agents and employees of any of them, by appropriate agreements, written where legally required for validity, similar waivers each in favor of other parties enumerated herein. The policies shall ,provide such waivers of subrogation by endorsement or otherwise. A waiver of subrogation shall be effective as to a person or entity even though that person or entity would otherwise have a duty of indemnifica- tion, contractual or otherwise, did not pay the insurance premium directly or indirectly, and whether or not the person or entity had an insurable interest in the property damaged. WARNING: Unlicensed photocopylng violates US. copyright hwr and will sublact the violator to k8d prosecution. I 11.4.8 A loss insured under Owner’s property insurance shall be adjusted by the Owner as fiduciary and made payable to the Owner as fiduciary for the insureds, as their interests may appear, subject to requirements of any applicable mortgagee clause and of Subparagraph 11.4.10. The Contractor shall pay Subcontractors their just shares of insurance proceeds received by the Contractor, and by appropriate agreements, written where legally required for validity, shall require Subcontractors to make payments to their Sub-subcontractors in similar manner. 11.4.9 If required in writing by a party in interest, the Owner as fiduciary shall, upon occurrence of an insured loss, give bond for proper performance of the Owner’s duties. The cost of required bonds shall be charged against proceeds received as fiduciary. The Owner shall deposit in a separate account proceeds so received, which the Owner shall distribute in accordance with such agreement as the parties in interest may reach, or in accordance with an arbitration award in which case the procedure shall be as provided in Paragraph 4.6. If after such loss no other special agreement is made and unless the Owner terminates the Contract for convenience, replacement of damaged property shall be performed by the Contractor after notification of a Change in the Work in accordance with Article 7. W I m .. 11.4.W The Owner as fiduciary shall have power to adjust and settle a loss with insurers unless one of the parties in interest shall object in writing within five days after Occurrence of loss to the Owner’s exercise of this paver; if such objection is made, the dispute shall be resolved as provided in Paragraphs 4.5 and 4.6. The Owner as fiduciary shall, in the case of arbitration, make settlement with insurers in accordance with directions of the arbitrators. If distribution of insurance proceeds by arbitration is required, the arbitrators will direct such distribution. 11.5 PERFORMANCE BOND AND PAYMENT BOND 11.5.1 The Owner shall have the right to require the Contractor to furnish bonds covering faithful performance of the Contract and payment of obligations arising thereunder as stipulated in bidding requirements or specifically required in the Contract Documents on the date of execution of the Contract. n.5.2 Upon the request of any person or entity appearing to be a potential beneficiary of bonds covering payment of obligations arising under the Contract, the Contractor shall promptly furnish a copy of the bonds or shall permit a copy to be made. ARTICLE 12 UNCOVERING AND CORRECTION OF WORK 12.1 UNCOVERING OF WORK 12.1.1 If a portion of the Work is covered contrary to the Architect’s request or to requirements specifically expressed inthe Contract Documents, it must, if required in writing by the Architect, be uncovered for the Architect’s examination and be replaced at the Contractor’s expense without change in the Contract Time. 12.1.2 If a portion of the Work has been covered which the Architect has not specifically requested to examine prior to its being covered, the Architect may request to see such Work and it shall be uncovered by the Contractor. If such Work is in accordance with the Contract Documents, costs of uncovering and replacement shall, by appropriate Change Order, be at the Owner’s expense. If such Work is not in accordance with the Contract Documents, correction shall be at the Contractor’s expense unless the condition was caused by the Owner or a separate o 0 I 9 9 7 A I A contractor in which event the Owner shall be responsible for payment of such costs. AIA DOCUMENT A2.01-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects WARNING: UnWmsd phomcopylng Vld.1.r U.S. cofigh? laws and will subject the viohtw to legal prorwtbn. 01997 AlAO AIA DOCUMENT AZOl-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I 12.2 CORRECTION OF WORK 12.2.1 12.2.1.1 The Contractor shall promptly correct Work rejected by the Architect or failing to conform to the requirements of the Contract Documents, whether discovered before or after Substantial Completion and whether or not fabricated, installed or completed. Costs of correcting such rejected Work, including additional testing and inspections and compensation for the Architect's services and expenses made necessary thereby, shall be at the Contractor's expense. BEFORE OR AFTER SUBSTANTIAL COMPLETION 12.2.2 AFTER SUBSTANTIAL COMPLETION 12.2.2.1 In addition to the Contractor's obligations under Paragraph 3.5, if, within one year after the date of Substantial Completion of the Work or designated portion thereof or after the date for commencement of warranties established under Subparagraph 9.9.1, or by terms of an applicable special warranty required by the Contract Documents, any of the Work is found to be not in accordance with the requirements of the Contract Documents, the Contractor shall correct it promptly after receipt of written notice from the Owner to do so unless the Owner has previously given the Contractor a written acceptance of such condition. The Owner shall give such notice promptly after discovery of the condition. During the one-year period for correction of Work, if the Owner fails to notify the Contractor and give the Contractor an opportunity to make the correction, the Owner waives the rights to require correction by the Contractor and to make a claim for breach of warranty. If the Contractor fails to correct nonconforming Work within a reasonable time during that period after receipt of notice from the Owner or Architect, the Owner may correct it in accordance with Paragraph 2.4. 12.2.2.2The one-year period for correction of Work shall be extended with respect to portions of Work first performed after Substantial Completion by the period of time between Substantial Completion and the actual performance of the Work. 12.2.2.3The one-year period for correction of Work shall not be extended by corrective Work performed by the Contractor pursuant to this Paragraph 12.2. 12.2.3 The Contractor shall remove from the site portions of the Work which are not in accordance with the requirements of the Contract Documents and are neither corrected bythe Contractor nor accepted by the Owner. 12.2.4 The Contractor shall bear the cost of correcting destroyed or damaged construction, whether completed or partially completed, of the Owner or separate contractors caused by the Contractor's correction or removal of Work which is not in accordance with the requirements of the Contract Documents. k 12.2.5 Nothing contained in this Paragraph 12.2 shall be construec! to establish a period of limitation with respect to other obligations which the Contractor might have under the Contract Documents. Establishment of the one-year period for correction of Work as described in Subparagraph 12.2.2 relates only to the specific obligation of the Contractor to correct the Work, and has no relationship to the time within which the obligation to comply with the Contract Documents may be sought to be enforced, nor to the time within which proceedings may be commenced to establish the Contractor's liability with respect to the Contractor's obligations other than specifically to correct the Work. 12.3 ACCEPTANCE OF NONCONFORMING WORK 12.3.1 If the Owner prefers to accept Work which is not in accordance with the requirements of the Contract Documents, the Owner may do so instead of requiring its removal and correction, in which case the Contract Sum will be reduced as appropriate and equitable. Such adjustment shall be effected whether or not final payment has been made. B WARNING: Unllcenrd photocopying violates U.S. copyrlght Isws and will subject the violator to lagal pmsecutlon. I I ARTICLE 13 MISCELLANEOUS PROVISIONS 13.1 GOVERNING LAW 13.1.1 The Contract shall be governed by the law of the place where the Project is located. 13.2 SUCCESSORS AND ASSIGNS 13.2.1 The Owner and Contractor respectively bind themselves, their partners, successors, assigns and legal representatives to the other party hereto and to partners, successors, assigns and legal representatives of such other party in respect to covenants, agreements and obligations contained in the Contract Documents. Except as provided in Subparagraph 13.2.2, neither party to the, Contract shall assign the Contract as a whole without written consent of the other. If either party attempts to make such an assignment without such consent, that party shall nevertheless remain legally responsible for all obligations under the Contract. 13.2.2 The Owner may, without consent of the Contractor, assign the Contract to an institutional lender providing construction financing for the Project. In such event, the lender shall assume the Owner's rights and obligations under the Contract Documents. The Contractor shall execute all consents reasonably required to facilitate such assignment. l3.3 WRlTTEN NOTICE UJ.1 Written notice shall be deemed to have been duly served if delivered in person to the individual or a member of the firm or entity or to an officer of the corporation for which it was intended, or if delivered at or sent by registered or certified mail to the last business address known to the party giving notice. 13.4 RIGHTS AND REMEDIES 13.4.1 Duties and obligations imposed by the Contract Documents and rights and remedies available thereunder shall be in addition to and not a limitation of duties, obligations, rights and remedies otherwise imposed or available by law. 13.4.2 No action or failure to act by the Owner, Architect or Contractor shall constitute a waiver of a right or duty afforded them under the Contract, nor shall such action or failure to act constitute approval of or acquiescence in a breach thereunder, except as may be specifically agreed in writing.. 13.5 TESTS AND INSPECTIONS 13.5.1 Tests, inspections and approvals of portions of the Work required by the Contract Documents or by laws, ordinances, rules, regulations or orders of public authorities having jurisdiction shall be made at an appropriate time. Unless otherwise provided, the Contractor shall make arrangements for such tests, inspections and approvals with an independent testing laboratory or entity acceptable to the Owner, or with the appropriate public authority, and shall bear all related costs of tests, inspections and approvals. The Contractor shall give the Architect timely notice of when and where tests and inspections are to be made so that the Architect may be present for such procedures. The Owner shall bear costs of tests, inspections or approvals which do not become requirements until after bids are received or negotiations concluded. 13.5.2 If the Architect, Owner or public authorities having jurisdiction determine that portions of the Work require additional testing, inspection or approval not included under Subparagraph 13.5.1, the Architect will, upon written authorization from the Owner, instruct the Contractor to make arrangements for such additional testing, inspection or approval by an entity acceptable to the Owner, and the Contractor shall give timely notice to the Architect of when and where tests and inspections are to be made so that the Architect may be present for such procedures. Such costs, except as provided in Subparagraph 13.5.3, shall be at the Owner's expense. 1 WARNING: Unlc~nrd photocopying vlohter US. copyright laws and wlll sublea the violator to legal prosecution. 01997 AIA@ AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I 0.5.3 If such procedures for testing, inspection or approval under Subparagraphs 13.5.1 and 13.5.2 reveal failure of the portions of the Work to comply with requirements established by the Contract Documents, all costs made necessary by such failure including those of repeated procedures and compensation for the Architect's services and expenses shall be at the Contractor's expense. 13.5.4 Required certificates of testing, inspection or approval shall, unless otherwise required by the Contract Documents, be secured by the Contractor and promptly delivered to the Architect. U.5.5 If the Architect is to observe tests, inspections or approvals required by the Contract Documents, the Architect will do so promptly and, where practicable, at the normal place of testing. P 13.5.6 Tests or inspections conducted pursuant to the Contract Documents shall be made promptly to avoid unreasonable delay in the Work. 13.6 INTEREST 13.6.1 Payments due and unpaid under the Contract Documents shall bear interest from the date payment is due at such rate as the parties may agree upon in writing or, in the absence thereof, at the legal rate prevailing from time to time at the place where the Project is located. 13.7 COMMENCEMENT OF STATUTORY LIMITATION PERIOD As between the Owner and Contractor: .I Before Substantial Completion. As to acts or failures to act occurring prior to the relevant date of Substantial Completion, any applicable statute of limitations shall commence to run and any alleged cause of action shall be deemed to have accrued in any and all events not later than such date of Substantial Completion; .z Between Substantial Completion and Final Certificate for Payment. As to acts or failures to act occumng subsequent to the relevant date of Substantial Completion and prior to issuance of the final Certificate for Payment, any applicable statute of limitations shall commence to run and any alleged cause of action shall be deemed to have accrued in any and all events not later than the date of issuance of the final Certificate for Payment; and .3 After Final Certificate for Payment. As to acts or failures to act occurring after the relevant date of issuance of the final Certificate for Payment, any applicable statute of limitations shall commence to run and any alleged cause of action shall be deemed to have accrued in any and all events not later than thq date of any act or failure to act by the Contractor pursuant to any Warranty provided under Paragraph 3.5, the date of any. correction of the Work or failure to correct the Work by the Contractor under Paragraph 12.2, or the date of actual commission of any other act or failure to perform any duty or obligation by the Contractor or Owner, whichever occurs last. 13.7.1 ARTICLE 14 TERMINATION OR SUSPENSION OF THE CONTRACT 14.1 TERMINATION BY THE CONTRACTOR 14.1.1 The Contractor may terminate the Contract if the Work is stopped for a period of 30 con- secutive days through no act or fault of the Contractor or a Subcontractor, Sub-subcontractor or their agents or employees or any other persons or entities performing portions of the Work under direct or indirect contract with the Contractor, for any of the following reasons: .I issuance of an order of a court or other public authority having jurisdiction which requires all Work to be stopped; .z an act of government, such as a declaration of national emergency which requires all Work to be stopped; . WARNING, Unllcmrd photocopying vlobter U.S. copyright laws and wlll subject the viol.tor to lepl pmrecution. I J because the Architect has not issued a Certificate for Payment and has not notified the Contractor of the reason for withholding certification as provided in Subparagraph 9.4.1, or because the Owner has not made payment on a Certificate for Payment within the time stated in the Contract Documents; or .4 the Owner has failed to furnish to the Contractor promptly, upon the Contractor's request, reasonable evidence as required by Subparagraph 2.2.1. 14.1.2 The Contractor may terminate the Contract if, through no act or fault of the Contractor or a Subcontractor, Sub-subcontractor or their agents or employees or any other persons or entities performing portions of the Work under direct or indirect contract with the Contractor, repeated suspensions, delays or interruptions of the entire Work by the Owner as described in Paragraph 14.3 constitute in the aggregate more than 100 percent of the total number of days scheduled for completion, or 120 days in any 365-day period, whichever is less. 14.1.3 If one of the reasons described in Subparagraph y.i.1 or 14.1.2 exists, the Contractor may, upon seven days' written notice to the Owner and Architect, terminate the Contract and recover h-om the Owner payment for Work executed and for proven loss with respect to materials, equipment, tools, and construction equipment and machinery, including reasonable overhead, profit and damages. 14.1.4 If the Work is stopped for a period of 60 consecutive days through no act or fault of the contractor or a Subcontractor or their agents or employees or any other persons performing portions of the Work under contract with the Contractor because the Owner has persistently failed to fulfill the Owner's obligations under the Contract Documents with respect to matters important to the progress of the Work, the Contractor may, upon seven additional days' written notice to the Owner and the Architect, terminate the Contract and recover from the Owner as provided in Subparagraph 14.1.3. 14.2 TERMINATION~Y THE OWNER FOR CAUSE 14.2.1 The Owner may terminate the Contract if the Contractor: .I persistently or repeatedly refuses or fails to supply enough properly skilled workers or proper materials; 3 fails to make payment to Subcontractors for materials or labor in accordance with the respective agreements between the Contractor and the Subcontractors; 3 persistently disregards laws, ordinances, or rules, regulations or orders of a public authority having jurisdiction; or A otherwise is guilty of substantial breach of a provision of the Contract Documents. 14.2.2 When any of the above reasons exist, the Owner, upon certification by the Architect that sufficient cause exists to justify such action, may without prejudice to any other rights or remedies of the Owner and after giving the Contractor and the Contractor's surety, if any, seven days'written notice, terminate employment of the Contractor and may, subject to any prior rights of the surety: .I take possession of the site and of all materials, equipment, tools, and construction equipment and machinery thereon owned by the Contractor; .2 accept assignment of subcontracts pursuant to Paragraph 5.4; and 3 finish the Work by whatever reasonable method the Owner may deem expedient. Upon request of the Contractor, the Owner shall furnish to the Contractor a detailed accounting of the costs incurred by the Owner in finishing the Work. 14.2.3 When the Owner terminates the Contract for one of the reasons stated in Subparagraph 14.2.1, the Contractor shall not be entitled to receive further payment until the Work is finished. WARNING: Unllcanrd phomwpylg vlohhr US. copyrlght laws end wlll subject the violalor to ked prosecution. I m bb 01997 AIAO AIA DOCUMENT A2014997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION I The American Institute of Architects 1735 New York Avenue, N.W. Washington. D.C. 20006-5292 14.2.4 If the unpaid balance of the Contract Sum exceeds costs of finishing the Work, including compensation for the Architect's services and expenses made necessary thereby, and other damages incurred by the Owner and not expressly waived, such excess shall be paid to the Contractor. If such costs and damages exceed the unpaid balance, the Contractor shall pay the dif- ference to the Owner. The amount to be paid to the Contractor or Owner, as the case may be, shall be certified by the Architect, upon application, and this obligation for payment shall survive termination of the Contract. W.3 SUSPENSION BY THE OWNER FOR CONVENIENCE 14.3.1 The Owner may, without cause, order the Contractor in writing to suspend, delay or inter- rupt the Work in whole or in part for such period of time as the Owner may determine. 14.3.2 The Contract Sum and Contract Time shall be adjusted for increases in the cost and time caused by suspension, delay or interruption as described in Subparagraph 43.1. Adjustment of the Contract Sum shall include profit. No adjustment shall be made to the extent: .i that performance is, was or would have been so suspended, delayed or interrupted by another cause for which the Contractor is responsible; or .z that an equitable adjustment is made or denied under another provision of the Contract. 14.4 TERMINATION BY THE OWNER FOR CONVENIENCE 14.4.1 The Owner may, at any time, terminate the Contract for the Owner's convenience and without cause. 14.4.2 Upon receipt of written notice from the Owner of such termination for the Owner's convenience, the Contractor shall: .i cease operations as directed by the Owner in the notice; .z take actions necessary, or that the Owner may direct, for the protection and preservation of the Work; and 3 except for Work directed to be performed prior to the effective date of termination stated in the notice, terminate all existing subcontracts and purchase orders and enter into no further subcontracts and purchase orders. t 14.4.3 In case of such termination for the Owner's convenience, the Contractor shall be entitled to receive payment for Work executed, and costs incurred by reason of such termination, along with reasonable overhead and profit on the Work not executed. - i 01997 AlAb AIA DOCUMENT Mol-1997 GENERAL CONDITIONS OF THE CONTRACT FOR CONSTRUCTION The American Institute of Architects 1735 New York Avenue, N.W. Washington, D.C. 20006-5292 I 9/97 I WARNING: Unlicenrd photocopying violates U.S. copyright laws and will subJect the violator to legal prorrcutbn. 4 PAGE 3 OF AGENDA BfLL NO, 16 I 845 Noise and Alcohol Use Issues Staff believes that the original project documents adequateli address d the issues on the sife. The PGk Department's Facility Use Regula..ons will govern otential for noise le use of the park grounds and buildings. Under these regulations organized outdoor activities would end at 1O:OO p.m. on both weekday and weekend nights. Activities inside the community building (including music) could continue until 1:00 a.m. at the latest. However, music would not be allow6 on the patio areas of the community building atler 1O:OO p.m. This park is condia'oned to prohibit its use for 'Jazz in the Park" activities. The Facility Use Regulations also govern the use of alcohol on the site. The regulations allow the consumption of aiwhol (to persons 21 years of age or older) in the community building, but prohibit almhol consumption outside of the building. New Condition Of ADDrOVal ' . .. I Environmental analysis was conducted for the project and resulted in the issuance of a Mitigated Negatii Declaration on November 28, 2001. An Addendum was prepared on January 24, 2002, and a second Addendum was prepared on July 3,2002. No addjtional or changed mitigation was required as a result of either of those Addendums; thus, no recirculation of the environmental documents was required. The initial study for the project was prepared in November 2001 and a Mitigated Negative Declaration was issued on November 28, 2001. An Addendum to the original environmental documents was issued on January 24, 2002. This Addendum was prepared-to clarify the discussion of the proposed height of the community building and the number of trips to be generated by the project in the original er$onrnental documents. A second Addendum was prepared in July 2002. The purpose of this secpnd-Addendum was to incorporate additional environmental surveydreports which were prepared after the original ' documentation, to incorporate a letter of concurrehce received from USFWS and CDFG on tvK, topics, and to clarify the need for the LCPA for the building height. The project incorporates some grading necessary for slope stabilization (Le., a butress fill). Because this .work involves some encroachment Into XMP preserve area, the USFWS and CDFG required that surveys (for the presence of .California gnatcatchers) b$ conducted. The surveys were conducted in late May and early June, and the report concluded that no b!r& were seen or heard in the buttress fill area. That survey information was provided to USFWS and CDFG along with a request that the proposed grading be considered "de minimis". (The area of impact 73 less than .03-acreI and the area will be replanted with native vegetation.) Staff received a letter from USFWEDFG dated July 1 , 2002 providing the requested concurrence that the proposed impact is "de minimis" in nature. Planning staff had also requested concurrence from the agencies that the open space corridor on the project site had been developed in consultation with the agencies and that it satisfied the requirements of the NCCP. (This concurrence is a requirement of the Aviara Master Plan.) The July 1 letter acknowledge that this requirement has been satisfied. The letter references the fact that the corridor has been delineated as part of the Civs HMP, which was developed in mnsultation with USFWS and CDFG. I -. J SUPPLEMENTAL FORMS, NOTICES, AND REQUIREMENTS. No. 1 regarding Pane 3 of Carlsbad Agenda Bill No. 16,845 renardinu nestine season uradinn schedule ICDP): Modify as follows: CLARIFICATION: This restriction pertains only to areas containing protected habitat and occupied by nesting endangered or threatened species recognized by the United States Fish and Wildlife Service and the California Department of Fish and Game. None of the property to be graded through this project, as depicted in the project drawings, contains both protected habitat and nesting endangered or threatened species. Therefore, grading may be undertaken in accordance with the schedule prepared by the Contractor and subsequently reviewed and approved by the City. The Contractor is directed to conduct all grading operations solely within the project boundaries or as otherwise depicted in the project drawings. The Contractor is cautioned against grading into areas containing or otherwise impacting adjacent protected habitat. California Regional Water Quality Control Board San Diego Region Internet Address: http:Nwww.swrcb.ca.gov/-nvqcb9/ Gray Davis u Winston H. Hickox Secretary for hvironmental Protection 9771 Clairemont Mesa Boulevard, Suite A, San Diego, California 92124-1324 Phone (858) 467-2952 FAX (858) 571-6972 Governor Action on Request for Clean Water Act section 401 Water Quality Certification for Discharge of Dredged and/or Fill Materials PROJECT: Zone 19 Aviara Community Park (File No. 02C-036) APPLICANT: Mr. John Cahill City of Carlsbad 1200 Carlsbad Village Drive Carlsbad, CA 92008 ACTION: 1. W Order for Standard Certification 2. 0 Order for Technically-conditioned Certification 3. 0 Order for Denial of Certification STANDARD CONDITIONS: The following three standard conditions apply to Condition 3 for denials (Action 3). certification actions, except as noted under 1. This certification action is subject to modification or revocation upon administrative or judicial review, including review and amendment pursuant to section 13330 of the California Water Code and section 3867 of Title 23 of the California Code of Regulations (23 CCR). 2. This certification action is not intended and shall not be construed to apply to any discharge from any activity involving a hydroelectric facility requiring a Federal Energy Regulatory Commission (FERC) license or an amendment to a FERC license unless the pertinent certification application was filed pursuant to 23 CCR subsection 3855(b) and the application specifically identified that a FERC license or amendment to a FERC license for a hydroelectric facility was being sought. 3. The validity of any non-denial certification action (Actions 1 and 2) shall be conditioned upon total payment of the full fee required under 23 CCR section 3833, unless otherwise stated in writing by the certifying agency. .- California Environmental Protection Agency Reryrled Paper G File No. 02C-036 ADDITIONAL CONDITIONS: No additional conditions apply to this project. REGIONAL WATER QUALITY CONTROL BOARD CONTACT PERSON: David W. Gibson California Regional Water Quality Control Board, San Diego Region 9 174 Sky Park Court Suite 100 San Diego, CA 92123 85 8-467-43 87 WATER QUALITY CERTIFICATION: I hereby certify that the proposed discharge from the Zone 19 Aviara Community Park project will comply with the applicable provisions of sections 301 ("Effluent Limitations"), 302 ("Water Quality Related Effluent Limitations"), 303 ("Water Quality Standards and Implementation Plans"), 306 ("National Standards of Performance"), and 307 ("Toxic and Pretreatment Effluent Standards") of the Clean Water Act. Although we anticipate no further regulatory involvement, should new information come to our attention that indicates a water quality problem, we may issue waste discharge requirements at that time. Except insofar as may be modified by any preceding conditions, all certification actions are contingent on (a) the discharge being limited and all proposed mitigation being completed in strict compliance with the applicants' project description and/or on the attached Project Information Sheet, and (b) on corn liance with all applicable requirements of the Regional Water Qua2g77, lity Control Plan (Basin Plan). John H. Robertus Date Executive Officer Regional Water Quality Control Board Attachments 1 - 2 p#. 7(- 1 -- Attachment 1 File No. 02C-036 Applicant: Applicant Representatives: ATTACHMENT 1 PROJECT INFORMATION Mr. John Cahill City of Carlsbad 1200 Carlsbad Village Drive Carlsbad, CA 92008 760-602-2726 760-602-8560 (f) Salvatore Zimmitti P&D Consultants 401 West “A” Street Suite 2500 San Diego, CA 92101 619-29 1-1475 619-291-1476 (f) Project Name: Zone 19 Aviara Community Park (02C-036) Project Location: The 24.3-acre site is located in the northern comer of Zone 19 in the City of Carlsbad at the intersection of Poinsettia Lane and Ambrosia Lane. Type of Project: Community Park development on fill. Project Description: The City of Carlsbad proposes to develop approximately 24.3 acres of land currently used for agriculture with some areas remaining undisturbed. Approximately 9.5 acres of the site is to be developed as recreation space including soccer fields, maintenance facility, and parking areas. Federal AgencyPermit: U.S. Army Corps of Engineers Nationwide Permit 39 Other Required Regulatory None. Approvals: California Environmental Quality Act (CEQA) February 21,2002 Compliance: The City of Carlsbad adopted a Mitigated Negative Declaration on Receiving Water: Impacted Waters of the United States: Encinas Creek and an unnamed tributary to Batiquitos Lagoon. Approximately 0.01 acres of non-wetland waters of the United States will be impacted by the project. Dredge Volume: None. Related Projects None. Implementedho be >, Attachment 1 File No. 02C-036 Implemented by the Applicant( s) : Compensatory Mitigation: No compensatory mitigation is proposed. Best Man agemen t Practices: Construction and Post Construction Best Management Practices required under the General Statewide Construction "DES Permit and the Carlsbad Jurisdictional Urban Runoff Management Program required in the San Diego Municipal Storm Water Permit will be implemented. ,, Attachment 2 ATTACHMENT 2 DISTRIBUTION LIST Mr. Terry Dean Army Corps of Engineers San Diego Field Office 16885 West Bemardo Drive, Suite 300A San Diego, CA 92127 Mr. John CahiH City of Carlsbad 1200 Carlsbad Village Drive Carlsbad, CA 92008 State Water Resources Control Board Division of Water Quality